Privacy & Anti Money Laundering Policies
Anti Money Laundering Policies
The Anti-Money Laundering and Counter-Terrorism Financing Act 2006 requires Swiss Financial Consultants to establish and maintain an AML/CTF Program. This includes carrying out customer identity verification procedures before providing a designated service to the customer.
For some products, we require that you provide us with the identification form developed by the Investment and Financial Services Association Limited and the Financial Planning Association of Australia Limited (IFSA/FPA Form).
A copy of the relevant IFSA/FPA forms are below:
For more detailed information on AML/CTF please refer to the AUSTRAC Website.
Privacy Policy
For the purposes of this policy, SWISS means SWISS Financial Consultants.
SWISS Financial Consultants understand that the privacy and security of your personal and account information are of utmost importance to you. SWISS adheres to confidentiality standards that are designed to protect your personal information. Accordingly:
- Any personal information (such as your name, contact details, investment holdings etc.) you provide to SWISS may be retained and used by SWISS. It may be used by SWISS for the purposes of evaluating your potential financial needs, aggregate and report statistical information, assist you with any queries, for market research and for the purposes of marketing financial services and products to you by SWISS.
- In the course of doing business we outsource certain tasks to third party suppliers. In these circumstances we may disclose your personal information to third parties including information technology support and other execution brokers. From time to time, we also seek expert help to improve our systems, products and services. These third parties are bound by confidentiality agreements when handling your personal information. In addition your personal information will not be shared with other third parties, without your consent.
- SWISS may also disclose your information where required to by law; for example, under Court Orders or Statutory Notices pursuant to taxation and social security laws.
- We aim to ensure that the personal information we retain about you is accurate, complete and up to date. By providing your name and address and any additional personal information, you freely consent to SWISS holding, using and processing your personal data for the purposes set out on this page from time to time and, where necessary, the transfer or disclosure of your personal data for these purposes to companies affiliated with SWISS wherever they may, from time to time, be located for purposes of business, or market research. Please provide us with complete and accurate information; otherwise we may not be able to provide you with the products and services you are seeking.
- The SWISS Web site provides users links to other websites. SWISS has no control over the content, policies or actions of these sites, even if you are offered services on those sites because you have established a SWISS account. The protection of personal information on other websites is not governed by SWISS's privacy policy, so you should carefully review the privacy policies of third party websites and contact the operators of those Web sites if you have any questions about their use of your personal information. SWISS cannot be responsible for these parties failing to use your personal information in accordance with their contractual or other legal obligations.
If you have any questions about your personal or account information or about the SWISS Financial Consultants privacy policies and practices, please feel free to contact us on (03)9663 7988.