Administration and Maintenance

1. CHESS Sponsorship and Issuer Sponsored Transfer Form

An Issuer Sponsored Holding refers to shares that are not sponsored under CHESS with a broker, but by the Company issuing the shares (for example in a float or Initial Public Offering). If you are an Individual account holder you can complete this online.




2. CHESS Sponsorship and Broker to Broker Transfer Form

To transfer security holdings held with another broker.

3. Authority to Trade Form

If you wish to give someone else authority to trade on your trading account complete this form.

4. Off Market Transfer Form

For use when transferring shares between another Brokers Account and your Netwealth Trading Account or from your Netwealth Trading Account out to the Share Registry.

5. Off Market Transfer Form for Issuer to Chess Transactions

For use when transferring Issuer Sponsored holdings into your Netwealth Trading Account. If the seller is not an existing Netwealth Trading client, additional identification is required.

6. Internal Bulk Off Market Transfer

For use when transferring multiple holdings from one Netwealth Trading Account to another Netwealth Trading Account only. This form will allow bulk transfer of up to eight securities using one form.

7. Registered Holder Collateral Cover Authority Form

To meet your Options trading requirements complete this form.

8. Change of Address / Contact Details Form

You can update your contact details, including your address, phone number and email address at any time online. For all company and trust accounts you will need to complete the Change of Address Form.




9. Change of Personal Name Form

If you have changed your name (e.g. due to marriage or divorce) or need to make a name correction on your trading account please complete this form and provide the required supporting documentation.

10. Change of Company / Trust Details Form

Complete this form to notify us of any changes to your company or trust address, contact details, company name, remove or add a director/secretary authorised to operate on the company account or to change your SMSF/Trust account designation. You will need to complete the Change of Address/Contact Details form to change the address of a director/secretary or trustees currently authorised to operate the account.

11. Cash Management Account Product Information Statement & Terms and Conditions

Please ensure you have read and understood the Cash Management Account Product Information Statement (PIS) & Terms and Conditions before opening a Cash Account. You should read the PIS carefully and retain it for future reference. Please also refer to

12. Application for Share Trading Premium Account

Apply for or upgrade to a Share Trading Premium Account that allows you to buy up to $25,000 of shares online. The trading limit is adjusted up or down depending on your account balance and outstanding buy orders.

13. Application to Cancel Share Trading Premium Account

Revert back to a Share Trading Standard Account and remove access to the $25,000 Trading Facility (Share Trading Premium Account).

14. Change of Settlement Options and Bank Account Details Form

Complete this form to change your settlement method and/or to change your nominated bank account used for settlement of trades, your nominated bank account used to transfer funds to and from your Cash Account or your nominated bank account linked to your funds in trust account by Direct Debit/Credit authority.

15. Partly Paid Security Client Agreement Form

Complete this form to buy Partly Paid Securities on your trading account.

16. Bankwest Cash Management Account and Share Trading Account Closure Form

To close your Bankwest Cash Management Account. Note: Your Trading account linked to the cash management account will also be closed unless you provide new settlement account details.

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Share Trading - Account Origination

Before you obtain any products or services from Australian Investment Exchange Limited, you must view the most recent Financial Services Guides (FSGs) and all supplements to the FSGs. You may download the FSGs and supplements below or you may call Freecall 1800 888 223 to receive one by postal mail.

17. FSG (Part A and B)

This document sets out the financial services and the types of financial products that we are authorised to provide under our Australian Financial Services Licence.

18. Share Trading Account Terms and Conditions

Contains the Terms and Conditions for share trading through this website.

19. Share Trading Account Application Form

Set up a new account. Please also review our Best Execution Policy.

Individual & Joint Account Application

Company & Trust Application

20. Best Execution Policy

This disclosure sets out how AUSIEX meets its Best Execution obligation.

21. Important Information

Contains important information about our Trading.

22. Privacy Policy

Contains information about how we collect, verify and use customer information.

23. Trading Alerts Subscription Agreement and Terms and Conditions

Contains the Terms and Conditions for subscribing to trading alerts.

24. Identification Documentation Requirements

Outlines the process for certifying identification documentation including acceptable documents, how to certify documents and a list of people who can certify ID.

25. Job and Industry Classifications List

Use this form for the list of eligible Job Category and Job Types for individuals and Industry Category and Industry Type for companies and trusts.

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Exchange Traded Options

Before you obtain any products or services from Australian Investment Exchange Limited, you must view the most recent Financial Services Guides (FSGs) and all supplements to the FSGs. You may download the FSGs and supplements below or you may call Freecall 1800 888 223 to receive one by postal mail.

26. FSG (Part A and B)

This document sets out the financial services and the types of financial products that we are authorised to provide under our Australian Financial Services Licence.

27. ASX Understanding Options Trading Booklet

A simple guide to understanding options trading.

28. Exchange Traded Options PDS and Application Form

Please ensure you have read and understood our Exchange Traded Options Product Disclosure Document before applying for your options trading account.

29. Exchange Traded Options Tier 2 Upgrade Form

Complete this form to qualify for Tier 2 of options trading.

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ASX Warrant

Before you obtain any products or services from Australian Investment Exchange Limited, you must view the most recent Financial Services Guides (FSGs) and all supplements to the FSGs. You may download the FSGs and supplements below or you may call Freecall 1800 888 223 to receive one by postal mail.

30. FSG (Part A and B)

This document sets out the financial services and the types of financial products that we are authorised to provide under our Australian Financial Services Licence.

31. ASX Warrant Client Agreement Form

To trade Warrants please read, understand and complete the ASX Warrant Client Agreement Form.

32. ASX Understanding Trading & Investment Warrants Booklet

A simple guide to understanding trading and investment warrants from the ASX.

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The information in this website has been prepared without taking account of your objectives, financial situation or needs. Because of this, you should consider its appropriateness, having regard to your objectives, financial situation and needs and, if necessary, seek appropriate professional advice. If a Product Disclosure Statement is available in relation to a particular financial product, you should obtain and consider that Product Disclosure Statement before making any decisions about whether to acquire the financial product.