What personal information does ASX collect?
ASX collects personal information about the following persons (or their staff):
- listed entities, participants and issuers;
- candidates for employment;
- potential new listed entities, participants or customers;
- third parties seeking services or seeking to provide services;
- subscribers to ASX information;
- subscribers to the ASX sharemarket game, education and webinars; and
- other individuals who we come into contact with in the ordinary course of business.
The personal information that ASX collects includes:
- name, date of birth and personal contact details including email, phone number and address, business contact details including email, phone number, address, company and job title;
- billing and payment details;
- marketing preferences, interest in products or services or contractual relationships with ASX;
- IP address, computer name or login details for ASX systems or portals;
- survey responses, feedback or complaints;
- website usage information;
- records of access to our premises, including CCTV footage;
- voice recordings;
- financial holdings information, shareholder status, and other information collected under the ASX Operating Rules; and
- any other information required for the purposes of collection described below.
The ASX Schools Sharemarket Game Rules available on our website explain the personal information that ASX collects in relation to students for the purposes of the Game, how and why it is collected and the period for which it is retained. Otherwise, our services are not specifically aimed at or intended for children.
How does ASX collect personal information?
ASX collects personal information in a variety of ways, including:
- through direct contact with individuals, including in business activities, at events and through correspondence by mail, telephone, and email;
- when you subscribe to ASX notifications or marketing communications;
- when you register for products and services on our website, including through our investor portal and registration forms for courses, games, education or services;
- recruitment processes;
- publicly available sources;
- in some circumstances, from other third parties, including when you provide personal information to a third party for the purpose of sharing it with us, such as a recruitment agency.
When we collect and process personal information, we will inform you about such collection and processing and will seek your specific consent when required by applicable data protection laws.
How does ASX use and disclose personal information?
ASX will not use or disclose personal information other than for the purpose for which we have collected it, unless we are required by law to do so or where the individual has consented to the use or disclosure or would reasonably expect us to use the personal information for that other purpose.
ASX uses personal information:
- to provide education services;
- to service shareholders;
- to service ASX customers, subscribers and individuals participating in ASX events and games;
- to provide you with ongoing information, updates or publications about our products, services or events where you have expressed an interest in such information;
- to market our products and services to you, including by phone or email, provided that you have an option unsubscribe or opt-out of further communications;
- to provide you with relevant products and services;
- to administer its relationships with employees and contractors;
- to enable the resolution of a concern or complaint;
- for security purposes such as monitoring and detection to protect ASX’s systems, infrastructure, information and other property;
- to comply with industry standards and regulatory and legal requirements;
- to fulfil its functions and obligations as a market licensee, clearing and settlement (CS) facility licensee, benchmark administrator licensee, Australian Financial Services licensee or other licensed or regulated business;
- to consider potential services and service providers.
In certain situations, failure to provide your personal information to ASX may prevent ASX from being able to effectively provide a or product or service to you, for example where we are required to collect personal information by law or under the terms of a contract, to investigate or respond to a complaint or query, or to process an application.
Where required, ASX will disclose personal information to:
- entities within the ASX Group;
- our technology partners who support our systems and services;
- person(s) to which the information is required to be disclosed by a legal or regulatory obligation, such as under a subpoena or court order;
- third parties under contracts we enter into with them for the provision of services, such as customer relationship management services, collating survey responses or coordinating events - where we do so, our contracts will require those parties to keep that information confidential and secure and to treat it in accordance with applicable laws and regulations.
Legal basis for processing personal information
ASX uses or discloses personal information in the following circumstances:
- to enable ASX to comply with its legal and regulatory obligations, such as statutory obligations imposed on members of the ASX Group under the Corporations Act, including as a listed entity, market operator, CS facility operator, benchmark administrator, Australian Financial Services licensee or other licensed or regulated business;
- to enable ASX to discharge its licence obligations as a market licensee, CS facility licensee, benchmark administrator licensee, Australian Financial Services licensee or other licensed or regulated business;
- to enable ASX to discharge its obligations under the ASX Operating Rules, which have effect as a contract under seal between ASX and its participants, as well as monitoring and enforcing compliance with those rules in accordance with its obligations under the Corporations Act;
- to enable ASX to discharge its contractual obligations, including under employment contracts or when providing products and services to, or receiving products or services from, third parties;
- where you have provided us with your consent to the use or disclosure, or a third party (such as the organisation you represent) has obtained your consent to the use or disclosure;
- to fulfil a legitimate interest of ASX, where that interest is not overridden by your interests, rights or freedoms.
Sensitive information and government identifiers
ASX does not collect sensitive information about an individual unless:
- it is required by law to do so; or
- the individual has consented and the information is reasonably necessary for one or more of our functions or activities.
Sensitive information includes personal information such as an individual’s criminal record; health information; membership of a professional or trade association; or membership of a trade union.
Government identifiers such as Tax File Numbers will generally not be collected or used unless required by law or in accordance with the ASX Operating Rules, or where necessary to complete a transaction or service.
How does ASX use personal information collected through cookies?
Most cookies on our website are used to store information anonymously in relation to your visit, for example using a unique identifier or a value to indicate whether you have visited a webpage.
Your personal information may be collected in session information to authenticate access to certain areas of our website, in order to allow you to access and participate in those areas of the website. Once you have closed your browser, this type of cookie is deactivated.
We will not combine anonymous information collected through cookies with other information we hold about you to identify you unless:
- you have consented;
- we are required by law or a regulatory obligation to do so, such as where a law enforcement agency issues a warrant to inspect the service provider’s logs;
- your usage is causing technical issues for ASX’s website which need to be resolved; or
- you may have won a game.
ASX partners with Dianomi for ad serving. For more information on ad serving and information on ‘Opting-out’ please visit https://www.dianomi.com/legal/privacy.epl.
Does ASX transfer personal information overseas?
ASX does not generally transfer personal information to overseas parties unless required by law or enforcement activity or unless working with international service providers. ASX shares or stores personal information with vendors who have been contracted to provide customer relationship systems and technological solutions. These third parties may not be subject to the same privacy and data protection laws as those located in Australia, however they may be subject to applicable data protection laws in their own jurisdiction. When ASX transfers personal information overseas to third party service providers, it will ensure that appropriate safeguards are in place as required under applicable data protection laws, such as standard contractual provisions requiring those parties to keep the information confidential or ensuring that the third party has an appropriate certification. Personal information is encrypted where possible when transferred overseas and ASX and its third-party service providers make every effort to protect your personal information.
These third-party service providers change from time to time and may be located in Australia, the United States, Japan, the United Kingdom and other countries. You can contact ASX at the details below for a list of the current countries.
ASX takes reasonable steps to protect personal information it holds from misuse, interference and loss and from unauthorised access, modification or disclosure. ASX has a number of security measures, processes and standards in place to protect personal information, and requires its third party partners to comply with appropriate confidentiality obligations and security requirements such as industry standards for information security.
Where personal information is no longer required for the purpose for which it was collected ASX will take reasonable steps to destroy or permanently de-identify the information, unless it is required:
- to allow ASX to address any complaints or for legal or compliance matters, or for another purpose permitted under applicable data protection laws, or
- where ASX is required by law or a regulatory obligation to retain it.
ASX will take reasonable steps to destroy unsolicited personal information received from third parties that does not serve an appropriate purpose unless it is required by law or a regulatory obligation to retain it.
To determine the appropriate retention period for personal information, ASX considers the nature and sensitivity of the personal data, the purposes for which it is processed and the applicable legal requirements. When ASX deletes personal information it holds electronically that information will be removed from our active database, but it will generally remain in archival or back-up systems for a period of time where it is not practicable or possible to delete it. In some circumstances we may anonymise your personal information (so that it can no longer be associated with you) for research, statistical or data analysis purposes, in which case we may use this information indefinitely without further notice to you. If you would like further information on the retention periods we apply to your personal data, please contact us in writing at the details below.
Under Australian privacy law, you have the right to request access to your personal information held by ASX and to request that your personal information be corrected. Depending on the nature of your personal information and the purposes for which it is processed by ASX, you may have the right under applicable data protection laws to request the deletion of your personal information or in some circumstances, to restrict or object to the processing of your personal information. If you would like to take steps to exercise any of your rights, please contact us in writing at the details below. A fee may be charged for providing access if permitted under applicable law.
ASX takes reasonable steps to ensure that personal information held about you is accurate, complete and up to date. Please advise us in writing of any changes to your information using the contact details below.
Consent to use of personal information
Where required by applicable data protection laws, ASX will notify you and obtain your consent for us to collect and use your personal information for specified purposes at the time we collect it. This notification will include the following:
- A description of the purposes for which your personal information is being collected
- The main consequences if some of all of the personal information is not collected.
- How you can contact us for more information or to make a complaint.
- A link to this Privacy Statement.
- Where applicable, that you can opt out of receiving marketing communications from us at any time by clicking unsubscribe or contacting email@example.com.
Marketing activities and opting-out
If you receive marketing communications from us, you may request not to receive further communications at any time by clicking ‘unsubscribe’ or ‘opt-out’. If you make this request we will stop sending these to you. Alternatively, you can let us know your preferences by contacting us at the details below, or by logging into the customer portal on our website if you have an account with us.
Avoiding phishing and scams
If you are a broker-sponsored investor on ASX, we will hold your personal and financial information in CHESS, a CS facility operated by ASX. This information will include your HIN (Holder Identification Number), your name, address and any email address, your residency status and the financial products you hold in CHESS. When you communicate with ASX, we may ask you to confirm those details to assist us with identification. However, we will never ask you to provide other personal or financial information such as passwords, date of birth, bank account balances, portfolio balances or your personal bank account details, or instruct you to pay funds into third party bank accounts.
If you receive a communication from someone who claims to be from ASX and who asks you to provide your personal or financial information, this may indicate that you are the target of a scam. If this happens to you, please immediately report this to ASX by calling 131 279 or by sending the details to us at firstname.lastname@example.org.
Your prompt action can assist us to minimise the impact to other market users of ASX-related scam activity.
You can report any non-ASX related scam activity to SCAMwatch (a scam reporting website run by the Australian Competition and Consumer Commission) at http://www.scamwatch.gov.au/.
Links to other sites
This site links to other non-ASX sites. ASX is not responsible for the privacy practices or the content of such web sites.
ASX has appointed a Chief Privacy Officer to manage privacy enquiries and complaints. They can be contacted by phone, post or email at:
20 Bridge Street
SYDNEY NSW 2000
Telephone: 131 279
You can also obtain information or lodge a complaint at the Office of the Australian Information Commissioner’s website at www.oaic.gov.au
Updates to this Privacy Statement
This Privacy Statement will be reviewed from time to time as required. We reserve the right to update this Privacy Statement from time to time to reflect changes in the law or technology or business practices. It is your responsibility to review the updated Statement.
Last updated: May 2020