Privacy Policy
Shaw and Partners Limited ("Shaw", “we”, “us” and “our”) is committed to protecting the privacy of your personal information. This Privacy Policy explains how we collect, use, hold and disclose personal information, and how to contact us if you have any queries or complaints about personal information that we hold about you. You can find the most up-to-date version of the Privacy Policy on the Shaw website www.shawandpartners.com.au or a hard copy can be obtained by contacting your adviser or Shaw's Privacy Officer using the contact details below.
What is personal information?
'Personal information' is information or an opinion about an identified individual, or an individual who is reasonably identifiable, whether the information or opinion is true or not, and whether the information or opinion is recorded in a material form or not. Examples include an individual’s name, address, contact number and email address.
‘Sensitive information’ is a special category of personal information. Sensitive information includes health information and information about an individual’s race or ethnic origin, political opinions, sexual orientation or practices, criminal record, membership of a professional or trade association, membership of a trade union, religious or philosophical beliefs, and genetic or biometric information or biometric templates.
What personal information do we collect and hold?
We collect and hold a range of personal information in carrying out our business and functions as an investment advice and wealth management firm.
The kinds of personal information we collect and hold about you will depend upon the nature of our relationship with you and the circumstances of collection, including whether we collect the information from you as a client, authorised representative (including financial adviser and dealing assistants), supplier, contractor, job applicant or in some other capacity.
For example:
We may also collect details of the interactions you have with us.
In certain circumstances, we may also collect and hold sensitive information about you. We will only collect sensitive information about you with your consent (unless we are otherwise required or authorised by or under law to do so). For example, we may collect sensitive information in connection with:
Individuals applying through Shaw’s online application form (LABform) undergo electronic verification. The Australian Document Verification Service (DVS) checks are the primary method for verification. If a match cannot be achieved, additional verification is required, including the submission of certified document copies as outlined in the Shaw Client Account Pack.
If you are or become an employee, the handling of your personal information may be exempt from the Australian Privacy Principles (APPs) if it is directly related to your current or former employment relationship with us.
Personal information about third parties
If at any time you supply us with personal information about another person, please make sure that you tell them about this privacy policy.
How do we collect personal information?
We collect personal information in a variety of ways, including:
The purposes for which we collect, hold, use and disclose personal information
We collect, hold, use and disclose personal information for a range of purposes, including:
We are required to collect and handle certain personal information to comply with legal or regulatory requirements. For example, if you are a client we may be required to confirm your identity for the purposes of the Anti-Money Laundering and Counter Terrorism Financing Act 2006 (Cth). In addition, as we provide personal advice, we may be required to collect important "know your client" information, which assists us in tailoring our services to you.
Depending on your relationship with your Shaw adviser, this may cover a large range of material.
We may use and disclose your personal information for other purposes required or authorised by or under law (including purposes for which you have provided your consent).
Disclosure of personal information to third parties
Shaw may disclose personal information we hold about you to its related companies (including EFG International, a Swiss-based global private banking group), authorised representatives, and any agents or contractors who provide services to us in connection with the provision of the products or services to you. In conducting our business, we may also disclose personal information to third parties for the purposes outlined above. These third parties may include:
We may also disclose your personal information to other third parties and for other purposes where we are required or authorised by or under law to do so (including where you have provided your consent).
Overseas disclosures of personal information
In some circumstances, we may need to disclose your personal information to recipients outside Australia (including to our related company in Switzerland, and where you provide us with instructions that require us to disclose your personal information to third parties located overseas).
If we believe that the overseas third party is not subject to, or has not agreed to comply with, privacy obligations equivalent to those which apply to us, we will seek your consent to transfer the information, unless an exception under the APPs applies.
Dealing with us anonymously and consequences of declining to provide personal or identification information
You are able to deal with us anonymously or by pseudonym, unless it is impractical for us to deal with you where you have not identified yourself or have used a pseudonym.
We need certain personal information to be able to provide you with services and information.
If you choose not to provide the required personal information to us, Shaw may not be able to provide products or services to you. Shaw may also discontinue our relationship with you or restrict your access to certain services.
Direct marketing
We may use and disclose your personal information so we can contact you with information about our products and services, and events that may be of interest to you.
We may contact you by email, mail or telephone. You can let us know at any time if you no longer wish to receive these communications, by contacting us (using the contact details at the end of this policy or at <www.shawandpartners.com.au/contact/email-us>) or using the opt-out/unsubscribe facility in our communications.
We may include tracking technologies such as beacons in our marketing emails to help us understand engagement with our communications (e.g. to determine whether and when an email has been opened). This helps us measure the effectiveness of our campaigns and improve our communications.
Automated decision-making processes
We do not use computer programs to make decisions about individuals in a fully automated manner (i.e. without human involvement) that have a legal or similarly significant effect. While we may use tools such as system-generated scoring models (e.g. to assess risk profiles or potential money laundering or terrorism financing risk), outputs from these tools are reviewed by our staff before decisions are made. These tools are intended to assist our staff in their decision-making, not to make decisions independently.
How do we keep your personal information safe?
We hold your personal information in computer systems (including computer systems operated for us by our service providers), paper-based files and other records. We take reasonable steps to protect your information from loss, misuse, interference, and from unauthorised access, modification or disclosure. These steps include technical and organisational measures, such as access and permission controls.
We take reasonable steps to destroy or permanently de-identify any personal information after we no longer need to hold or use that information to deliver our services or products, for our business functions or activities or to comply with any legal or regulatory requirements.
Access to and correction of your personal information
You have a right to request access to personal information that we hold about you and request its correction if it is inaccurate, out of date, incomplete, irrelevant or misleading. You may do so by contacting your adviser (if you are a client) or our Privacy Officer (see below for contact details).
We will respond to all requests for access to or correction of personal information within a reasonable period (usually 30 days).
We will generally provide you with access to your personal information (subject to some exceptions permitted by law) but may charge an access fee to cover the cost of retrieving the information and supplying it to you.
Visiting Shaw and Partners online
We use cookies on certain web pages of our website. Cookies allow our website to remember certain information, such as your approximate location. If you do not wish to receive a cookie or if you wish to set your browser to tell you each time a cookie is being sent, you can do this using the options in your web browser.
The information collected about your visit to our website using cookies is not personal information, because we cannot identify you from it unless you are logged in to our website. For example, we may record your IP address, the date and time of your visit, the pages you viewed, the page you came from to get to our site, and the type of browser and operating system you used. If collected, this information will be used and disclosed by us in anonymous, aggregated form only, for purposes including statistical analysis and website development.
If you visit our website, we use Google Analytics to gather anonymous information for statistical purposes (including your IP address, the region or location indicated by your IP address, type of browser you use, date and time of your visit to our website, and pages accessed). This information helps us to improve the content and functionality of our website. We do not connect this information to any profile we may have for you. You can read about what information is collected by Google and how it is used here (https://policies.google.com/technologies/partner-sites).
Identifiers
Each Shaw client account is identified by a unique client account number, which you should keep confidential. We will not adopt as an account identifier information that you may have supplied to us such as Tax File Numbers and Medicare numbers.
Complaints resolution
We are committed to providing our clients a fair and reasonable system for handling privacy issues. If you have any concerns about the manner in which we have handled your personal information, please contact your adviser or our Privacy Officer in writing (see below for contact details).
We will inquire into your complaint and respond within a reasonable period of time (usually 30 days).
We will seek to address any concerns that you may have through our complaints handling procedures. If you are not satisfied with our response, you can contact us to discuss your concerns or may lodge a complaint with the Office of the Australian Information Commissioner (website www.oaic.gov.au).
If you are not satisfied with how we manage your complaint or our decision after you’ve gone through our internal dispute resolution process, or if your complaint involves more than issues of privacy, the Australian Financial Complaints Authority (“AFCA”) can consider certain such complaints. Details for contacting AFCA are available in the Shaw Financial Services Guide.
Contact us
If you would like more information about the way we manage personal information, would like to request access to or correction of personal information that we hold about you, or wish to make a complaint, please contact our Privacy Officer at:
Email: [email protected]
Mail: The Privacy Officer
Shaw and Partners Limited
GPO Box 3604
Sydney NSW 2001
Changes to our privacy policy
We may review and revise our Privacy Policy. We encourage you to check our website from time to time to ensure you are familiar with our latest Privacy Policy, or request a copy of our Privacy Policy by contacting your adviser or our Privacy Officer.
Our Privacy Policy was last updated in June 2025
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