Shaw and Partners

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:

if you are a client, the types of personal information we collect may include your name, signature, date of birth, gender, address, telephone number, email address, financial information (such as bank details, superannuation details, annual income and financial history, information about your share holdings including HINs and SRNs), government identifiers (including your Tax File Number and Medicare number, if you choose to provide it), photographs (including of you and your identification documents for identity verification purposes), work information (such as your occupation and employer), other contact or identification details, government-issued registration or reference numbers (e.g. ABN, ACN, and ASRN), marital status and information about your spouse and dependents, and, in some cases, information necessary to make or receive payments to or from you or necessary to effect transactions in financial products on your behalf; and
if you are our authorised representative (or are engaged on behalf of our authorised representative), we may collect personal information relevant to your relationship with us. This includes your personal details, information about your role as our authorised representative, financial information (including banking details), photographs, images, videos and/or voice recordings of training, meetings and other events you participate in with us or on our behalf, health and safety information (such as accident and injury records at our premises), access to services (such as use of our information technology systems and data produced from use of those systems), and other personal information created during your engagement;
if you log into your client account through the Shaw and Partners website, your IP address and location;
if you deal with us in some other capacity, we may collect your name and contact details and any other information you provide to us; and
information we generate ourselves, such as records we create from our interactions with you, inferred information or profiles based on those interactions or online behaviour.

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:

carrying out criminal history checks on employees and authorised representatives as part of onboarding and ongoing due diligence (in accordance with requirements under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth) and related Rules); and
considering health information provided by clients as part of risk profiling for the provision of our financial advice.

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:

from you directly (such as when you interact with us in writing, electronically, by telephone, or in face-to-face meetings); and
from third parties including our related entities, authorised representatives, business partners, sales representatives, agents, and referral leads. For example, we often collect personal information about clients from:

banks and other financial institutions;
publicly available sources of information (e.g. share registries and the media);
your accountant, lawyer, representative or agent (where they have introduced you to us or have arranged for Shaw to provide certain services to you); or
government agencies.

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:

to provide financial products and services to you;
to administer and manage our client accounts and relationships, such as opening accounts, processing applications, arranging referrals, and managing client holdings;
to respond to your enquiries about our products and services;
to provide you with information about products and services that may be of interest to you;
to process payments made to us;
for our administrative purposes and internal record keeping;
to provide you with customer service or technical support and deal with any complaints or feedback you have;
to manage our relationships with our customers, suppliers and contractors; and
to consider job applicants for current and future employment.

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:

our financial markets technology provider, Iress Limited (Iress) who may also handle your personal information in connection with order placement and execution. Please read Iress’ Privacy Policy for more information;
our auditors and external advisers we engage from time to time to carry out, or advise on, our functions and activities;

financial institutions for payment processing;
our contracted service providers, including IT service providers;
any person or organisation that introduces you to us;
regulatory bodies, government agencies, law enforcement bodies and courts where permitted or required by law, or with your consent;
debt collection agencies and credit reference agencies;
underwriters, corporate advisers or issue managers where you are applying for financial products in a corporate action, initial public offering or other new issue;
other product providers and financial institutions;
insurers and reinsurers and their claims agents and assessors;
in the case of a sale, assignment or transfer of our business (in whole or in part), to the purchaser (as an asset of the business);
if you are a job applicant, referees whose details you provide to us; and
any other person to the extent necessary, in our view, in order to carry out the instructions you give to us.

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