ABN: 87 123 290 602
AFS License no: 332 802
Rivkin Securities Pty Ltd
Suite 8, 1 Kings Cross Road
Rushcutters Bay NSW 2011
Telephone: +61 2 8302 3650
Facsimile: +61 2 8302 3601
THIS AGREEMENT: is made on the Commencement Date.
BETWEEN: Rivkin Securities Pty Ltd (“Rivkin Securities”) ACN 123 290 602
AND: The entity whose name, Australian Business Number (if any) and address or registered office details are set out in the
associated Rivkin Securities application form(s) (“Client”)
The Client wishes to appoint Rivkin Securities to provide general advice and dealing services on its behalf.
THE PARTIES AGREE
1. DEFINITIONS AND INTERPRETATION
1.1 In this Agreement (including the recitals) unless the context otherwise requires:
a. “Agreement” means this Agreement and any document that varies or supplements it;
b. “Application Form(s)” means the joint, individual, company and/or trust Rivkin Securities application forms relating to the opening of a Rivkin Securities trading account
c. “Business Day” means any day other than a Saturday, Sunday or Australian Government gazetted public holiday as defined by the ASX Business Rules;
d. “Broker” means any participant of various exchanges that Rivkin Securities may have relationships with in order to offer General Advice and/or Private Client Execution Services to Private Clients;
e. “Brokerage Payment” means the amount determined under section 7.4;
f. “Commencement Date” means the date outlined in the client agreement on the associated Rivkin Securities application form(s);
g. “Derivative” has the meaning provided for it in the Corporations Act as amended by the Financial Services Reform Act 2001.
h. “General Advice (GA)” means general advice as defined in Section 766B(3) of the Corporations Act 2001 (Cth) being financial product advice that does not take in account your personal objectives, needs or financial situation.
General advice may be provided to you by Rivkin Securities through its website or by any other means (whether oral, electronic in writing or otherwise);
i. “GST Act” means in a New Tax System (Goods and Services Tax) Act 1999;
j. “Terms and Conditions” means the agreement between Rivkin Securities and the Client under which the Rivkin Securities will provide their services to the Client;
k. “Private Client Execution Service” (PCES) means the method (whether electronic (including Technology), oral or written) by which Rivkin Securities receives instructions and collects orders from the Client and then on behalf of
the Client will sell or buy a financial instrument and/or amend or cancel an order;
l. “Security” has the meaning provided for it in the Corporations Act as amended by the Financial Services Reform Act 2001.
m. “Settlement Period” means settlement at the time of the transaction or in accordance with the terms and conditions of the exchange that the Financial Instruments are being traded on.
n. “Technology” means any electronic systems used by to provide advisers with specific information about Clients, their holdings or automatic trading alerts, as part of the Private Client Execution Service;
1.2 References to recitals, clauses, sub clauses, paragraphs, annexures or schedules are references to recitals, clauses, sub clauses, paragraphs, annexures and schedules of or to this Agreement.
1.3 Headings in this Agreement are for convenience only and do not affect its interpretation or construction.
1.4 In this Agreement unless the context otherwise requires:
a. the singular includes the plural and vice versa;
b. each gender includes the other two genders;
c. the word “person” means a natural person and any association, body or entity whether incorporated or not;
d. the word “month” means calendar month and the word “year” means 12 calendar months;
e. a reference to writing includes any communication sent by post or facsimile transmission;
f. where any word or phrase is defined, any other part of speech or other grammatical form of that word or phrase has a cognate meaning;
g. a reference to any statute, proclamation, rule, code, regulation or ordinance includes any amendment, consolidation, modification, reenactment or reprint of it or any statute, proclamation, rule, code, regulation or ordinance replacing it;
h. all monetary amounts are in Australian currency;
i. a reference to time refers to time in Sydney, Australia;
j. “Associate” has the same meaning given by Section 318 of the Income Tax Assessment Act 1936 (Cth) or any section amending or replacing such provision;
k. “Business Day” means a day other than a Saturday, Sunday or public holiday in New South Wales;
l. mentioning anything after “include”, “includes” or “including” does not limit what else might be included;
m. no rule of construction applies to the disadvantage of a party because this Agreement is prepared by (or on behalf of) that party;
n. a reference to any thing is a reference to the whole and each part of it;
o. a reference to a group of persons is a reference to all of them collectively and to each of them individually;
p. “company”, “corporation” and “body corporate” have the meanings respectively provided by Chapter 1 of the Corporations Law.