Privacy Collection Statement

The privacy of your personal information is important to us.

1. Your representative will ask you many questions. Why is so much information required?

We collect your personal information to enable us to provide you with the products and services that are appropriate to your needs. Under the following Australian laws, we may be authorised or required to collect your personal information:

  • Corporations Act 2001
  • Australian Securities and Investments Commission Act 2001
  • Anti-Money Laundering and Counter Terrorism Financing Act
  • Taxation Administration Act 1953
  • Superannuation Guarantee (Administration) Act 1992
  • Superannuation (Unclaimed Money and Lost Members) Act 1999

We are required to collect sufficient information to identify a person’s needs, objectives and financial circumstances so that we can provide appropriate financial advice.

If the information you provide to us is incomplete or inaccurate this may impact our analysis and result in advice that is not appropriate to your needs and circumstances.

2. Access and correction

You may (subject to permitted exceptions) access and update your personal information by contacting us. We will provide reasons if access is denied as permitted by law.

3. Providing Personal information

We may provide personal information to:

  • Organisations bound by strict confidentiality, including auditors, compliance consultants, IT providers and professional advisers;
  • Trained paraplanning, administration and operational support personnel located in New Zealand, Vietnam and the Philippines;
  • Other professionals such as solicitors, accountants and stockbrokers where required;
  • Third parties when required to do so by law or Court Order.

Where we engage external service providers — including overseas providers — to perform functions on our behalf, those functions remain under our control and supervision. Alteris retains full responsibility for compliance with its obligations under the Corporations Act 2001 (Cth), its Australian Financial Services Licence (AFSL 402370), the Privacy Act 1988 (Cth), and all other applicable laws.

All outsourced service providers are subject to written agreements incorporating confidentiality, data protection, information security requirements, access controls, and ongoing monitoring arrangements. Outsourcing does not reduce or transfer our regulatory obligations. We remain accountable for all services provided to clients.

 4. Overseas disclosure and outsourcing governance

In the course of providing financial planning and related services, we may disclose personal information to overseas recipients.

Alteris engages support teams located in:

  • New Zealand
  • Vietnam
  • The Philippines

These employees and offshore service providers perform administrative, data processing and document preparation functions on our behalf. They may also perform client service and administrative support functions under the supervision and control of our Australian representatives.

These arrangements are implemented in accordance with our Outsourcing Policy and governance framework designed to meet ASIC Regulatory Guide 104 requirements, including maintaining adequate resources, risk management systems, supervision, and ensuring services are provided efficiently, honestly and fairly.

We undertake due diligence prior to engagement and conduct ongoing monitoring to ensure offshore providers comply with strict confidentiality, privacy protections substantially similar to the Australian Privacy Principles, and appropriate cybersecurity controls.

Alteris remains responsible and accountable for personal information handled by its overseas service providers.

By engaging our services, you acknowledge and consent to the collection, use and disclosure of your personal information as described in this Privacy Policy, including disclosure to overseas service providers for administrative, data processing and client service support purposes. Where required by law, including under the Tax Agent Services Act 2009, we obtain your consent through our engagement letter or other written agreement that clearly discloses the nature of the services provided and the countries in which your information may be handled.

 5. Identifiers

We only use or disclose government identifiers such as Tax File Numbers when required or authorised by law.

6. Dealing with us anonymously

Due to the nature of financial services, we generally cannot deal with clients anonymously, except where lawful and practicable.

7. Marketing practices

We may contact you about products and services unless you opt out. You may update your marketing preferences at any time.

8. Sensitive information

We will not collect sensitive information without consent unless required by law or for legal claims.

9. Privacy complaints

If you have a privacy complaint, please contact our Privacy Officer at info@alteris.com.au or Level 11, 60 Carrington Street Sydney NSW 2000. If not resolved, you may contact the Office of the Australian Information Commissioner.

10. Our Privacy Policy 

For more information, please request a copy of our full Privacy Policy.