Common use of INSTRUCTIONS & ORDERS Clause in Contracts

INSTRUCTIONS & ORDERS. 7.1 In processing an Order, you acknowledge and agree that all dealings between you and us are subject and bound by: a. the Corporations Act 2001 (Cth) including the ASIC Market Integrity Rules; b. the rules, regulations, customs and usage of the relevant exchange as prescribed by ASX, NSX and SIM VSE or other exchanges, including but not limited to, the ASX Operating Rules, the NSX Business Rules and the SIM VSE Business Rules; c. the rules and procedures for the clearing facility operated by the ASX Clear; d. the rules and procedures for the settlement facility operated by the ASX Settlement; and e. our Best Execution Policy as published on our website. We may from time to time amend our Best Execution Policy and we will notify you of the changes by making such amendments available to you on our website. All such rules as outlined in this clause (7.1) are referred to in this document as the “Rules”. 7.2 You can place, amend or cancel Orders for buying and selling financial products subject to these Terms through one of our Electronic Trading Facilities or over the telephone with our Client DTR Service. 7.3 Your Order will be executed at the prices available on a Relevant Market (subject to any acceptable limit imposed). 7.4 You will give us each Order with the intention that it will be transmitted to the market for execution. It is your obligation to ensure that the details of each order instruction are accurate at the time you placed the order. 7.5 We will be deemed to have received your Order only at the time we have actual notice of the communication. 7.6 If placing an Order through our Client DTR Service, we will use our reasonable endeavors to execute your instructions but we do not guarantee that your instructions will be wholly or partially executed or will be executed by a certain time. 7.7 We will not accept an Order for the sale or purchase of financial products where we believe there would be no change in beneficial ownership resulting from the transaction. 7.8 You will not transfer financial products out of your Trading Account before settlement in a way that would have an effect of you being unable to meet your settlement obligations. 7.9 You must ensure that you have sufficient funds in your linked Cash Account to meet your trading and settlement obligations before you place a buy Order. You will not transfer funds out of your Cash Account before settlement in a way that would have an effect of you being unable to meet your settlement obligations. 7.10 You acknowledge that we will only accept your instructions to deal on behalf of the Trading Account where there are sufficient funds or financial products in the linked Cash Account or the Trading Account respectively at the time that the instructions are given to us. 7.11 You acknowledge that in accordance with rule 3280 of the ASX Operating Rules, rule 88 of the NSX Business Rules and rule 6.45 of the SIM VSE Business Rules, the relevant exchanges have the right to cancel or amend market transactions or crossings. WHEN WE MAY REFUSE AN ORDER 7.12 We may at any time for any reason in our absolute discretion refuse to accept an Order from you, including but without limitation, if: a. for a buy Order you have insufficient funds in your Cash Account to meet your settlement obligations. This includes brokerage, fees, any taxes and any other expenses payable; and/or b. there is insufficient liquidity for those financial products in the market. 7.13 We may also cancel an Order or restrict your ability to trade in financial products through your Trading Account: a. if we consider the Order is or will result in a breach of the market manipulation rules or xxxxxxx xxxxxxx rules as outlined in the ASIC Market Integrity Rules and/or Corporations Act (Cth); b. where in our opinion the Order would result in the creation of a disorderly market or prejudice the integrity or inefficiency of the market; c. if we consider the Order would result in misleading and deceptive conduct in relation to trading in financial products. 7.14 Where we take action as outlined above in clause 7.12 and 7.13, we are not liable for any loss (including the ability to place a trade) or any inconvenience you may suffer as a result of us taking any action or refusing to take any action. CORPORATE ACTIONS & DIVIDENDS 7.15 The issuer or appropriate share registry will notify you of any corporate actions relating to your financial products. If you want to participate in a corporate action through us, please contact our Client Services. 7.16 For corporate actions for which you are required to participate (eg. compulsory takeover): a. we will automatically effect the change in your holding of the particular financial products in your Trading Account; and/or b. the share registry will pay you cash in accordance with the terms of the corporate action transaction. 7.17 Where you have a choice as to how or whether you participate in a corporate action you can either contact us or your share registry to make an election. If you do not make an election by the due date, you may be given the default option as determined by the issuer, which may include: a. a change in your holding for the particular financial products. We will effect the change in your holding in your Trading Account; and/or b. a cash payment. 7.18 Where you have instructed us to automatically credit any dividends you receive into your Cash Account on the Account Application Form we will credit these to your Cash Account.

INSTRUCTIONS & ORDERS. 7.1 5.1 You authorise the Participant to accept instructions on Your behalf from SelfWealth and You confirm that SelfWealth(s) has/have the power to do the following in Your name and on Your behalf from time to time: a. to give instructions to the Participant relating to Your account; b. to acquire, buy, deal with and dispose of any financial product; c. to pay or receive payment for any financial product transactions and related expenses and to give good receipt and discharge for the financial product, proceeds and other monies; d. to execute all necessary or proper contracts and other documents for the custody, dealing and transfer of financial product and related matters; and e. to exercise all rights and privileges and perform all duties and obligations which may now or in future apply to You as a holder of financial product. 5.2 In processing an Order, you You acknowledge and agree that all dealings between you SelfWealth and us are subject and bound by: a. the Corporations Act 2001 (Cth) including the ASIC Market Integrity Rules; b. the rules, regulations, customs and usage of the relevant exchange as prescribed by ASX, NSX and SIM VSE or other exchanges, including but not limited to, the ASX Operating Rules, the NSX Business Rules and the SIM VSE Business Rules; c. the rules and procedures for the clearing facility operated by the ASX Clear; d. the rules and procedures for the settlement facility operated by the ASX Settlement; and e. our Best Execution Policy as published on our website. We may from time to time amend our Best Execution Policy and we will notify you You of the changes by making such amendments available to you You on our website. All such rules as outlined in this clause (7.15.2) are referred to in this document as the “Rules”. 7.2 5.3 You can place, amend or cancel Orders for buying agree to ratify and selling financial products subject to these Terms through one confirm all actions carried out by the Participant on the instructions of our Electronic Trading Facilities or over the telephone with our Client DTR ServiceSelfWealth. 7.3 5.4 Your Order will be executed at the prices available on a Relevant Market (subject to any acceptable limit imposed)Market. 7.4 You 5.5 SelfWealth will give us each Order with the intention that it will be transmitted to the market for execution. It is your Your obligation to ensure that the details of each order instruction are accurate at the time you You placed the order. 7.5 5.6 We will be deemed to have received your Your Order only at the time we have actual notice of the communication. 7.6 5.7 If placing an Order through our Client DTR Service, we will use our reasonable endeavors to execute your Your instructions but we do not guarantee that your Your instructions will be wholly or partially executed or will be executed by a certain time. 7.7 5.8 We will not accept an Order for the sale or purchase of financial products where we believe there would be no change in beneficial ownership resulting from the transaction. 7.8 You 5.9 SelfWealth will not transfer financial products out of your Your Trading Account before settlement in a way that would have an effect of you You being unable to meet your Your settlement obligations. 7.9 You 5.10 There must ensure that you have be sufficient funds in your linked Cash Account Your ANZ CMA to meet your Your trading and settlement obligations before you place a buy OrderOrder is placed. You will not transfer funds out of your Your Cash Account before settlement in a way that would have an effect of you You being unable to meet your Your settlement obligations. 7.10 5.11 You acknowledge that we will only accept your instructions from SelfWealth to deal on behalf of the Trading Account where there are sufficient funds or financial products in the linked Cash Account ANZ CMA or the Trading Account respectively at the time that the instructions are given to us. 7.11 5.12 You acknowledge that in accordance with rule 3280 of the ASX Operating Rules, rule 88 of the NSX Business Rules and rule 6.45 of the SIM VSE Business Rules, the relevant exchanges have the right to cancel or amend market transactions or crossings. 5.13 It is our practice to record telephone conversations with clients. In any complaint about our Services, we may rely upon these recordings and will provide a copy of any telephone recording we intend to rely upon within a reasonable time of the request. WHEN WE MAY REFUSE AN ORDER 7.12 5.14 We may at any time for any reason in our absolute discretion refuse to accept an Order from youSelfWealth, including but without limitation, if: a. for a buy Order you You have insufficient funds in your Your Cash Account to meet your Your settlement obligations. This includes brokerage, fees, any taxes and any other expenses payable; and/or b. there is insufficient liquidity for those financial products in the market. 7.13 5.15 We may also cancel an Order or restrict your Your ability to trade in financial products through your Your Trading Account: a. if we consider the Order is or will result in a breach of the market manipulation rules or xxxxxxx xxxxxxx rules as outlined in the ASIC Market Integrity Rules and/or Corporations Act (Cth); b. where in our opinion the Order would result in the creation of a disorderly market or prejudice the integrity or inefficiency of the market; c. if we consider the Order would result in misleading and deceptive conduct in relation to trading in financial products. 7.14 5.16 Where we take action as outlined above in clause 7.12 and 7.135.12, we are not liable for any loss (including the ability to place a trade) or any inconvenience you You may suffer as a result of us taking any action or refusing to take any action. CORPORATE ACTIONS & DIVIDENDS 7.15 The issuer or appropriate share registry will notify you of any corporate actions relating to your financial products. If you want to participate in a corporate action through us, please contact our Client Services. 7.16 For corporate actions for which you are required to participate (eg. compulsory takeover): a. we will automatically effect the change in your holding of the particular financial products in your Trading Account; and/or b. the share registry will pay you cash in accordance with the terms of the corporate action transaction. 7.17 Where you have a choice as to how or whether you participate in a corporate action you can either contact us or your share registry to make an election. If you do not make an election by the due date, you may be given the default option as determined by the issuer, which may include: a. a change in your holding for the particular financial products. We will effect the change in your holding in your Trading Account; and/or b. a cash payment. 7.18 Where you have instructed us to automatically credit any dividends you receive into your Cash Account on the Account Application Form we will credit these to your Cash Account.

INSTRUCTIONS & ORDERS. 7.1 5.1 You authorise the Participant to accept instructions on Your behalf from Your Authorised Representative and You confirm that Your Authorised Representative(s) has/have the power to do the following in Your name and on Your behalf from time to time: a. to give instructions to the Participant relating to Your account; b. to acquire, buy, deal with and dispose of any financial product; c. to pay or receive payment for any financial product transactions and related expenses and to give good receipt and discharge for the financial product, proceeds and other monies; d. to execute all necessary or proper contracts and other documents for the custody, dealing and transfer of financial product and related matters; and e. to exercise all rights and privileges and perform all duties and obligations which may now or in future apply to You as a holder of financial product. 5.2 In processing an Order, you You acknowledge and agree that all dealings between you Your Authorised Representative and us are subject and bound by: a. the Corporations Act 2001 Xxx 0000 (Cth) including the ASIC Market Integrity Rules; b. the rules, regulations, customs and usage of the relevant exchange as prescribed by ASX, NSX and SIM VSE or other exchanges, including but not limited to, the ASX Operating Rules, the NSX Business Rules and the SIM VSE Business Rules; c. the rules and procedures for the clearing facility operated by the ASX Clear; d. the rules and procedures for the settlement facility operated by the ASX Settlement; and e. our Best Execution Policy as published on our website. We may from time to time amend our Best Execution Policy and we will notify you You of the changes by making such amendments available to you You on our website. All such rules as outlined in this clause (7.15.2) are referred to in this document as the “"Rules”". 7.2 5.3 You can place, amend or cancel Orders for buying agree to ratify and selling financial products subject to these Terms through one of our Electronic Trading Facilities or over confirm all actions carried out by the telephone with our Client DTR Service. 7.3 Your Order will be executed at the prices available Participant on a Relevant Market (subject to any acceptable limit imposed). 7.4 You will give us each Order with the intention that it will be transmitted to the market for execution. It is your obligation to ensure that the details of each order instruction are accurate at the time you placed the order. 7.5 We will be deemed to have received your Order only at the time we have actual notice of the communication. 7.6 If placing an Order through our Client DTR Service, we will use our reasonable endeavors to execute your instructions but we do not guarantee that your instructions will be wholly or partially executed or will be executed by a certain time. 7.7 We will not accept an Order for the sale or purchase of financial products where we believe there would be no change in beneficial ownership resulting from the transaction. 7.8 You will not transfer financial products out of your Trading Account before settlement in a way that would have an effect of you being unable to meet your settlement obligations. 7.9 You must ensure that you have sufficient funds in your linked Cash Account to meet your trading and settlement obligations before you place a buy Order. You will not transfer funds out of your Cash Account before settlement in a way that would have an effect of you being unable to meet your settlement obligations. 7.10 You acknowledge that we will only accept your instructions to deal on behalf of the Trading Account where there are sufficient funds or financial products in the linked Cash Account or the Trading Account respectively at the time that the instructions are given to usof Your Authorised Representative. 7.11 You acknowledge that in accordance with rule 3280 of the ASX Operating Rules, rule 88 of the NSX Business Rules and rule 6.45 of the SIM VSE Business Rules, the relevant exchanges have the right to cancel or amend market transactions or crossings. WHEN WE MAY REFUSE AN ORDER 7.12 We may at any time for any reason in our absolute discretion refuse to accept an Order from you, including but without limitation, if: a. for a buy Order you have insufficient funds in your Cash Account to meet your settlement obligations. This includes brokerage, fees, any taxes and any other expenses payable; and/or b. there is insufficient liquidity for those financial products in the market. 7.13 We may also cancel an Order or restrict your ability to trade in financial products through your Trading Account: a. if we consider the Order is or will result in a breach of the market manipulation rules or xxxxxxx xxxxxxx rules as outlined in the ASIC Market Integrity Rules and/or Corporations Act (Cth); b. where in our opinion the Order would result in the creation of a disorderly market or prejudice the integrity or inefficiency of the market; c. if we consider the Order would result in misleading and deceptive conduct in relation to trading in financial products. 7.14 Where we take action as outlined above in clause 7.12 and 7.13, we are not liable for any loss (including the ability to place a trade) or any inconvenience you may suffer as a result of us taking any action or refusing to take any action. CORPORATE ACTIONS & DIVIDENDS 7.15 The issuer or appropriate share registry will notify you of any corporate actions relating to your financial products. If you want to participate in a corporate action through us, please contact our Client Services. 7.16 For corporate actions for which you are required to participate (eg. compulsory takeover): a. we will automatically effect the change in your holding of the particular financial products in your Trading Account; and/or b. the share registry will pay you cash in accordance with the terms of the corporate action transaction. 7.17 Where you have a choice as to how or whether you participate in a corporate action you can either contact us or your share registry to make an election. If you do not make an election by the due date, you may be given the default option as determined by the issuer, which may include: a. a change in your holding for the particular financial products. We will effect the change in your holding in your Trading Account; and/or b. a cash payment. 7.18 Where you have instructed us to automatically credit any dividends you receive into your Cash Account on the Account Application Form we will credit these to your Cash Account.

INSTRUCTIONS & ORDERS. 7.1 5.1 You authorise the Participant to accept instructions on Your behalf from Your Authorised Representative and You confirm that Your Authorised Representative(s) has/have the power to do the following in Your name and on Your behalf from time to time: a. to give instructions to the Participant relating to Your account; b. to acquire, buy, deal with and dispose of any financial product; c. to pay or receive payment for any financial product transactions and related expenses and to give good receipt and discharge for the financial product, proceeds and other monies; d. to execute all necessary or proper contracts and other documents for the custody, dealing and transfer of financial product and related matters; and e. to exercise all rights and privileges and perform all duties and obligations which may now or in future apply to You as a holder of financial product. 5.2 In processing an Order, you You acknowledge and agree that all dealings between you Your Authorised Representative and us are subject and bound by: a. the Corporations Act 2001 Xxx 0000 (Cth) including the ASIC Market Integrity Rules; b. the rules, regulations, customs and usage of the relevant exchange as prescribed by ASX, NSX and SIM VSE or other exchanges, including but not limited to, the ASX Operating Rules, the NSX Business Rules and the SIM VSE Business Rules; c. the rules and procedures for the clearing facility operated by the ASX Clear; d. the rules and procedures for the settlement facility operated by the ASX Settlement; and e. our Best Execution Policy as published on our website. We may from time to time amend our Best Execution Policy and we will notify you You of the changes by making such amendments available to you You on our website. All such rules as outlined in this clause (7.15.2) are referred to in this document as the “Rules”. 7.2 5.3 You can place, amend or cancel Orders for buying agree to ratify and selling financial products subject to these Terms through one confirm all actions carried out by the Participant on the instructions of our Electronic Trading Facilities or over the telephone with our Client DTR ServiceYour Authorised Representative. 7.3 5.4 Your Order will be executed at the prices available on a Relevant Market (subject to any acceptable limit imposed). 7.4 You 5.5 Your Authorised Representative will give us each Order with the intention that it will be transmitted to the market for execution. It is your Your obligation to ensure that the details of each order instruction are accurate at the time you You placed the order. 7.5 5.6 We will be deemed to have received your Your Order only at the time we have actual notice of the communication. 7.6 5.7 If placing an Order through our Client DTR Service, we will use our reasonable endeavors to execute your Your instructions but we do not guarantee that your Your instructions will be wholly or partially executed or will be executed by a certain time. 7.7 5.8 We will not accept an Order for the sale or purchase of financial products where we believe there would be no change in beneficial ownership resulting from the transaction. 7.8 You 5.9 Your Authorised Representative will not transfer financial products out of your Your Trading Account before settlement in a way that would have an effect of you You being unable to meet your Your settlement obligations. 7.9 You 5.10 There must ensure that you have be sufficient funds in your Your linked Cash Account to meet your Your trading and settlement obligations before you place a buy OrderOrder is placed. You will not transfer funds out of your Your Cash Account before settlement in a way that would have an effect of you You being unable to meet your Your settlement obligations. 7.10 5.11 You acknowledge that we will only accept your instructions from Your Authorised Representative to deal on behalf of the Trading Account where there are sufficient funds or financial products in the linked Cash Account or the Trading Account respectively at the time that the instructions are given to us. 7.11 5.12 You acknowledge that in accordance with rule 3280 of the ASX Operating Rules, rule 88 of the NSX Business Rules and rule 6.45 of the SIM VSE Business Rules, the relevant exchanges have the right to cancel or amend market transactions or crossings. 5.13 It is our practice to record telephone conversations with clients. In any complaint about our Services, we may rely upon these recordings and will provide a copy of any telephone recording we intend to rely upon within a reasonable time of the request. WHEN WE MAY REFUSE AN ORDER 7.12 5.14 We may at any time for any reason in our absolute discretion refuse to accept an Order from youYour Authorised Representative, including but without limitation, if: a. for a buy Order you You have insufficient funds in your Your Cash Account to meet your Your settlement obligations. This includes brokerage, fees, any taxes and any other expenses payable; and/or b. there is insufficient liquidity for those financial products in the market. 7.13 5.15 We may also cancel an Order or restrict your Your ability to trade in financial products through your Your Trading Account: a. if we consider the Order is or will result in a breach of the market manipulation rules or xxxxxxx xxxxxxx rules as outlined in the ASIC Market Integrity Rules and/or Corporations Act (Cth); b. where in our opinion the Order would result in the creation of a disorderly market or prejudice the integrity or inefficiency of the market; c. if we consider the Order would result in misleading and deceptive conduct in relation to trading in financial products. 7.14 5.16 Where we take action as outlined above in clause 7.12 and 7.135.12, we are not liable for any loss (including the ability to place a trade) or any inconvenience you You may suffer as a result of us taking any action or refusing to take any action. CORPORATE ACTIONS & DIVIDENDS 7.15 The issuer or appropriate share registry will notify you of any corporate actions relating to your financial products. If you want to participate in a corporate action through us, please contact our Client Services. 7.16 For corporate actions for which you are required to participate (eg. compulsory takeover): a. we will automatically effect the change in your holding of the particular financial products in your Trading Account; and/or b. the share registry will pay you cash in accordance with the terms of the corporate action transaction. 7.17 Where you have a choice as to how or whether you participate in a corporate action you can either contact us or your share registry to make an election. If you do not make an election by the due date, you may be given the default option as determined by the issuer, which may include: a. a change in your holding for the particular financial products. We will effect the change in your holding in your Trading Account; and/or b. a cash payment. 7.18 Where you have instructed us to automatically credit any dividends you receive into your Cash Account on the Account Application Form we will credit these to your Cash Account.