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Rivkin Securities Terms and Conditions

Last updated: 7 January 2019

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2.1 The Client appoints Rivkin Securities to provide General Advice and/or Private Client Execution Services and Rivkin Securities accepts its appointment in accordance with the terms and conditions contained in this Agreement.

2.2 In the performance of the General Advice, Rivkin Securities may present its recommendations in writing or otherwise to the Client and the Client may provide their instructions in writing or orally.

2.3 The Client agrees to provide to Rivkin Securities accurate, complete and up to date information for the purposes of Rivkin Securities providing General Advice.


3.1 The Client releases and discharges Rivkin Securities, and agrees that Rivkin Securities is not liable whatsoever for any loss which results from:

a. the general risks of investing

b. losses due to forces or reasons beyond Rivkin Securities' control, including strikes, work stoppages, acts of war or terrorism;

3.2 The Client acknowledges and agrees that Rivkin Securities is not responsible for the accuracy or completeness of any information received from third parties and passed to the Client or used by Rivkin Securities in providing the General Advice unless Rivkin Securities is actually aware that the information is not accurate and complete.

3.3 The Client recognises that Rivkin Securities in the provision of its services relies on the information provided to it by the Client and as such the accuracy and completeness of the services provided by Rivkin Securities will be diminished in the event that the information provided by the Client is not accurate, complete or not up to date. The Client holds Rivkin Securities harmless in the event the Client suffers any financial loss as a result of the information provided to Rivkin Securities by the Client is inaccurate, incomplete, out of date or not appropriately updated.

3.4 The Client acknowledges that they have received a Financial Services Guide by Rivkin Securities.


4.1 The Client directs and authorises Rivkin Securities to instruct the Broker on their behalf to purchase and/or sell Securities or Derivatives in accordance with the Client's instructions as advised to the advisor in the course of providing the Private Client Execution Service.

4.2 For the purposes of instructing the Broker, the Client will provide sufficient information to the advisor providing the Private Client Execution Service such that Rivkin Securities can direct the Broker in accordance with the Client's instructions to buy or sell Securities or Derivatives on behalf of the Client. Rivkin Securities will not at any time hold, take possession or control any funds or take possession or control of any Securities or Derivatives belonging to the Client whilst  roviding the Private Client Execution Service. Any proceeds resulting from the sale of Securities by the Client are to be deposited by the Broker into the account stipulated by the Client.

4.3 In respect of the Private Client Execution Services, the Client is responsible for the communication of orders to Rivkin Securities. The Client must after carrying out a transaction that involves buy or sell orders or the suspension or termination of those orders record the details and then use the relevant enquiry function to determine the status of the transaction.

4.4 In providing the Private Client Execution Service, Rivkin Securities has the sole and unfettered discretion to decline instructions at any time and to refuse to act on the Client's behalf where:

a. the basis of quotation for the Security or Derivative has changed and the instruction has not been reconfirmed by the Client;

b. the security or other investment medium has been subject to a trading halt and the Client has not reconfirmed instructions;

c. Rivkin Securities believes that the instructions are ambiguous, incomplete or unclear; or

d. Rivkin Securities believes there may be a breach of the Corporations Law or ASX Rules.


5.1 The Client acknowledges that Rivkin Securities uses Technology in providing all or part of the Private Client Execution Service, and that in the interest of protecting the integrity of the Technology involved in the Private Client Execution Service, Rivkin Securities may suspend the operation of the Private Client Execution Service or any part of the services. The Client acknowledges that Rivkin Securities will not be liable where Rivkin Securities fails to act within a reasonable time of receiving an automatic or conditional instruction due to any suspension of this Technology.

5.2 The Client acknowledges:

a. that other third parties, including but not limited to telecommunications carriers, telecommunications service providers and Internet service providers are involved in the supply of the Technology and the quality of their products and services may affect the performance of the Private Client Execution Service and the reliability of data transmission; and

b. that no information provided on the Rivkin Securities Website operates as an offer to buy or sell securities from Rivkin Securities or as a personal securities recommendation from Rivkin Securities.


6.1 The Client acknowledges that Rivkin Securities collects information on individuals and companies for the purpose of providing General Advice or Private Client Execution Services and that in order to provide this General Advice the financial information will:

a. be stored in hard copy by advisers; and

b. be accessible to advisers, network administrators and officers of the company; and

c. will not be provided to a third party; however this excludes disclosures which may be made by Rivkin Securities to third parties as it may be required by law.

6.2 The Client acknowledges that personal information may be viewed and/or modified by Rivkin Securities on an ongoing basis as required for the proper administration of Client files.

6.3 Unless otherwise advised, the Client authorises Rivkin Securities to collect and collate statistical information about the use of it's products and services and to release that information. The release of statistical information can be to either prospective or current clients of Rivkin Securities. The Statistical Information will not contain information which identifies the Client or a particular transaction of the Client, unless Rivkin Securities has the prior written consent of the Client.