FAQ

If you have entered a sponsoring agreement with a broker (or another CHESS sponsor) then you are a CHESS Sponsored Holder - also referred to as a Broker Sponsored Holder. If not, then you are an Issuer Sponsored Holder.

CHESS Sponsored holdings are identified by a Holder Identification Number (HIN) while Issuer Sponsored holdings can be identified by a Securityholder Reference Number (SRN).

Brokers provide a variety of services to their clients. Primarily, they facilitate securities trading - that is, the buying and selling of shares. If you want to buy or sell shares you need to do so via a broker.

To find a broker, visit the Australian Stock Exchange website, or check the Yellow Pages under 'Stock and Share Brokers'.

MUFG Corporate Markets understands that privacy is important to you. MUFG Corporate Markets is subject to the requirements of the Privacy Amendment (Private Sector) Act 2000 (Privacy Act), which governs, among other things, how private sector organisations handle personal information. Our Privacy Policy is available for you to read in this help section

If you think that one of your holding statement or payment advices has been stolen, you should notify us straight away. We will assist you with an urgent replacement of your SRN. If you have a broker sponsored holding notify your broker.

For information about the company in which you invest you can;

• Register for email updates - announcements, annual reports, newsletters, etc via the Investor Centre;
• Visit the Australian Stock Exchange website; and
• Visit the website of the company

Investors can elect how they receive annual and other financial reports through the Investor Centre. Past reports are available on the issuer website.

Some issuers may specifically preclude shareholdings from registration in a minor's name.

Where not specifically precluded, minors are able to hold shares in their name, however this may present several impracticalities and legal constraints. The following problems could occur;

• The contract to purchase the securities may not be valid.
• Tax File Number Legislation requires that a TFN or valid exemption is quoted, or
• resident withholding tax is deducted from any unfranked payment. Children under 16 years of age earning income from dividends are not able to claim their date of birth as an exemption. The income threshold does not apply to dividend income.
• They may not be legally entitled to sell shares or sign any transfer out of their name.
• They are not legally allowed to appoint a proxy or vote at meetings.
• They may not be allowed to issue instructions regarding change of address, banking requests and dividend elections.

To overcome these difficulties securities to be held for a minor should be registered in the name of a parent or guardian, with a designation such as for identification purposes.

To transfer the shares into the name of the parent of guardian, please complete a Minor Statement and Indemnity Form and a Transfer of Ownership Form. The forms should be submitted with a certified copy of the minor's full birth certificate or documentation that appoints you as the guardian.

Please note that above is a summary only and you should seek your own independent advice if you are considering registering shareholdings in the name of a minor.

Please return it to:

MUFG Corporate Markets 
Locked Bag A14
SYDNEY SOUTH NSW 1232

CHESS Sponsored holders should contact their broker.

For Issuer Sponsored holdings, MUFG Corporate Markets can only place a stop trade on a holding if specifically instructed under legal authority (eg. under court order), or if the shares have been moved to another SRN because the existing one has been lost or stolen.

A certified copy is a copy of an original document that has been certified as a true and correct copy by a person who is authorised to witness a statutory declaration. Persons who are authorised to witness statutory declarations (under the Commonwealth Statutory Declarations Act 1959) include:

• Accountant (Chartered or Certified)
• Clerk of a Court
• Commissioner for Affadavits
• Commissioner for Declarations
• Dentist
• Justice of the Peace
• Legal Practitioner
• Magistrate
• Medical Practitioners
• Nurse
• Pharmacists
• Police Officer
• Post Office Manager
• Sheriff or Sheriff's Officer
• Teacher
• Veterinary Surgeon

For information on other persons who are authorised to witness a statutory declaration, please contact us.

Under the Anti-Money Laundering and Counter Terrorism Financing Act 2006, security issuers and other market participants (such as MUFG Corporate Markets, a broker or financial planner) must take steps to identify investors before providing them with one of the following designated services:

1. A request by the buyer of securities in a stapled structure, trust or managed fund to register an Off-market Transfer Form;
2. An application to acquire securities in a stapled structure, trust or managed fund (check the PDS document for instructions); and
3. A request to MUFG Corporate Markets Market Services Limited to sell your securities.

If you are requesting one of the above services, then you may need to complete an AML/CTF Investor Identification Information Form and sent it to us with your completed transfer form, sale authority form or application form and, certified identity documents. Please contact MUFG Corporate Markets on +61 1300 554 474 for more information. Do this before submitting the transfer, application or sale authority form to MUFG Corporate Markets for processing.

Pursuant to Section 250D and 253B of the Corporations Act 2001, a company may appoint an individual as a representative to exercise all or any of its powers at meetings of a company's members. The appointment may be a standing one. The appointment must set out what the representative is appointed to do and may set out restrictions on the representative's powers. A Company may appoint more than one representative but only one representative may exercise the body's powers at any one time.

Letter of representation forms must be signed in accordance with the Company's constitution. Typically, by two signatories (i.e. two directors or a director and company secretary) OR by the sole director/sole company secretary. If a company representative turns up to a Meeting and has either not lodged the Letter of Representation form by the lodgement date, (if any), does not have a completed Letter of Representation form with them or is not able to complete and correctly sign one whilst in attendance, they can attend the Meeting as a visitor.

Copies of the form can be found on the forms section of our website or picked up at the Meeting. A Company may also write their own Letter of Representation, which will be accepted providing it is signed correctly.

Traditionally Investors have had to establish a relationship with a stockbroker in order to sell their shares. However, the Share Sale Centre now provides issuer sponsored shareholders with a simple, reliable and affordable alternative to traditional share sale services.

If you wish to use the Share Sale Centre to sell your shares, you will need to be an issuer sponsored shareholder and provide your SRN (Security Reference Number). You must sell your entire holding if using the Share Sale Centre.

Upon request, MUFG Corporate Markets will dispatch a personalised Sale Authority Form, an Investor Identification Information Form and a Financial Services Guide for your consideration. These will outline the terms and conditions of the service we provide as well as the required information you will need to supply to enable us to sell your shares.

If you are a CHESS sponsored holder you will need to contact your broker and will need your HIN (Holder Identification Number) to sell your shares.

For more information on terms, conditions, eligible issuers and to arrange mailing of the required forms please contact MUFG Corporate Markets Market Services on +61 1300 554 474.

If both holdings are issuer sponsored and the names, addresses and banking instructions are identical, the duplicate holdings can be amalgamated. Simply write to us quoting your SRNs and requesting that we amalgamate the holdings. Please nominate the SRN you wish to retain.

The names, addresses and banking instructions of the two holdings must be identical before we can amalgamate your holdings. You can compare and amend most of these details online. Alternatively, call MUFG Corporate Markets on +61 1300 554 474.

If you are holding employee shares, the requirements may be different - please call MUFG Corporate Markets on +61 1800 111 281.

If one or both of your holdings is CHESS sponsored, you will need to contact your broker to arrange for the amalgamation.

Yes. However, how you transfer your securities will depend upon your individual circumstances.

If you are CHESS Sponsored, you will need to contact your sponsoring broker who will arrange the transfer on your behalf. If you are Issuer Sponsored and wish to transfer your listed securities - i.e. securities listed on the Australian Stock Exchange - to another person you will need to complete an Off-market Transfer Form (Transfer of Ownership).

If you are Issuer Sponsored and wish to transfer your unlisted securities - i.e. securities not listed on the Australia Stock Exchange - to another person you will need to:

• complete an Off-market Transfer Form;
• have stamp duty assessed and paid on the transfer (in the state of incorporation); and
• lodge the stamped document with MUFG Corporate Markets Market Services Limited.

You will need your SRN or HIN to sell your shares. Transfers must be validly completed and signed and must meet the issuer's conditions of transfer.

Under the Anti-Money Laundering and Counter Terrorism Financing Act 2006, some security issuers must take steps to identify new investors. If the securities you want to transfer are issued by a stapled structure, a trust or a managed fund, then the buyer may need to complete an AML/CTF Investor Identification Information Form and send it to us with your completed transfer form and certified identity documents. Please contact MUFG Corporate Markets in Sydney on +61 1300 554 474 to find out whether the buyer must complete this form. Do this before submitting the transfer to MUFG Corporate Markets for processing!

Information such as address details, payment instructions and annual report elections can be confirmed online by logging into the Investor Centre. Changes made through posted forms may take up to ((5)) working days be processed. 

If your change request has not been affected after this period, please call MUFG Corporate Markets on +61 1300 554 474

MUFG Corporate Markets takes the security of your holdings very seriously, therefore there are restrictions on the extent of changes that may be conducted online. Availability is based on several factors, including industry regulations, transaction type and shareholding value. If the update you require is not available online, please complete and sign the relevant form and forward it to us for processing of your instruction.

Holders can record or change their tax file number by logging into the Investor Centre.

How you update your address details depends on your individual circumstances. If you have a CHESS sponsored holding (prefixed with an 'X') you must change your address through your broker. If you have an Issuer Sponsored Holding (prefixed with an 'I') then you can update your address details for Individual, Joint and Company holdings by logging in to your portfolio and selecting 'Update Address' under the 'Communications' section. This change can be applied to one or multiple holdings. For security reasons if a holding is of a certain value or relates to a deceased estate then you will not be able to update this online and you will need to download a 'Change of Address' Form from the 'Forms' section.

Please note that the Single Holding Login is read only. All updates, subject to restrictions, must be completed via your Portfolio Login.

How you change your name on your holding will depend upon your individual circumstances. If you are a CHESS sponsored investor, you must change your name via your broker. If you are an issuer sponsored investor, your can change your name by completing a Name Correction Request and Indemnity Form (Name Correction). Please note that we are unable to accept requests by facsimile, email or phone.

The completed form should be completed and signed correctly and accompanied by relevant supporting documentation. If you are signing under a power of attorney, a certified copy of the original power of attorney must be lodged with us for noting (if not already noted). Supporting documentation requirements differ, depending on the reason for the change of name;

• Change of name by marriage - We also require a certified copy of your marriage certificate;
• Change to maiden name - if you wish to revert to your maiden name, we require a certified copy of your marriage certificate;
• Change of name by Deed Poll - We require a certified copy of the deed poll;
• Change of Company Name - We require a certified copy of the Certificate of Registration of Change of Name.

If you are a CHESS sponsored investor, please contact your broker who will make the correction.

If you are an issuer sponsored investor, in most cases this simply requires completion of a Name Correction Request and Indemnity Form (Name Correction). Where the error has occurred in our office, we will immediately make the correction without asking you for any further documentation.

Please call MUFG Corporate Markets on +61 1300 554 474 to request a cancellation and reissue of your payment (charges may apply). If the original cheques were bank cheques, we will require your request in writing. Future payments (and in some cases, the outstanding payment) may be banked directly into your Australian bank, building society or credit union account. Not only is payment by direct credit much more secure, it's faster - payments are credited to your account as cleared funds, allowing you to access them on payment date.

You may update your payment instructions on this website.

Please call MUFG Corporate Markets on +61 1300 554 474 to request a cancellation and reissue of your payment (charges may apply). If the original cheques were bank cheques, we will require your request in writing.

Future payments (and in some cases, the outstanding payment) may be banked directly into your Australian bank, building society or credit union account. Not only is payment by direct credit much more secure, it's faster - payments are credited to your account as cleared funds, allowing you to access them on payment date.

You may update your payment instructions on this website.

In some cases, if the bank rejects your direct credit payment, a cheque will automatically be generated when the funds are returned to MUFG Corporate Markets. It will be mailed to your current registered address shortly thereafter. You will also be asked to update your bank account details for future payments.

In other cases, you may be required to provide new direct credit details to which the rejected payment and all future payments can be credited.

If your cheque has been lost or stolen, please call MUFG Corporate Markets immediately on +61 1300 554 474 to request a cancellation and reissue of your payment (charges may apply). If the original cheques were bank cheques, we will require your request in writing.

Future payments (and in some cases, the outstanding payment) may be banked directly into your Australian bank, building society or credit union account. Not only is payment by direct credit much more secure, its faster - payments are credited to your account as cleared funds, allowing you to access them on payment date.

You may update your payment instructions on this website.

Some issuers allow dividends/distributions to be paid into third-party accounts - that is, accounts with names that don't match that of the register holder. In all cases, the dividends/distributions of joint holdings can be credited into the account of any one of the joint holders.

For information regarding a particular issuer's payment policies, please call MUFG Corporate Markets on +61 1300 554 474.

Dividends must be declared in the same tax year in which they are paid. The Australian tax year commences 1 July each year and ends 30 June.

You will find all the payment information required to complete your annual tax return (e.g. franked amount, imputed tax credits, net payment, etc.,) on your payment advices.

If you have invested in a trust and have received distributions, your annual tax statement provides all the information required to complete your annual tax return.

If you are unable to locate your advices and/or tax statements, login to the MUFG Corporate Markets Market Services Investor Centre and download them from the Payment & Tax section. If you cannot find them online please call MUFG Corporate Markets on +61 1300 554 474 to order replacement copies (charges apply).

Please note that taxation will vary depending on your own personal circumstances. You should seek advice from your personal financial adviser or accountant. Tax laws may change over time and the summary above is a broad overview only. It is for information purposes only.

Your dividend history and advices are available online and details the net amount paid to you.

What happens to dividends I haven't received? (Unpresented cheques and unclaimed monies procedures)

You can obtain details of unpresented cheques for your shareholding by calling MUFG Corporate Markets on +61 1300 554 474.

For recent payments, shareholders can request cancellation and reissue of payment (charges may apply). If the original cheques were bank cheques, we will require your request in writing.

Payments made more than two years ago may be advertised in the Government Gazette and if not claimed, will be forwarded to Unclaimed Moneys. To obtain details of payments forwarded to Unclaimed Moneys, please call MUFG Corporate Markets on +61 1300 554 474. We will also provide you with the appropriate Unclaimed Moneys contact number.

Future payments (and in some cases, the outstanding payment) may be banked directly into your Australian bank, building society or credit union account. Not only is payment by direct credit much more secure, it's faster - payments are credited to your account as cleared funds, allowing you to access them on payment date.

Copies of the Dividend Reinvestment Plan (DRP) Rules are frequently available on the issuer's website.

Please refer to the MUFG Corporate Markets in our clients list on the Registers We Manage page.

Alternatively, please call MUFG Corporate Markets on +61 1300 554 474.

To find out if the company in which you invest offers a Dividend Reinvestment Plan (DRP) login to the Investor Centre, if any of your holdings has a current DRP it will appear under Payment & Tax --> Reinvestment Plans.

You can update payment instructions for Individual, Joint and Company holdings by logging in to your portfolio and selecting 'Update Payment instruction' from the 'Payment & Tax' section. This change can be applied to one or multiple holdings. For security reasons if a holding is of a certain value or relates to a deceased estate then you will not be able to update this online and you will need to download a 'Request for Direct Credit of Payments' Form from the 'Forms' section.

Please note that the Single Holding Login is read only. All updates, subject to restrictions, must be completed via your Portfolio Login.

To find out the value of your shares you multiply the number of securities (balance) by the current market price. You can view the value of your holding as of the last close by logging on to the Investor Centre.

For information regarding the tax implications of share ownership, please consult your tax adviser or accountant. Alternatively, visit the Australian Tax Office website.

When a holder dies, their assets form part of their estate. The administration of an estate can be complex, time consuming and sometimes distressing. At MUFG Corporate Markets we have created a range of services for assistance when dealing with an estate.

Our Guide to Dealing with the Security Holding of a Deceased Investor is a helpful tool for first-time administrators.

For information regarding the terms and conditions of your employee share plan, please contact your share plan administrator at your place of employment.

If MUFG Corporate Markets administers your company's employee share plan please contact the administrator of the plan for further details on how to contact us.

For information regarding the terms and conditions of your employee share plan, please contact your share plan administrator at your place of employment.

If MUFG Corporate Markets administers your company's employee share plan please contact the administrator of the plan for further details.

FATCA stands for the Foreign Account Tax Compliance Act. It was introduced by the United States Department of Treasury and the U.S. Internal Revenue Service (IRS) to combat tax evasion by U.S. taxpayers holding assets outside of the U.S.

On 28 April 2014, the Australian government signed an intergovernmental agreement (IGA) with the United States that will simplify compliance obligations and minimise the compliance burden on organisations. FATCA, under the signed IGA, imposes certain due diligence and reporting obligations on Australian financial institutions.

The Australian Taxation Office (ATO) website states that a key objective of the IGA is to assist in the facilitation of FATCA in a way that reduces the overall burden on business. This includes reporting information about U.S. citizens with ‘Financial Accounts’ via the ATO under the existing Australia-U.S. tax treaty arrangements.

The Common Reporting Standard (CRS) is the single global standard for the collection, reporting and exchange of financial account information on foreign tax residents. Under CRS, banks and other financial institutions will collect and report to the ATO financial account information about non-residents. The ATO will exchange this information with the relevant participating foreign tax authorities. In parallel, the ATO will receive financial account information on Australian tax residents from other countries’ tax authorities. This will help the ATO ensure that Australian tax residents with financial accounts in other countries are complying with Australian tax law, and act as a deterrent to tax evasion.

The CRS legislation received Royal Assent on 18 March 2016 and came into effect on 1 July 2017. The first exchange of information will occur during July 2018. To maximise efficiency and minimise costs, the Standard for Automatic Exchange of Financial Account Information (AEoI), or the “Standard” (CRS) was developed building on the FATCA IGA.

Under the FATCA and CRS rules, Issuers are required to collect certain information about each security holder’s tax residency and tax classification.

All accounts opened on/after 1 July 2017 are to be treated as ‘new accounts’ for FATCA/CRS and are required to certify.

All individual account holders and all entity account holders will be required to certify for themselves or alternatively for the designated account (where applicable) e.g. for a trust, other entity or person. Generally, the designated account is considered to be the ‘account holder’ for FATCA/CRS purposes except where the designated account is a description only, or the registered holder is a financial institution.

Simply log in to your account using your SRN/HIN at Investor Centre. 

From there, under the Payments & Tax tab you will find ‘FATCA/CRS’, where you can fill in the Self Certification.

Completing this information online is much easier as the questions will guide you, and in some instances it is only a couple of steps.

Yes, for new accounts from 1 July 2017 holding investments in Issuers caught by FATCA/CRS. Issuers caught by FATCA/CRS are referred to as Financial Institutions.

If you do not certify, the Issuer may be required to provide information about the account to the ATO including your security holding value and income, and other payments the account received during the calendar year.

In the case of FATCA, the ATO will exchange the reported information with the United States.

In the case of CRS, the ATO will exchange the reported information with the relevant CRS participating jurisdiction. Not all countries are CRS participating jurisdictions.

The ATO will not exchange tax information with a non-CRS jurisdiction; however, you are still required to certify.

Security holders are required to provide this information to Issuers through a ‘self-certification’. If you do not certify, the Issuer may be required to provide information about the account to the ATO including your security holding value and income, and other payments the account received during the calendar year.

For further information on FATCA and CRS, please visit www.ato.gov.au.

The self-certification will be recorded at an Investor level across all of the investments under a unique HIN. If you have multiple accounts under one HIN then it will be applied against all of these accounts. If you have an SRN it will only be applied to that account for that Issuer.

For example: if you have the same HIN with GPT, MGR and DXS, only one certification is needed.

MUFG Corporate Markets will not forward your certification for a HIN to any other external collector e.g. another share registry or Issuer. Your certification will only apply to accounts under the HIN where the Issuer register is maintained by MUFG Corporate Markets. You must certify with the other share registries directly if you hold investment accounts in Issuers with them.

A Taxpayer Identification Number (TIN) is an identification number used by foreign tax authorities. The format of a foreign TIN may vary and can include both alpha and numeric characters. The length (number of characters) of a TIN may vary depending upon the TIN format of the country of issue.

In relation to the United States, a TIN is a 9 digit number collected by the IRS in the administration of tax laws.

An investor who is required to certify must provide their foreign TIN if they have one. A TIN is the foreign equivalent of a TFN.A Global Intermediary Identification Number (GIIN) is a 19-character identification number (including period (.) separators) assigned by the IRS to participating Foreign Financial Institutions (FFIs) or Registered Deemed Compliant Financial Institutions. The GIIN is used to identify the Financial Institution’s FATCA ID, type or branch, category and country.

An investor that is an FFI must certify and provide their GIIN if they have one.

A public GIIN register is available on the IRS website.