Oasis.com

Oasis' share trading facility

Features for advisers' clients

• Each client will be allocated an individual HIN, enabling full entitlement to corporate actions approved by Oasis.
• Super/pension clients – access to 200 Australian listed securities on the ASX, generally based on the S&P/ASX 200 Index. In addition, a range of listed interest rate (LIRs) securities, preference shares, listed investment companies (LICs) and exchange traded funds (ETFs) are available.
• Investor Directed Portfolio Service (IDPS) clients – access to all ASX listed securities, including warrants and ETFs.
• Ability to participate in issuer’s Dividend Reinvestment Plan (DRP) where available.
• Trades settled by applying funds to/from the client’s cash account.
• Contra trading supported – i.e. proceeds from sales can be used to fund purchases before the settlement money is received.
• Advisers can trade via either the online broker or via one of the following supported external panel brokers (via phone/fax): JB Were, RBS Morgans, Bell Potter, Shaw Stockbroking, Morgan Stanley Smith Barney, Lonsec, EL & C Baillieu and E*Trade.
• Online corporate action election and participation (advisers only - investors with trading access will not have access to this feature).

Who is Australian Investment Exchange Ltd?

Structure

• Individual accounts are held by the custodian, with a separate HIN established for each investor.
• The underlying registration of the account and HIN are in the name of the custodian.
• All equity holdings are Clearing House Electronic Subregister System (CHESS) held, with AUSIEX as the sponsoring broker executing trades on the investor’s behalf.
• Oasis provide adviser details to AUSIEX in order for the adviser to be given access to the share trading facility.

Adviser licensing and authorisation

• Advisers must be appropriately licensed through their dealer to provide advice and deal in listed securities and/or warrants.
• New investors will be required to provide their adviser with standing authority to submit trading instructions on their behalf.
• Before submitting an investment instruction on behalf of an existing client, the adviser must ensure that he or she is appropriately authorised by the client to submit that instruction. The adviser must also keep a record of that authority.

Adviser trading access

• This form not only allows you to establish share trading for yourself and/or office staff, but also allows you to nominate your office staff to have [trading or view only] access to your investors' accounts.
• If you have multiple adviser accounts with one login code, share trading will be available on all adviser codes.
• If you have a corporate account, you will need to provide the adviser name who will be using the corporate account login code. All other advisers and office staff should have their details provided in step 2 - linked user access request.
• Accessing share trading will take approximately three business days following receipt of the form.

Margin lending

How do advisers place orders?

• Advisers can trade using an online trading platform.
• Advisers can access the share trading site via MoneyOne. No second login required.
• Orders can be placed online by advisers and/or their office staff and processed immediately by AUSIEX.
• Advisers are able to view their clients’ available cash for trading on the website (based on the balance as at the start of day), in addition to CHESS asset holdings.
• Advisers can trade using clients’ available cash. However, contra trading is supported so proceeds from sales can be used to fund purchases before the settlement money is received.
• MoneyOne® share balances will be updated overnight, but reflected immediately on the share trading website.
• Trades on behalf of super and pension investors are limited to those securities approved by the trustee (generally 200 of the largest stocks on the ASX and selected ETFs). Trade confirmations will be provided to advisers.
• Trades are settled through the investor's cash account on T+3.

• Advisers can use external panel brokers (as per the previous list) for access to advice and trading for listed securities where required.
• End of day data feeds are sent from the panel brokers to Oasis to update investor accounts.
• Trades on behalf of super and pension investors are limited to those securities approved by the trustee.
• Trades are settled through the investor's cash account on T+3.

• Super and pension investors' listed security holdings are subject to the trustee's diversification guidelines.
• Breaching the diversification guidelines will not prevent trading in listed securities.
• Where breaches of the diversification guidelines occur, an email notification will be sent to the adviser.

• Advisers will receive email notification of corporate actions that can be actioned on behalf of an investor. Reminder emails are also sent closer to corporate action close dates.
• Advisers can complete corporate action elections online via the MoneyOne website. Where no election is made the default action will apply.
• Advisers can submit corporate action elections in bulk for their clients or customise elections for each entitled investor.

• Shares are excluded from the investment instructions. Any amounts to be invested into shares should be allocated to the cash account first.
• Shares are excluded from automatic rebalance and reweight.
• Advisers are requested to allocate cash in excess of the standard cash account limit to use for share trading.
• Ongoing instructions are to be set at 100 pct cash (default strategy).
• Shares are excluded from the quarterly cash account top up process.