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Privacy Policy (Financial Services)

The privacy of your personal information has always been important to us at Podium Financial Services. In addition to complying with the existing laws that govern the confidential information that you provide to us, we are also required to comply with the National Privacy Principles.


This privacy policy outlines how we manage your personal information. It also sets out what sort of personal information we hold, for what purposes and how we collect, hold, use and disclose that information.


Collecting Your Personal Information

Your personal information will be collected and held by Podium Financial Services, an authorised representative of GWM Adviser Services, an Australian Financial Services Licensee, who does not act in the capacity of an authorised representative in relation to securities:


  • providing you with the advisory services that you have requested;

  • managing our relationship with you; or

  • contacting you about products and services in which you may be interested.


To enable your financial adviser to provide you with the relevant financial advice you have requested, which is suitable for your investment objectives, financial situation and/or particular needs, we need to obtain and hold personal information about you. This includes:


  • your name, contact details and date of birth;

  • employment details and history;

  • financial details including your financial needs and objectives and your current financial circumstances including your assets and liabilities, income, expenditure, insurance cover and superannuation;

  • details of your investment preferences and risk tolerance;

  • family circumstances and social security eligibility; and

  • any other information that we consider necessary.


The personal information collected may include sensitive details such as health information and memberships to professional or trade associations.

If it is reasonable and practicable, we will only collect your personal information from you directly. Generally, your personal information will be collected when you meet with your adviser in person, provide your adviser with information over the telephone or via written correspondence. In some circumstances, we may need to collect personal information from third parties such as your accountant.


How Your Personal Information Is Held

Your personal information is generally held in client files or a computer database. Your personal information may also be held in a secure archiving facility.


We will seek to ensure that we take reasonable steps to ensure the personal information we hold is protected from misuse and loss, as well as from unauthorised access, modification and disclosure. We have ensured secure storage facilities, secure offices and access controls to our computer systems.


We will also take reasonable steps to destroy or permanently de-identify personal information that we no longer need for any purpose for which may be used or disclosed under the National Privacy Principles.


Using and Disclosing Your Personal Information

Your personal information may be disclosed for purposes related to the provision to you of the financial advice you have requested. The types of service providers that may be provided with your personal information are:


  • other financial advisers and organisations involved in providing the financial advice you have requested (which may include ongoing service) such as fund managers who assist us in providing financial advice and paraplanners;

  • insurance providers, superannuation trustees and product issuers in connection with the provision to you of the financial advice you have requested;

  • organisations that assist in operating a financial planning business such as those that provide administrative, financial, accounting, insurance, research, legal, computer or other business services;

  • your representatives or service providers such as your accountant, solicitor, tax agent, stockbroker or bank;

  • organisations involved in a business restructure or a transfer of all or part of the assets of our business or the due diligence procedures prior to any such sale or transfer;

  • government authorities and other organisations when required by law; and

  • organisations that you have consented to your personal information being disclosed to.


We will seek to ensure that your personal information is not used or disclosed for any purpose other than:


  • the primary purpose for which it was collected, a purpose that is related to the primary purpose for which it was collected or a related secondary purpose;

  • where you have consented to the use or disclosure; or

  • in other circumstances where the National Privacy Principles authorise the use or disclosure, such as when it is required by, or authorised, under law.


We may disclose your personal information to third parties who provide services to us, in which case we will seek to ensure that the personal information is held, used or disclosed consistently with the National Privacy Principles.


Accessing Your Personal Information

You can gain access to your personal information that we hold. This is subject to exceptions allowed by law such as where providing you with access would have an unreasonable impact upon the privacy of others. If we deny a request for access, we will provide you with the reasons for this decision.


Correcting Your Personal Information

We endeavour to take reasonable steps to ensure the personal information we collect, use or disclose is accurate, complete and up-to-date. If you believe any of the personal information we hold is not accurate, complete or up-to-date, please contact us and provide us with evidence.


If we agree the personal information requires correcting, we will take reasonable steps to do so. If we do not correct your personal information, we will provide you with the reasons for this decision. If you request that we attach to the information a statement claiming that the information is not accurate, complete and up-to-date, we will take reasonable steps to comply with this request.


Contacting Us and Privacy Issues

On request, you can obtain further information about how we manage your personal information or you can raise any privacy issues by calling us on 1300 PODIUM.

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