The Wealth Partnership Pty Ltd Privacy Policy

National Privacy Principles

The Wealth Partnership Pty Ltd (The Wealth Partnership) is bound by the National Privacy Principles established under the Privacy Amendment (Private Sector) Act, 2001.

Our Privacy Policy sets out our commitment to those principles. We require our staff and each of our Representatives (which includes Authorised Representatives and Corporate Authorised Representatives) to adopt our Privacy Policy.


As a provider of financial planning services, The Wealth Partnership and its Representatives are subject to certain legislative and regulatory requirements which necessitate us obtaining and holding detailed information which personally identifies you and or contains information or an opinion about you.

Our ability to provide you with comprehensive financial planning services and advice is dependent on us obtaining certain personal and sensitive information about you, which may include:

  • details of your financial needs and objectives;
  • details of your current financial circumstances, including your as sets and liabilities, income, expenditure, insurance cover
  • details of your investment preferences and aversion or tolerance to risk;
  • information about your employment circumstances and history, family commitments and social security eligibility; and
  • health information (for insurance).

Failure to provide the personal and sensitive information referred to above may expose you to higher risks with respect to the recommendations made to you and may affect the adequacy or appropriateness of advice or financial service we give to you.

We will not collect any personal information about you except when you have knowingly provided that information to us or authorised a third party to provide that information to us.

Generally collection of your personal information will be effected in either face to face interview, by telephone or by electronic means (such as email).

From time to time, additional and or updated personal information may be collected through one or more of those methods.

We may also receive information about you from another Licensee as a result of our provision of financial planning support services to that other Licensee, including the provision of services relating to the processing of brokerage payments and compliance support services.

We will take reasonable steps to make sure that you are made aware of our collection of information about you.

We are also required to ask for certain information by law. Wherever there is a legal requirement for us to ask for information about you, we will inform you of the obligation and the consequences of not giving us the requested information. For example, in addition to obtaining personal information from you, we may need to obtain certain documentary evidence from you to confirm your identity. Such evidence may include a certified copy of your driver’s licence, passport , birth certificate or some other document.

Use and disclosure

The Wealth Partnership and its representatives will only collect, maintain and use Personal Information about you if it is necessary for us to adequately provide to you the services you have requested including:

  • the provision of financial planning advice and services to you;
  • making investment and insurance product recommendations;
  • implementing recommendations made to you; or
  • to support those services offered to you by another Licensee.

We will not use or disclose Personal Information collected by us for any purpose other than:

  • the purposes for which it was provided or secondary related purposes in circumstances where you would reasonably expect such use or disclosure;
  • where you have consented to such disclosure; or
  • where the National Privacy Principles authorise use or disclosure where required or authorised under law, in circumstances relating to public health and safety and in connection with certain operations by or on behalf of an enforcement body.

We are also obliged, pursuant to the Corporations Act to maintain certain transaction records and make those records available for inspection by the Australian Securities and Investments Commission.

We may use the personal information collected from you for the purpose of providing you with direct marketing material such as articles that may be of interest to you. However you may request not to receive such information by contacting our Representative.

We may disclose your Personal Information to superannuation fund trustees, insurance providers, fund managers, stockbrokers, credit providers and product issuers for the purpose of giving effect to the recommendations made by us.

We may also disclose your personal information to third party suppliers, for example financial planning software providers, commissions management providers, and external contractors or outsourced parties for the purpose of providing financial and credit services to you.

We may disclose your personal information to your accountant; or other professional or financial service provider where you have authorised such disclosure.

In order to ensure that you receive a personal and tailored service, your personal information may be transferred to one of our Authorised Representatives who will be your primary point of contact with our organisation.

In the event that an Authorised Representatives propose to sell their business, or transfer to another Licensee, they may disclose your personal information to a potential purchaser, or Licensee, for the purpose of them conducting due diligence investigations. Any such disclosure will be made in confidence and it will be a condition of that disclosure that no personal information will be used or disclosed by them. In the event that a sale of their business is affected, or they transfer to another Licensee, we may transfer your personal information to that purchaser of the business or License.

Document security and storage

Your personal information is maintained securely and is generally held in your client file in either paper based and/ or electronic format. Information may also be held in a number of electronic databases stored on site or off-site. We will seek to ensure that the personal information collected and held by us is protected from misuse, loss, unauthorised access, modification or disclosure.

In the event you cease to be a client of this organisation, any personal information which we hold about you will be maintained for a period of 7 years in order to comply with legislative and professional requirements, following which time the information will be destroyed.

Access and correction

You may request access to your personal information by contacting your Financial Planner or our Privacy Officer. A fee may apply to facilitate administration of such a request. We will (subject to the following exceptions) provide you with access to that information either by providing you with copies of the information requested, allowing you to inspect the information requested or providing you with an accurate summary of the information held. We will, prior to providing access in accordance with this policy, require you to provide evidence of your identity.

We will not provide you with access to your personal information if:

  • providing access would pose a serious threat to the life or health of a person;
  • providing access would have an unreasonable impact on the privacy of others;
  • the request for access is frivolous or vexatious;
  • the information related to existing or anticipated legal proceedings between us and would not be discoverable in those proceedings;
  • providing access would reveal our intentions in relation to negotiations with you in such a way as to prejudice those negotiations;
  • providing access would be unlawful;
  • denying access is required or authorised by or under law;
  • providing access would be likely to prejudice certain operations by or on behalf of an enforcement body or an enforcement body requests that access not be provided on the grounds of national security.

In the event we refuse you access to your personal information, we will provide you with an explanation for that refusal.

We will endeavour to ensure that, at all times, the personal information about you which we hold is up to date and accurate. In the event that you become aware, or believe, that any personal information we hold about you is inaccurate or incomplete, you may contact your Financial Planner, or our Privacy Officer, and provide us evidence of the inaccuracy or incompleteness and we will, if we agree that the information requires correcting, take all reasonable steps to correct the information.

If we do not agree that your personal information requires correcting, we must, if you request, take reasonable steps to ensure that whenever your personal information is accessed or handled in the future, it is apparent that you are not satisfied as to the accuracy or completeness of that information.

We will endeavour to respond to any request for access within 14-30 days depending on the complexity of the information and/or the request. If your request is urgent please indicate this clearly.

Our website

The Wealth Partnership website may contain links to other websites whose operator may or may not adhere to a privacy policy or be governed by the National Privacy Principles.

Our website uses cookies which allow us to identify your browser while you are using our site. Cookies do not identify you; they simply allow us to track usage patterns so that we can measure the level of interest in various areas of our site.

All browsers allow you to be notified when you receive a cookie and elect to either accept it or not. Your Internet service provider should be able to assist you to set your preferences.

Privacy complaints

If you wish to complain about any breach or potential breach of this privacy policy or the National Privacy Principles, your complaint should be directed to our Privacy Officer, as detailed below. We will endeavour to resolve any complaint to your satisfaction. However, if we are unable to satisfactorily resolve your concerns you can contact the Office of the Australian Information Commissioner who may investigate your complaint further.


Ellen Ferris
The Wealth Partnership Pty Ltd
Level 5, 35 Clarence Street,
Sydney, NSW, 2000
Telephone: 02 8220 7707
Facsimile: 02 8220 7737


We reserve the right to review and amend this Privacy Policy (Version February 2016) from time to time and to notify you by posting an updated version on our website at


Further information on privacy in Australia may be obtained by visiting the website of the Office of the Australian Information Commissioner at