盈透证券澳大利亚有限公司（“IBKR澳大利亚”）已指定法国巴黎证券服务公司（“BNP”）为第三方次保管银行为我们的客户保管澳大利亚证券交易所（“ASX”）挂牌的现金股票¹。IBKR澳大利亚确保所有您名下取得的证券均以IBKR澳大利亚全资托管公司盈透证券澳大利亚托管有限公司（“IBA Nominees”）的名义登记在BNP的账簿和记录之中。IBKR澳大利亚对IBA Nominees的行为负责。

为了您的便利，我们收集了客户对于此安排的一些常见问题以及公司行动方面的一些常见问题，详情如下：

我可以在我自己的持有人身份识别号码（HIN）下持有证券吗？

不支持。IBKR澳大利亚不支持个人HIN注册。而是由IBA Nominees通过在BNP或对应次保管机构设立综合账户的方式持有所有客户仓位。因此，您不会直接从证券登记机构收到CHESS报表和信息，但您仍然有权享有股息并可参与公司发生的任何公司行动。

IBKR澳大利亚支持ASX的IPO吗？

IBKR澳大利亚不支持。

但您仍然可以参与IPO并请求证券登记机构以发行人直接发行的形式接收IPO股票。登记机构接收之后，您便可以通过客户端的消息中心提交转仓咨询单、提供股票代码/账户持有人姓名/邮寄地址和股数请求将证券转至您的IBKR账户， 我们会为您进行处理。

如何监控公司行动相关投资组合和重要信息？

根据我们的条款与条件，您有责任了解自己在账户中交易和持有的所有证券、衍生品和其它金融产品的相关条款。这包括公司行动的详细信息和条款条件。尽管IBKR尽力确保为您提供最新的准确的信息，但我们不能对此进行任何保证或担保。我们为您所提供之信息的准确性可能会受到诸多因素的影响，如证券市场的信息处理延迟，市场数据供应商的错误或您所持股票之发行人的操作等等。因此，您应确保自己充分了解所有会对您IBKR账户所持产品造成影响的公开信息。

IBKR澳大利亚支持ASX股息再投资计划吗？

不支持。我们只支持现金派息。

对于涉及认购和购股计划的公司行动，提交选择的截止时间是什么时候？

由于IBKR澳大利亚指定了BNP作为我们的次保管机构保管ASX挂牌的现金股票，我们必须赶在市场截止时间（通常会在发行文件中说明）之前提交指令。如果您在登记日持有股票，我们会向您或您的经纪商/顾问发送电子邮件或通过消息中心通知提醒您或您的经纪商/顾问注意IBKR澳大利亚提交选择的截止时间（通常至少比市场截止时间提前4个工作日。如果错过了IBKR的提交截止时间但仍想提交请求，请在公司行动类别下提交一个咨询单。请注意，该等请求我们会尽最大努力处理，但并不保证一定会成功。如果我们成功提交了您的请求，则无论公司行动最后结果如何您都需按每笔请求100澳元的标准缴纳费用。所有的公司行动，发行人都有权自行决定是接受、削减还是拒绝您的请求。有关费用标准的更多信息，请参见此处链接。

在IBKR澳大利亚的截止时间之后我还能更改或取消我的选择吗？

一旦过了IBKR澳大利亚的截止时间，我们便只能是尽最大努力处理您的指令，不保证一定能将您的新请求提交上去。但是，如果我们成功提交了您的请求，则无论公司行动最后结果如何您都需按每笔请求100澳元的标准缴纳费用。所有的公司行动，发行人都有权自行决定是接受、削减还是拒绝您的请求。有关费用标准的更多信息，请参见此处链接。

IBKR澳大利亚支持机构配售吗？

不支持。通过IBKR澳大利亚提交的股票发行只面向散户投资者。如果同时有零售和机构发行，您无法同时两个都接受。如果证券登记机构或发行公司已就机构发行直接联系了您并且您也已经予以接受，则您不应再通过IBKR澳大利亚的平台参与零售发行。

IBKR澳大利亚会在付息日分配股票和退费（如有）吗？

一旦从BNP收到新股票并核对好所有参与客户的认购请求，IBKR澳大利亚便会尽最大努力及时分配股票。由于该过程通常有多方参与，IBKR澳大利亚无法保证您账户收到新股票和/或退费（如有）的确切时间。因此，通过IBKR澳大利亚提交公司行动请求即代表您确认，由于分配的证券和/或退费（如有）超出IBKR澳大利亚的控制，您账户收到证券和/或退费的时间可能会有延迟；并且您不会要求IBKR承担任何与此相关的损失或损害。

IBKR澳大利亚如何处理小数股权益？

现已不再支持向上取整权益的请求，包括小数股权益。所有选择均必须在客户端中按招股书或发行文件规定的有效股数提交，并且必须是整数股数。任何不符合要求的选择均会被拒绝或进行相应削减。

我作为外国投资者可以参加澳大利亚公司行动吗？

IBKR澳大利亚不提供法律、税务或投资建议，也不能决定您是否可以参加。通过在线客户端提交请求即代表您确认您已阅读并了解了招股书或发行文件，并且您并没有因为发行文件或招股书中所列的一条或多条限制（包括居住国家或地区相关限制）而无资格参加公司行动。证券登记机构将全权决定您是否具备参与资格并接受或拒绝您的请求。

对于需要付款的公司行动（如配股权发行和购股计划），资金什么时候扣除？

资金将于IBKR澳大利亚提交截止日从您的IBKR澳大利亚账户扣除。请确保您的IBKR澳大利亚账户届时有足够资金。如果没有足够资金，您的选择可能被拒，某些情况下，账户持仓会被强制清算。

通过IBKR澳大利亚提交ASX代理投票的截止时间是什么时候？

与提交公司行动选择类似，澳大利亚代理投票指令必须在大会前至少提交8个工作日提交。截止时间之后我们无法代您提交投票指令。

IBKR澳大利亚会提醒我即将进行的ASX代理投票吗？

ASX代理投票只是出于礼节提供的服务，我们不支持就即将举办的股东大会提供通知提醒。

针对ASX股票提交代理投票有哪些步骤？

要参加ASX上市公司的股东大会，您需要通过消息中心提交咨询单并表明您对决议的回应以及您此次投票想提交的股数。请在大会前至少提前8个工作日提供您的指令以便IBKR澳大利亚和我们的代理机构能有足够时间处理。 请注意，任何在提交截止时间之后收到的请求我们都只会尽最大努力处理，不保证一定能成功。 请不要直接联系BNP。

请确保您是在消息中心的代理投票类别下创建咨询单，并在咨询单中提供下方所有信息以避免发生延误：

• 咨询单标题：ASX (股票代码) Proxy Vote Submission
• 大会日期：
• 确认要投票的IBKR澳大利亚账户号码：
• 投票的股数：
• 每个决议项的指示（赞成/反对/弃权）：
• 同意该咨询单提交为最终决定且不可撤销，并且股票在大会前不会卖出。

1. 关于IBA为ASX证券指定的次保管机构的详细信息，请参见此链接

要配置您的消息中心偏好设置：

1. 登录客户端

2. 点击使用者菜单（右上角的头像图标），然后点击 安全消息中心。

3. 点击“撰写”按钮旁的偏好（齿轮）图标。

4. 将出现消息偏好设置窗口。

5. 使用下拉框为消息选择主要和次要偏好语言 。

6. 在安全消息传递部分选择您想要的传递选项。

7. 点击保存保存更改。

请注意，出于安全考虑，无法通过电子邮件或短信方式接收完整的消息。通过电子邮件或短信只能收到通知的概述。

更多信息请参见客户端用户指南的消息中心偏好设置。

Interactive Brokers Australia Pty Ltd (“IBKR Australia”) has appointed a third party sub-custodian: BNP Paribas Security Services (“BNP”), to hold ASX listed cash equities for the benefit of our clients¹. IBKR Australia ensures that securities acquired on your behalf are recorded in the books and records of BNP in the name of IBKR Australia’s wholly owned nominee company, Interactive Brokers Australia Nominees Pty Ltd (“IBA Nominees”). IBKR Australia is responsible for the conduct of IBA Nominees.

For your convenience, we have consolidated some common queries from clients regarding this arrangement, as well as some common queries regarding corporate actions in general.

Can I hold my securities on my own individual HIN (Holder Identification Number)?

No. IBKR Australia does not support individual HIN registration. Instead, IBA Nominees holds all client positions on an omnibus basis with BNP or the applicable sub-custodian. Accordingly, you will not receive CHESS statement and information directly from the registry, but you are still entitled to dividends and to participate in any corporate actions that the company offers.

Does IBKR Australia support ASX IPO’s?

No, this is not supported via IBKR Australia.

However, you can still participate in IPOs and request the IPO shares to be received at the registry in issuer sponsored form. Once received at the registry, you can raise a position transfer ticket via the client portal message center and request to transfer these securities to your IBKR account by providing the stock ticker / account holder’s name / mailing address and the number of shares, and we will assist further.

How to monitor your portfolio and important information about corporate actions?

Under our T&Cs , you are responsible for understanding the terms of all securities, derivatives or other financial products that you trade and hold in your account. This includes the details, terms and conditions associated with corporate actions. Whilst IBKR tries to ensure that the information which it provides to you is correct and up to date, we do not warrant or guarantee that this is the case. The accuracy and correctness of information which we pass on to you may be impacted by, amongst other things, delays in processing of information by the underlying market, failure of a market data vendor or the actions of the issuers of shares in your portfolio. As a result, you should ensure you are fully aware of any information that is publicly available that affects the products you hold in your IBKR account.

Does IBKR Australia support ASX dividend reinvestment plan?

No. We only support the cash payment method.

What is the deadline to submit elective corporate actions including subscriptions and share purchase plans?

As IBKR Australia uses BNP as our sub-custodian for holding ASX listed cash equities, we must submit our instructions earlier than the market deadlines (that are typically announced within the offer documents). If you are holding the shares at the record date, an email or message center notification will be sent to you or your broker / advisor to notify you of the IBKR Australia submission deadline, which is typically at least 4 business days prior to the market deadline. If you have missed the IBKR submission deadline but still wish to submit the request, please submit a ticket request under the Corporate Action category. Note that such requests are not guaranteed to be processed and are worked on best effort basis only. If we do submit your request, you will be charged a fee of AUD 100 for each request, regardless of the outcome of the corporate action. As with all corporate actions, the issuer has the sole discretion to accept, reduce or reject your request. For more information about the fees, please refer to this link here.

Can I change or cancel my election after the IBKR Australia deadline?

Once the IBKR Australia deadline has passed, your instruction can only be worked on best effort basis. There is no guarantee that IBKR can submit your new request. However, if we do submit your request, you will be charged a fee of AUD 100 for each request, regardless of the outcome of the corporate action. As with all corporate actions, the issuer has the sole discretion to accept, reduce or reject your request. For more information about the fees, please refer to this link here.

Does IBKR Australia support Institutional Offers where applicable?

No. The offer submitted through IBKR Australia is only for retail offers. Where there is both a retail and institutional offer, you cannot accept both the Institutional and Retail at the same time. If you have been contacted directly by the registry or the issuing company regarding an institutional offer and you have accepted it, then you should not participate in the Retail Offer via IBKR Australia platform.

Does IBKR Australia allocate shares and refund (if applicable) on the payment date?

IBKR Australia will, on a best efforts basis, promptly allocate the new shares once we have received them from the BNP and have reconciled the subscription requests from all participating clients with the allocation we have received. As this process often involves multiple parties, IBKR Australia cannot guarantee the exact timing when the new shares and/ or the cash refund (if applicable) will be received in your account. As a result, by submitting the corporate action request via IBKR Australia, you acknowledge that there may be a delay in receiving the allocated securities and/or refunds (if applicable) that is outside the control of IBKR Australia and as a result you will not hold IBKR for any harm or loss associated therewith.

How does IBKR Australia handle fractional entitlements?

Requests to round up entitlements are no longer supported, including fractional entitlements. All elections must be submitted via the client portal tool with a valid lot size as set forth in the terms and conditions of the prospectus or offering documents and must only be for a whole right entitlement. Any election submitted which does not meet the criteria may be rejected or reduced accordingly.

Am I eligible to participate in any Australian Corporate Action as a foreign investor?

IBKR Australia does not provide legal, tax or investment advice and determine your eligibility. By submitting your request through the online portal, you acknowledge that you have read and understood the prospectus or offer documents and that you are not ineligible to participate in the corporate action due to one or more of the restrictions set forth in the offering documents or prospectus, as applicable, including any restriction related residency. The registry, in its sole discretion, will determine your eligibility and whether to accept or reject your submission.

When will my funds be deducted for corporate actions requiring payment such as rights issue and shares purchase plan?

Funds will be deducted from your IBKR Australia account on the stated IBKR Australia deadline. Please ensure that there are sufficient funds available in the IBKR Australia account at that time. Failure to ensure that you have sufficient funding may result in a rejection of your election, and in some circumstances, forced liquidations to occur in your account.

When is the deadline to submit ASX Proxy Votes via IBKR Australia?

Similar to the circumstances of submitting elective corporate actions, Australian Proxy Vote instructions must be submitted at least 8 business days prior to the meeting day. We are unable to pass on voting instructions after this deadline has passed.

Will IBKR Australia notify me of upcoming ASX Proxy Votes?

ASX Proxy voting is provided as a courtesy service only and we do not support the provision of notifications for upcoming shareholder meetings, as such.

What are the steps to submit a proxy vote for ASX stock?

In order to participate in shareholder meetings for ASX listed companies, you will need to submit a ticket via Message Center and indicate your responses to the resolutions and the number of shares you would like to submit as part of the vote. Please provide your instructions at least 8 business days prior to the meeting for IBKR Australia and our agent to have sufficient time for processing. Note that any requests received after this submission deadline are not guaranteed to be processed and are worked on best effort basis only. Please do not contact BNP directly.

Please ensure you create a ticket under the category Proxy Voting on the Message Center with all of the following information to avoid any delays:

• Ticket Subject ASX (Stock Ticker) Proxy Vote Submission
• Meeting date:
• Confirm the IBKR Australia account number to vote:
• Number of shares to vote:
• EACH resolution item vote direction (FOR/AGAINST/ABSTAIN):
• Agree this ticket submission is final and irrevocable and the shares will not be sold prior to the meeting date.

1. For complete details of the sub-custodians that IBA has appointed for ASX securities, please refer to this link