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AML/CTF Privacy Collection Notice 

This Privacy Collection Notice applies in respect of Frank Advisory Pty Ltd (ABN 43 659 178 882) and Frank Law Pty Limited trading as Frank Law (ABN 68 602 869 376) (“we”, “our” or “us”) who are committed to protecting your privacy.

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1. The purposes for collecting your personal information

We collect your personal information to comply with the customer due diligence requirements under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth) (AML/CTF Act). In particular, we collect and use your personal information to:

  • establish and verify your identity before providing services to you or to a person or entity you

  • establish and verify your identity before providing services to you or to a person or entity you represent;

  • understand the ownership, control and purpose of entities and arrangements involved in a matter where required;

  • assess, identify and manage risks relating to money laundering, terrorism financing, proliferation financing and other compliance obligations associated with our services;

  • conduct ongoing monitoring and due diligence where required by law;

  •  satisfy our reporting obligations under the AML/CTF Act; and

  • comply with our record-keeping requirements under the AML/CTF Act.

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2. The types of personal information we collect

To comply with our obligations under the AML/CTF Act we may collect a range of personal information about you, including:

  • Employment and organisational information, including your role, position, or relationship with an organisation or other entity;

  • Ownership and control information, including directorships, beneficial ownership interests, other officeholder positions, company records, trust deeds and information relating to the source of funds or wealth;

  • Identity and contact information, such as your name, date of birth, residential address and other contact details;

  • Identity verification information, including copies of passports, driver licences and other government-issued identification documents;

  • Due diligence and screening information, including information obtained through sanctions screening, politically exposed person (PEP) screening, adverse media checks and other background verification processes;

  • Information obtained from third parties and public sources, including information from tax authorities, public registers, databases and websites where personal information has been made publicly available; and

  • Sensitive information, where required or authorised by law, including criminal history information and information relating to political affiliations, exposures or associations.

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The type and extent of the personal information we collect will depend on the nature of the services we provide, the circumstances of the engagement and the level of customer due diligence required under the AML/CTF Act.

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3. How we collect your information

Personal information may be collected from a variety of sources, including directly from you, through your organisation, from publicly available records and registers, and from third-party providers such as Infotrack and AUSTRAC and its sub-processors (where applicable). We engage these providers to support identity verification, screening, risk assessment and other due diligence activities undertaken to comply with our legal and regulatory obligations.

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4. Who we may share your information with

We may disclose your personal information to third parties where necessary or appropriate to support our legal, regulatory and business operations, including:

  • Government agencies and regulators, including the Australian Securities and Investments Commission (ASIC), the Australian Transaction Reports and Analysis Centre (AUSTRAC), and other regulatory or enforcement bodies where disclosure is required or authorised by law;

  • Third-party providers that assist with customer due diligence and compliance activities, including identity verification, sanctions screening and background checks undertaken by providers such as First AML and, where applicable, its subcontractors and service providers;

  • Credit reporting bodies and credit providers, including Equifax, where permitted by law;

  • Our related entities and affiliated businesses;

  • External investigators and professional advisers, where required in connection with a matter or our compliance obligations; and

  • Contracted service providers that support our operations, including:

    • information technology and communications providers;

    • data storage, archiving and document management providers;

    • business support and administrative service providers;

    • research, analytics and reporting providers; and

    • professional advisers, including accountants, auditors, lawyers and recruitment consultants.

 

Where we disclose personal information to third parties, we will take reasonable steps to ensure that the information is handled in accordance with applicable privacy laws. This includes implementing appropriate contractual, technical and organisational safeguards designed to protect personal information from misuse, interference, loss and unauthorised access, modification or disclosure.

 

5. What happens if we cannot collect your information

If you do not provide us with your personal information, we may not be able to verify your identity and provide you (or the person you are acting on behalf of) with the legal services you have requested.

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6. Your privacy rights and our privacy policy

Our Privacy Policy contains further information about how we will handle your personal information and how you can access and correct your personal information. It also outlines how to lodge a complaint and how that complaint will be managed if you are concerned about how we handled your information.

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7. How to contact us about your privacy  

If you have any queries about the personal information that we hold about you or the way we handle that personal information, please contact our Chief Executive Officer, James Frank.

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Email (Frank Law)

For requests regarding personal information relating to the provision of legal services by Frank Law, please email info@franklaw.com.au.

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Email (Frank Advisory)
For requests regarding personal information relating to the provision of corporate advisory and consulting services by Frank Advisory, please email hey@frankadvisory.com.au.

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Mail 

James Frank, Frank Law & Advisory
PO Box 438
Parramatta NSW 2124

 

Telephone

(02) 9688 6023

 

Further general information about privacy is available on the website of the Office of the Australian Information Commissioner at www.oaic.gov.au/ or by calling the OAIC’s enquiry line at 1300 363 992.

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