In order for DFA Australia Limited ("Dimensional", "we", "us" or "our") to provide our products and services to you, it is necessary for us (or our appointed agent/s) to collect and often store your personal information. In doing so, we are committed to managing your personal information in a manner that reasonably seeks to ensure its confidentiality, integrity, and ongoing security. and complies with the requirements of the Australian Privacy Act 1988 (Cth) and the New Zealand Privacy Act 2020 (“Applicable Privacy Law”).

For the purposes of this Policy we describe "Personal Information" and "Sensitive Information" as:

Personal Information
Information or an opinion, whether true or not, and whether recorded in a material form or not, about you as an individual, whereby your identity is apparent, or can reasonably be ascertained, from the information or opinion (or as such term is otherwise defined or interpreted under Applicable Privacy Law). 

Sensitive Information
Information or an opinion about an individual’s: racial or ethnic origin; political opinions; membership of a political association; religious beliefs;  philosophical beliefs; membership of a professional or trade association; membership of a trade union; sexual preference or practices; criminal record; or personal health.

1) Dimensional Wholesale Trusts - Direct investments (hard copy/Investment Portal): If you are directly investing into the Dimensional Wholesale Trusts (“Trusts”), you will typically be asked to provide Personal Information when completing an account application form or requesting a transaction. This may include your name; address; email address; tax file number; assets; Trust account balance; investment activity; information voluntarily provided by you on Dimensional’s website; date of birth; telephone number; bank account details; residency for tax reporting purposes; relevant authorised signatory lists, which include the relevant names and signatures and where relevant titles of those individuals authorised to act on your account; and identification information collected as part of the anti-money laundering and counter-terrorism financing regulations.

Dimensional has appointed Citi as its agent to perform registry services which includes the setting-up of all new investor accounts and the processing of associated transactions within the Trusts. As our agent, Citi will be responsible for collecting and storing your Personal Information if you directly invest into the Trusts. Citi may appoint third party service providers for data collection and processing. Please refer to Citi’s Privacy Policy for further information, their current contact details can be located in the Product Disclosure Statement for the relevant Trust.

The Investment Portal is an online portal that allows investors in a Trust to apply and make redemption requests for units in the Trust and change certain investor details (such as bank account and address).

Hard copy applications are where you complete an application form and submit it via fax to our registry provider.

Please refer to the relevant Trust’s Product Disclosure Statement for more information on how to make investments.

2) New Zealand Portfolio Investment Entity (“PIE”): If you are investing directly into a PIE fund where Dimensional is the Investment Manager and Implemented Investment Solutions (“IIS”) is the Manager and Issuer of the PIE, you will typically be asked to provide Personal Information when completing an account application form or requesting a transaction. This may include your name; address; email address; IRD number; assets; PIE account balance; investment activity; date of birth; telephone number; bank account details; residency for tax reporting purposes; relevant authorised signatory lists, which include the relevant names and signatures and where relevant titles of those individuals authorised to act on your account; and identification information collected as part of the anti-money laundering and counter-terrorism financing regulations.

3) Find an Advisor: If you are using Dimensional’s web-based ‘Find an Advisor’ service, you may provide Personal Information when requesting the service (this is a service Dimensional provides to prospective investors who wish to engage a financial adviser for advice on investing in the Trusts, either directly or indirectly through a wrap service or master fund account). This may include your name; email address; location (country and postcode); and proposed investment amount.

4) Conferences, Events & Webcasts: If you are registering for a Dimensional conference, event or webcast through our website, you may provide Personal Information for registration purposes. This may include your name; address; email address; telephone number; company details and any dietary requirements. Where relevant, your name may be shared with your financial adviser to confirm conference, event or webcast attendance.

5) Meetings with prospects/clients: Personal Information may be taken during meetings with prospects and clients. This may include any Personal Information voluntarily provided by you, for example your name; email address and telephone number.

6) Recruitment: If you are applying for a role through our recruitment process, you may provide Personal Information. This may include your name; address; email address; telephone number; information contained on your resume; covering letter; academic transcripts and certificates; personal identification documents, such as a copy of your passport; birth certificate; drivers licence; salary information or information otherwise provided by you.

7) Rights to work: During the recruitment process, we may provide your name; date of birth; passport details; and/or identity card number to the Department of Immigration to confirm your work rights. The results of these checks will be provided directly to Dimensional. 

There may be instances where you provide Sensitive Information to Dimensional, or consent to it being collected. For example:

• Conferences & Events: You may provide health or dietary requirements relating to your attendance at Dimensional events.
  
  

• Police/Background Checks: During the recruitment process your name; phone number; and email address may be provided to Dimensional’s external police/background checking providers so they can contact you regarding the commencement of the checks. The types of checks that Dimensional may conduct through external providers includes but is not limited to: employment; education; police; criminal; credit; bankruptcy; global sanctions and anti-money laundering checks; World-Check searches; and any other appropriate checks as required. The results of these checks will be provided directly to Dimensional.

If you invest directly into our Trusts, we will collect Personal Information for the primary purposes of setting up your account(s), processing your transactions, and managing your account(s) generally, including sending you related correspondence such as transaction confirmations and year-end tax statements. We are unable to undertake these activities without this information. If you do not provide us with certain Personal Information on request, we may not be able to provide you with the products and services you have requested.

If you invest into a PIE fund, we will collect your Personal Information for the primary purpose of managing your relationship with Dimensional and management reporting.

Some Personal Information is collected for the purpose of compliance with relevant laws (laws, regulations, rules, directions or requests from regulatory or government agencies in both Australia and New Zealand), including the Financial Transaction Reports Act, the Anti-Money Laundering & Counter-Terrorism Financing Act (Australia and New Zealand) and global information reporting regimes such as the United States Foreign Account Tax Compliance Act (FATCA) and the Common Reporting Standards (CRS). We may also be required to provide certain information in relation to your investments to regulatory authorities or use it in order to resolve disputes. 

In addition, we may collect Personal Information to consider the suitability of prospective employees.

If you have concerns about whether we have complied with this Privacy Policy or the Australian Privacy Act, you can contact our Compliance Manager whose details are below. We are committed to handling any complaints quickly and fairly and will provide you with all reasonable assistance and information you may require to seek to resolve your complaint to your satisfaction.

Dimensional is a member of the Australian Financial Complaints Authority (“AFCA”), an external and independent dispute resolution service. In the unlikely event that you are not satisfied with our response to your complaint in respect of a Trust, you can contact AFCA directly on +61 1800 931 678.

The Office of the Australian Information Commissioner ("OAIC") can investigate privacy complaints from individuals. Complaints to the OAIC must be made in writing, typically using their online Privacy Complaint Form. You can contact OAIC directly on +61 1300 363 992. The New Zealand Privacy Commissioner can also investigate privacy complaints from individuals residing in New Zealand. 

Complaints can be made via their website at https://www.privacy.org.nz/about-us/contact/ or you can contact them directly on +64 0800 803 909.

Dimensional's Contact Details:
Telephone Number: +61 2 8336 7100
Fax: +61 2 8336 7197
[email protected]

The Compliance Manager
DFA Australia Limited
PO Box R1830
Royal Exchange NSW 1225, Australia

If you would like to know more about your rights to privacy or the Australian Privacy Principles, we recommend that you click on this link to the Office of the Australian Information Commissioner, or the New Zealand Privacy Commissioner’s website if you reside in New Zealand.