SubmissionData

Application Form Data

chessDetails
Type: object · ChessDetails
required

Details related to the CHESS registration for this account
- address
  required
  
  Address to be used on the CHESS statement. Please set addressType to either 'Street' or 'Postal'. The account owner will only receive paper statements to this address if specified or if this preference is overridden by CHESS or the issuing registry
  
  addressType
  Type: string enum
  required
  
  Type of Address for the entity it is included in
  
  values
  Postal
  Street
  Residential
  PrincipalPlaceOfBusiness
  RegisteredAddress
  countryCode
  Type: string enum
  required
  
  3-digit Country Code as specified in ISO-3166, in uppercase
  
  values
  ABW
  AFG
  AGO
  AIA
  ALA
  suburb
  Type: string
  required
  
  Name of the Suburb
  
  careOf
  Type: string | null
  
  The recipient or care-of information associated with the address
  
  poBox
  Type: string | null
  
  PO Box Number. Only valid for Postal AddressType, and if this is provided, StreetNumber, Name & Type are not required. PO Box should only be included in this field as numeric, and not in any other address fields.
  
  postcode
  Type: string | null
  
  Postcode as per country standards
  
  propertyName
  Type: string | null
  
  Name of the Property or other identifiers normally included in first line of address
  
  state
  Type: string | null
  
  State Code as per country standards
  
  streetName
  Type: string | null
  
  Name of the Street without Type
  
  streetNumber
  Type: string | null
  
  Street number or range of numbers
  
  streetType
  Type: string | null
  
  Street type
  
  unit
  Type: string | null
  
  Unit or Suite number
- electronicStatements
  Type: string enum
  
  Specifies the delivery method for CHESS statements. Options are: 'All' – receive all statements electronically; 'None' – receive all statements via post; 'AsxOnly' – receive only ASX-related statements electronically; 'IssuerOnly' – receive only issuer-related statements electronically. If set to 'None' or null, the account will not be registered for electronic statements.
  
  values
  All
  None
  AsxOnly
  IssuerOnly
- emails
  Type: array object[] | null
  
  Provide an email address to register as the primary contact address for electronic statements. If this field is blank, we’ll use the email address provided for the primary applicant. Note: ASX only support a single address, so only the first address provided here will be used. If this account shouldn’t be registered for electronic statements, set electronicStatements to "None" or null
equitiesAccount
Type: object · EquitiesAccountAction
required

Details about the EquitiesAccount that should be linked to this submission
- action
  enum
  const:
  Create
  required
  
  Are we creating a new EquitiesAccount or linking an existing one? At this point, only Create is supported
  
  values
  Create
individuals
Type: array object[] · Individual[]
required

List of any Individuals involved in this application
Individual involved in this application
- addresses
  Type: array object[] · Address[]
  required
  
  Individual’s Residential Address (set addressType to ‘Residential’). If postal address is different, please provide a second address with addressType set to ‘Postal'. Not required if the individualType is set to ‘Contact’
  
  Address
- countryOfCitizenship
  Type: string enum
  required
  
  Country of citizenship for this individual. 3-digit Country Code as specified in ISO-3166, in uppercase. Not required if the individualType is set to ‘Contact’
  
  values
  ABW
  AFG
  AGO
  AIA
  ALA
- dateOfBirth
  Type: string Format: date
  required
  
  Date Of Birth of the Applicant.YYYY-MM-DD format. Not required if the individualType is set to ‘Contact’
- email
  Type: string
  required
  
  Individual's email address. Not required if the individualType is set to ‘Contact’
- givenName
  Type: string
  required
  
  Individual's First name
- homeNumber
  Type: string
  required
  
  Valid landline number with Area Code and with or without Country Code. Please include country code (with +) if outside Australia. Not required if mobileNumber is provided. Only valid non-numeric characters are +, x, (, ), - and space
- individualType
  Type: string enum
  required
  
  Is this Individual an applicant for this account, or a related contact? Note: this impacts the details available under the ‘relations’ attribute
  
  values
  Applicant
  Contact
- isMainContact
  Type: boolean
  required
  
  Indicator if individual is the main contact of this application. It is required to have exactly one main contact
- lastName
  Type: string
  required
  
  Individual's Last or Surname
- mobileNumber
  Type: string
  required
  
  Valid mobile number with or without Country Code. Please include country code (with +) if outside Australia. Not required if homeNumber is provided. Only valid non-numeric characters are +, x, (, ), - and space
- occupation
  Type: string
  required
  
  Details of the individual's occupation. Not required if the individualType is set to ‘Contact’
- relations
  Type: array object[] · Relation[]
  required
  
  Indicates the Individual’s relationship to the Account, Company or Trust
  
  Indicates the Individual’s relationship to the Account, Company or Trust
- sourceOfWealth
  Type: string enum
  required
  
  Individual's source of funding for their account. Not required if the individualType is set to ‘Contact’
  
  values
  Employment
  GiftWindfall
  Inheritance
  InvestmentsAustralia
  InvestmentsSavings
  Savings
- alias
  Type: string | null
  
  Optional Alias or Alternate names for the Individual
- countryOfBirth
  Type: string | null enum
  
  Country Of Birth for this individual. 3-digit Country Code as specified in ISO-3166, in uppercase. Required when International tax is provided
  
  values
  ABW
  AFG
  AGO
  AIA
  ALA
- externalId
  Type: string | null
  
  An optional reference ID used by the client
- gender
  Type: string | null enum
  
  Individual's gender
  
  values
  Unspecified
  Male
  Female
  Other
  PreferNotToSay
- isPep
  Type: boolean
  
  Is this individual considered a Politically Exposed Person according to AUSTRAC?
- middleName
  Type: string | null
  
  Individual's Middle or Other Given Name
- tax
  
  Taxation details for Individuals. Not required if the individualType is set to ‘Contact’
  
  Taxation details for Individuals. Not required if the individualType is set to ‘Contact’
  
  australian
  Type: object
  required
  
  Australian taxation details for an Individual.
- title
  Type: string enum
  
  Salutation or Title of the Individual
  
  values
  Adml
  Att
  Bm
  Brig
  Bshp
- townOfBirth
  Type: string | null
  
  Town of birth for this individual
- workNumber
  Type: string | null
  
  Valid landline number with Area Code and with or without Country Code. Please include country code (with +) if outside Australia. Only valid non-numeric characters are +, x, (, ), - and space
acceptances
Type: array object[] | null · Acceptance[]

List of acceptances for any terms and conditions etc. against the application
Record of acceptance for any terms and conditions etc. against the application
- acceptanceId
  Type: string
  required
  
  Identifier of the acceptance as provided by or agreed with Openmarkets. This is a freeform field, but will need to be configured by Openmarkets to be valid
- result
  Type: string enum
  required
  
  Selection provided by user. ''Accepted: User chose true', 'Rejected: User chose false', 'LeftBlank: User didn't make a selection', 'NotPresented: the form didn't present this option to the user for any reason'
  
  values
  Accepted
  Rejected
  LeftBlank
  NotPresented
bankAccounts
Type: array object[] | null · BankAccount[]

List of BankAccounts and how they relate to the Application. If setting up an equitiesAccount, then at least one bank account with purposes of ‘EquitySettlement’ should be provided. Additionally either dividend distribution can go to the same account (by adding ‘EquityDividends’) or to a separate account by providing a new account with purposes of ‘EquityDividends’
An individual bank account
- accountNumber
  Type: string
  required
  
  6 to 10 digit, numeric bank account number
- action
  enum
  const:
  Link
  required
  
  Are we creating a new bank account or linking an existing one? At this point, only Link is supported
  
  values
  Link
- bankAccountType
  Type: string enum
  required
  
  Differentiates a linked cash management account from other settlement bank account types. If 'LinkedCmtCma' is selected, 'provider' cannot be null.
  
  values
  LinkedCmtCma
  BankAccount
- bsb
  Type: string
  required
  
  6 Digit BSB number
- name
  Type: string
  max length:
  128
  required
  
  Bank Account Name
- purposes
  Type: array string[] 1…enum
  required
  
  How will this Account be used? If this is an income direction account as well as a settlement account, include both EquitySettlement and EquityDividends in the array.
  
  values
  EquitySettlement
  EquityDividends
- externalId
  Type: string | null
  
  An optional reference ID for this particular bank account used by the client
- provider
  Type: string enum
  
  The Institution providing the bank account. Required when bank has a purpose of 'EquitySettlement' and a bankAccountType of 'LinkedCmtCma'. Nullable for bankAccountType 'BankAccount'. MBLA refers to Macquarie Bank. DDH refers to DDH Graham.
  
  values
  MBLA
  DDH
- secondaryAccountId
  Type: string | null
  
  Provide the secondary bank account ID if you have been instructed to by Openmarkets. This helps link accounts such as the Macquarie CMA
clientType
Type: string | null enum

Indicator of non-retail account types
values
- Retail
- OneOffSale
companiesAsOwner
Type: array object[] | null · CompanyAsOwner[]

List of companies that own this application
- acn
  Type: string
  required
  
  Australian company number of the company
- addresses
  Type: array object[] · Address[]
  required
  
  Address for the company. Required 'AddressTypes' of 'PrincipalPlaceOfBusiness' and 'Registered'
  
  Address
- name
  Type: string
  required
  
  Registered name of the company
- abn
  Type: string | null
  
  Australian business number of the company
company
Type: object · Company

Details about the Company (for accountType of Company, CompanySuperannuation, CompanyTrust)
- acn
  Type: string
  required
  
  Australian company number of the company. Required if countryOfIncorporation = ‘AUS’, or the PrinciplePlaceOfBusiness is in Australia, otherwise it’s not required
- addresses
  Type: array object[] · Address[] 2…2
  required
  
  Company Addresses. Please provide 2 addresses, one each of types ‘PrincipalPlaceOfBusiness’ and ‘RegisteredAddress’
  
  Address
- businessActivity
  Type: string enum
  required
  
  Nominate the industry this company operates under using a valid GICS option. Note that these codes apply to Public companies, if this is a private company and has not been classified under that system, please use 'GicsSectorCodeNotApplicable'
  
  values
  OilGasDrilling
  GasEquipmentServices
  IntegratedOilGas
  OilGasExplorationProduction
  OilGasRefiningMarketing
- companyType
  Type: string enum
  required
  
  Type of company
  
  values
  Private
  UnlistedPublic
  ListedPublic
  FinancialInstitution
- countryOfIncorporation
  Type: string enum
  required
  
  Country Code where the Company was Incorporated. 3-digit Country Code as specified in ISO-3166, in uppercase
  
  values
  ABW
  AFG
  AGO
  AIA
  ALA
- dateOfIncorporation
  Type: string Format: date
  required
  
  Date of Incorporation for the company. YYYY-MM-DD format
- name
  Type: string
  required
  
  Registered name of the company
- abn
  Type: string | null
  
  Australian business number of the company
- tax
  
  Taxation details for the Company.
  
  Taxation details for the Company.
  
  australian
  Type: object
  required
  
  Australian taxation details for the Company.
  
  fatcaStatus
  Type: string | null enum
  
  FATCA Status
  
  values
  DeemedCompliantFinancialInstitution
  ExceptedFinancialInstitution
  ExemptBeneficialOwner
  NonReportingIGAFinancialInstitution
  NonparticipatingFinancialInstitution
  USFinancialInstitution
  Other
  giin
  Type: string | null
  
  Global Intermediary Identification Number of the company
  
  taxClassification
  Type: string | null
  
  Tax classification of the company
designation
Type: string | null

Designation for the account, used for the CHESS registration. Prohibited keywords: "account, a/c, atf, trust, trustee, trustees, testamentary, act, acfo, test", whether in uppercase or lowercase. 'A/C' is automatically added. If left blank, the Trust name is used. Designation is required if Trust contains any prohibited keyword or if any of the individuals has a Minor role.
expectedDocuments
Type: integer Format: int32

How many documents are expected to be uploaded against this submission
hinDetails
Type: object · HinDetails

HIN details. Either create a new HIN, or provide details about transferring existing HIN, partial securities or SRN details
- action
  Type: string enum
  required
  
  Are we creating a new HIN or linking an existing one?
  
  values
  Create
  Transfer
- currentHin
  Type: object · CurrentHin
  
  Existing holder identification number (HIN) details. Required if performing a full HIN transfer request to this new account (no new HIN to be created) or a partial Stock transfer (move some stock from current HIN to a new HIN). Otherwise this object is optional.
- srnSecuritiesToTransfer
  Type: array object[] | null · SrnSecuritiesToTransfer[]
  
  Existing SRN Securities to transfer over to Openmarkets
  
  Existing SRN Securities to transfer over to Openmarkets
isClientSignedSponsorshipAgreement
Type: boolean

Is the Sponsorship Agreement signed by the client?
notes
Type: array object[] | null · Note[]

Optional notes attached to the application
Optional notes attached to the application
- text
  Type: string
  
  Note text
settlement
Type: object | null · Settlement

Represents a settlement configuration.
- method
  enum
  const:
  hin
  
  The method of settlement Allowed value: "hin"
  
  values
  hin
- participantHin
  Type: string | null
  
  The Holder Identification Number (HIN) of the participant.
- participantId
  Type: string | null
  
  The unique identifier of the participant.
tradeConfirmations
Type: array object[] | null · TradeConfirmation[]

List of Contact details for sending Contract Note confirmations. If left blank, any email addresses provided for individuals will be used for Contract Notes. If provided, this list will be used for Contract Notes, in place of the individual’s emails
Contact details for sending Contract Note confirmations. If left blank, any email addresses provided for individuals will be used for Contract Notes. If provided, this list will be used for Contract Notes, in place of the individual’s emails
- email
  Type: string
  required
- attention
  Type: string | null
  
  Optional greeting added to the contract note. Leave blank for default 'Dear Client'
- isClientAddress
  Type: boolean | null
  
  Indicator that specifies whether the provided address is the client's address
trust
Type: object · Trust

Details about the Trust (for accountType of IndividualTrust, CompanyTrust) or Super fund (for accountType of IndividualSuperannuation, CompanySuperannuation)
- addresses
  Type: array object[] · Address[]
  required
  
  The Trust’s Street address. One address only is required. Please set ‘addressType’ to ‘Street’
  
  Address
- countryOfEstablishment
  Type: string enum
  required
  
  Country of establishment
  
  values
  ABW
  AFG
  AGO
  AIA
  ALA
- name
  Type: string
  required
  
  Name of the Trust. Cannot contain prohibited keywords if Designation is not provided: "account, a/c, atf, trust, trustee, trustees, testamentary, act, acfo, test", whether in uppercase or lowercase.
- trustType
  Type: string enum
  required
  
  Type of Trust
  
  values
  SelfManagedSuperannuationFund
  OtherRegulatedTrust
  BareTrust
  DiscretionaryTrust
  FixedTrust
  UnitTrust
  OtherTrustType
- abn
  Type: string | null
  
  Australian Business Number of the trust. Required if account type is 'IndividualSuperannuation' or 'CompanySuperannuation'
- tax
  
  Taxation details for the Trust.
  
  Taxation details for the Trust.
  
  australian
  Type: object
  required
  
  Australian taxation details for the Trust.

Examples

{
  "individuals": [
    {
      "externalId": "CRM-4821",
      "individualType": "Applicant",
      "givenName": "James",
      "middleName": "Alan",
      "lastName": "Smith",
      "title": "Mr",
      "dateOfBirth": "1985-03-28",
      "email": "james.smith@example.com",
      "isMainContact": true,
      "mobileNumber": "0400000000",
      "homeNumber": "(03) 9000 0000",
      "workNumber": "(03) 9000 0001",
      "countryOfCitizenship": "AUS",
      "countryOfBirth": "AUS",
      "townOfBirth": "Melbourne",
      "isPep": false,
      "occupation": "Software engineer",
      "relations": [
        {
          "relatesTo": "Account",
          "role": "Owner"
        }
      ],
      "sourceOfWealth": "Employment",
      "addresses": [
        {
          "addressType": "Street",
          "propertyName": null,
          "unit": "12a",
          "streetNumber": "350",
          "streetName": "Collins",
          "streetType": "St",
          "suburb": "Melbourne",
          "postcode": "3000",
          "state": "VIC",
          "countryCode": "AUS"
        }
      ],
      "tax": {
        "australian": {
          "tfn": "865414088"
        }
      },
      "gender": "Male"
    }
  ],
  "hinDetails": {
    "action": "Create"
  },
  "chessDetails": {
    "emails": [
      {
        "email": "james.smith@example.com"
      }
    ],
    "electronicStatements": "AsxOnly",
    "address": {
      "addressType": "Postal",
      "propertyName": null,
      "unit": "12a",
      "streetNumber": "350",
      "streetName": "Collins",
      "streetType": "St",
      "suburb": "Melbourne",
      "postcode": "3000",
      "state": "VIC",
      "countryCode": "AUS"
    }
  },
  "bankAccounts": [
    {
      "action": "Link",
      "bankAccountType": "BankAccount",
      "provider": null,
      "name": "James Alan Smith",
      "bsb": "063000",
      "accountNumber": "12345678",
      "purposes": [
        "EquitySettlement",
        "EquityDividends"
      ]
    }
  ],
  "isClientSignedSponsorshipAgreement": true,
  "notes": [
    {
      "text": "Client is migrating from an existing broker."
    }
  ],
  "expectedDocuments": 2,
  "equitiesAccount": {
    "action": "Create"
  },
  "acceptances": [
    {
      "acceptanceId": "PrivacyFormVendor",
      "result": "Accepted"
    }
  ],
  "tradeConfirmations": [
    {
      "email": "james.smith@example.com",
      "attention": "Dear James",
      "isClientAddress": true
    }
  ],
  "clientType": "Retail"
}