Document ID: chunk:federal_register_of_legislation:F2024L00996:schedule:4:p2
Version: federal_register_of_legislation:F2024L00996
Segment Type: schedule
Provision Reference: sch 4 (pt 2/3)
Character Range: 47410–50513

deliberate non-compliance in relation to the financial services laws or the credit legislation [Yes/No]

           (iv) gross incompetence or gross negligence [Yes/No]

           (v) a breach of the Financial Planners and Advisers Code of Ethics 2019 [Yes/No]

           Note: The conduct need not involve a contravention of the law.

       (d) If you answered Yes to any of the matters in Question 3(c), provide a brief summary of the details, including relevant information in relation to, internal assessments, external notifications or complaints in connection with the provision of financial services or credit assistance, about or arising from your conduct or performance (including any act or omission).

       (e) Has ASIC or the Financial Services and Credit Panel given you:

           (i) a written warning or reprimand under subsection 921S(1) or 921T(1) of the Corporations Act 2001? [Yes/No]

           (ii) an instrument under subsection 921M(1) of the Corporations Act 2001? [Yes/No]

       (f) If you answered yes to Question (3)(e)(i) or (ii), provide a copy of the warning, reprimand or instrument and a copy of the statement of reasons for the decision given to you by ASIC or the Financial Services and Credit Panel.

    4. Unresolved matters

       (a) Is there an inquiry or investigation in progress relating to your conduct in connection with the provision of financial services or engaging in credit activities under your licence, in relation to the 5-year period preceding the date the reference is given?  [Yes/No]

       (b) If you answered Yes to Question 4(a), provide:

           (i) a brief description of the nature of the circumstances that triggered the inquiry or investigation (for example a breach, complaint, compliance audit, external notification, internal assessment/review or other circumstance); and

           (ii) details of the progress and status of the inquiry or investigation.
Interpretation
In this request, a word or an expression that is defined in section 4 of the Protocol has the same meaning in this request.
Additional definitions
In this request:
client remedial action includes:

     (a) corrective disclosure being given to a client; and

     (b) compensation being given to a client either as a financial payment or other non-financial remedy.
complaint means a "complaint" as defined in Australian / New Zealand Standard AS/NZS 10002:2014 Guidelines for complaint management in organizations published jointly by, or on behalf of, Standards Australia and Standards New Zealand, as in force or existing on 29 October 2014.
compliance audit, means an audit or review of a licensee's compliance with financial services laws, credit legislation and licensee policies and procedures.

other remedial action includes additional training.

remedial action includes client remedial action or other remedial action.
unprofessional conduct of a licensee includes the following kinds of conduct of the licensee:
     (a) conduct which amounts to impropriety affecting professional character and which is indicative of