Document ID: chunk:federal_register_of_legislation:F2014L00343:body:0:p7
Version: federal_register_of_legislation:F2014L00343
Segment Type: other
Provision Reference: 
Character Range: 20421–23643

column 12; otherwise, report 'no';

                                          * if 'no longer acting as a responsible person' is reported in column 11, report the date that an individual ceased to hold the responsible person position in column 13. If the individual has not ceased holding the responsible person position, leave column 13 blank; and

                                          * the business phone number in column 14 and business email address in column 15.

                                      The types of responsible person are a director, director (Chair), executive officer (CEO), executive officer (CFO), other executive officer, senior manager, secretary or other responsible person. For the purposes of this instruction guide, a reference to 'a director' is, in the case of a group of individual trustees, an individual trustee. An alternate director must be reported as a director. Do not include responsible persons who are the RSE auditor or RSE actuary in item 1.1.

                                      The types of responsible person status are: 'changed', 'unchanged' or 'no longer acting as a responsible person':

                                          * if all information about an existing responsible person reported in item 1.1 column 1 to column 10 inclusive, column 12, column 14 and column 15 remains unchanged, report the status as 'unchanged';

                                          * if the existing responsible person is no longer a responsible person, report the status as 'no longer acting as a responsible person'; and

                                          * if any information about an existing responsible person reported in item 1.1 column 1 to column 10 inclusive, column 12, column 14 and column 15 has changed, report the status as 'changed'.

Position title                        Represents the employment position title of an individual.

Director                              Represents a director of an RSE licensee, within the meaning given in s. 10(1) of the SIS Act.  A reference to 'a director' is, in the case of a group of individual trustees, an individual trustee.

Director (Chair)                      Represents a director of an RSE licensee, within the meaning given in s. 10(1) of the SIS Act, who is serving as chairperson of the Board.

Executive officer (CEO)               Represents an executive officer (within the meaning given in s. 10(1) of the SIS Act) who is appointed to undertake the responsibilities of the Chief Executive Officer of the RSE licensee, howsoever named.

Executive officer (CFO)               Represents an executive officer (within the meaning given in s. 10(1) of the SIS Act) who is appointed to undertake the responsibilities of the Chief Financial Officer of the RSE licensee, howsoever named.

Secretary                             Represents a person acting as a secretary of the RSE licensee.

Senior manager                        Represents a person undertaking the responsibilities of a senior manager within the meaning given in Prudential Standard SPS 520 Fit and Proper.

Assessed under Fit and Proper policy  Represents whether a newly appointed responsible person has been assessed under the