Document ID: chunk:federal_register_of_legislation:F2024L00996:schedule:1:p2
Version: federal_register_of_legislation:F2024L00996
Segment Type: schedule
Provision Reference: sch 1 (pt 2/3)
Character Range: 26873–29761

reportable breaches or reportable situations caused or contributed to by You;

           (i) details of written warnings or reprimands relating to You, given by ASIC or the Financial Services and Credit Panel to a financial services licensee under subsection 921S(2) or 921T(2) of the Corporations Act 2001, or instruments given by the Financial Services and Credit Panel to a financial services licensee under subsection 921M(1) of the Corporations Act 2001;

           (j) details of any unresolved inquiry or investigation concerning your conduct in progress at the time that the reference is given; and

           (k) any clarification or updates relating to the matters reported in the reference for a period of up to 6 months commencing after the day on which the reference is given.

       4. We will collect this Information from referee licensees, being:

           (a)  (where representative of a licensee) one or more of the current and former licensees for whom You are or were a representative in the preceding 5 years;

           (b) (where You are a licensee) You; and

           (c) (where mortgage broker in relation to mortgage aggregator) one or more of the current or former mortgage intermediaries who acted as an intermediary in relation to You in the preceding 5 years.

       5. The information we collect will only relate to the five-year period before the information is shared.

       6.  Information collected by Us will be collected, used, disclosed and stored by Us for the purposes described above, unless use or disclosure is required or authorised by law, including the Privacy Act 1988 (Cth), or You consent to the collection, use, disclosure or storage for a different purpose.

       7. Information collected by Us will be collected, used and disclosed for a period of 12 months commencing after the day You give consent, for the purposes described above, unless You have notified Us in writing that You withdraw this Consent. Unless it is withdrawn earlier, this Consent will cease at the end of that 12-month period.

       8. Information collected by Us will be stored for 5 years in accordance with the Protocol.

    Declaration of Prospective Representative

    I declare that I have read and understood the content of this consent form and consent to the collection, use and disclosure of this Information for a period of up to 12 months by [insert name of recruiting licensee], or until you are notified in writing that I have withdrawn it, whichever occur earlier.

    I acknowledge that the defence of qualified privilege applies when a referee licensee shares Information in accordance with the Protocol. Licensees have a defence of qualified privilege against a defamation action or a breach of confidence action resulting from information shared in the course of complying with their obligations under the Protocol.