Document ID: chunk:federal_register_of_legislation:F2014L00343:body:0:p9
Version: federal_register_of_legislation:F2014L00343
Segment Type: other
Provision Reference: 
Character Range: 25978–28811

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 1.2.

Responsible persons information – Existing RSE auditor details
Item 2.1 collects information about the RSE licensee's current RSE auditor(s) and RSE auditor(s) that ceased during the reporting period.

Unit of measurement: report dates in item 2.1 column 4 and column 11 as DD/MM/YYYY; report item 2.1 column 8 as a whole number.

Item 2.1  Report each RSE auditor appointed by the RSE licensee as a separate line in item 2.

          For each RSE auditor, report:

              * the title in column 1, the given name(s) in column 2, the family name or surname in column 3, the date of birth in column 4 and former name(s), if any, in column 5;

              * name of the organisation which employs the RSE auditor in column 6;

              * ABN of the organisation which employs the RSE auditor in column 7;

              * number of RSEs within an RSE licensee's business operations that the RSE auditor is appointed to audit in column 8;

              * the responsible person status in column 9;

              * if the RSE auditor has been assessed under the fit and proper policy, report 'yes' in column 10. If RSE auditor appointed on an interim basis has not yet been assessed under the fit and proper policy, report 'interim' in column 10; otherwise, report 'no'.

              * if 'no longer acting as a responsible person' is reported in column 9, report the date that the RSE auditor ceased to hold the responsible person position in column 11; if 'changed' or 'unchanged' is reported in column 9, leave column 11 blank; and

              * the business phone number in column 12 and business email address in column 13.

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

              * if all information about an existing responsible person 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 2.1 column 1 to column 8 inclusive, column 10, column 12 and column 13 has changed, report the status as 'changed'.

ABN       Represents a unique public identifier issued to an entity registered in the Australian Business Register to be used in dealings with government.  A company registered