Partnership – a relationship between two or more persons carrying on a business in common with a view to profit (include full names not initials) Association – a group of people acting together within an incorporated or unincorporated association that does not have a view to profit (for example, a sporting club) Corporation sole – corporation consisting of one natural person holding a particular office and his/her successors to that office (for example, the Archbishop of Sydney) Body politic – a government of the Commonwealth, a State or Territory, or an unincorporated agency that forms part of such a government, or government body incorporated under the law of a Commonwealth, State or Territory for a public purpose. Other: Co-operative – an organisation owned, controlled and used by its members and incorporated under the relevant state or territory Act such as the Co-operatives Act 1992 (NSW) Superannuation fund – a fund that is a provident, benefit, superannuation or retirement fund or public sector superannuation fund Joint venture – an association of persons for particular trading, mining or other financial activities with a view to mutual profit Syndicate – a group of persons working together for a common purpose. AML/CTF Rules – your business must obtain and keep the information specified in the AML/CTF Rules for your business structure. A checklist of the information that your business is required to obtain and keep is at Appendix A. Name and address of trustee or partners If you are a partnership or trust you are required to answer this section. All other business types will automatically progress to Registration numbers associated with the business. Partnerships Provide the name and address of the partners: Individual – if a partner is a natural person, provide contact details for the partners (include full names not initials). Company – if a partner is a company registered in Australia or overseas, provide the following details: Legal name – for an Australian company this is the name registered with the Australian Securities and Investments Commission (ASIC) or, for a foreign company, the name registered with the relevant foreign regulator. Address – is the physical location or business address. The company’s physical location or business address is the main place where the company conducts its business, makes decisions or maintains its books and records. It must be a physical address and cannot be a post office box. Business registration numbers – provide details of all registration numbers that apply to the company:
Financial services Service or product category Table 1 designated services Account and deposit taking services (applies only to an authorised deposit-taking institution (ADI), bank, building society credit union, or person specified in the AML/CTF Rules) Item 1 – opening an account Item 2 – allowing a person to become a signatory to an account Item 3 – allowing a transaction to be conducted in relation to an account Item 4 – accepting money on deposit Item 5 – allowing a transaction to be conducted in relation to a deposit Issuing chequebooks or debit cards Item 14 – providing a chequebook or similar facility Item 15 – providing a chequebook in the capacity of a building society or credit union Item 16 – in capacity of trustee or trust manager providing a chequebook or similar facility Item 18 – issuing a debit card Item 18A – issuing debit card to a signatory of the account (other than holder of account) Item 19 – credit union or building society issuing a debit card Item 19A – credit union or building society issuing a debit card to signatory of the account Item 20 – trustee or trust manager issuing a debit card to beneficial owner Item 20A – trustee or trust manager issuing a debit card to a signatory authorised by beneficial owner Issuing money or postal orders Item 27 – issuing a money order, postal order or similar order Item 28 – in the capacity of an issuer of a money order, postal order or similar order cashing or redeeming that order Financial advisory services Item 54 – in the capacity of a holder of an Australian financial services licence making arrangements for a person to receive a designated service
Provide details of all key personnel You must provide the following details in relation to each of your business’s key personnel: Given name – this is the name that appears on all official documents. You must include all given names (for example, John Michael) (include full names not initials) Family name – this is the family name or surname that appears on all official documentation Position / Title – provide the job position or title that the key personnel holds in relation to the business Telephone number –provide a contact telephone number for the person during business hours. The telephone number may be a mobile number or landline Date of birth – provide the day, month and year of birth (for example, 28/07/1967) Email address –provide details of the person’s work email address. If the person does not have a work email address, provide their personal email address Address –provide the address of the physical location or business address of the business from which the person works Serious offences Has this person been charged, prosecuted and/or convicted in relation to money laundering, financing of terrorism, terrorism, people smuggling, fraud, a serious offence (either in Australia or a foreign jurisdiction), an offence under the AML/CTF Act or an offence under the FTR Act? The following information may assist you in determining whether this key person has been charged, prosecuted and/or convicted in relation to a relevant offence: Criminal proceedings Charged – formally accused of criminal conduct, usually in the form of a charge sheet Prosecuted – tried for a criminal offence (includes committal hearings) Convicted – found guilty of a criminal offence. Offences Money laundering – any offence where a person deals with money or property that is the proceeds of crime or could become an instrument of crime in relation to all indictable offences under the law of the Commonwealth, a state, a territory or a foreign country. Financing of terrorism – any offence where a person provides or makes available to or collects funds for or on behalf of a terrorist organisation or terrorist. Terrorism – any offence where a person commits a terrorist act, provides or receives training connected with terrorist acts, possesses things connected with terrorist acts, collects or makes documents that may facilitate terrorist acts or any other act that is done in preparation or planning for terrorist acts.
Licence or registration number – this is the number that identifies your business under the relevant registration or licence scheme. Country of issue – this is the country that issued the licence or registration. Serious offences For the purpose of answering the questions regarding civil, criminal or enforcement proceedings, ‘your business’s means: Sole trader – you Company – the company Trust – the trustee or trustees, which can be an individual or company Partnership – the partners Unincorporated association – members and office bearers of the association Corporation sole – the corporation sole Body politic – the body politic Other Co-operative – the co-operative Incorporated association – the incorporated association Superannuation fund – the trustee Joint ventures – unincorporated joint ventures, each party to the joint venture Syndicates – each individual member. Has your business been charged, prosecuted and/or convicted in relation to money laundering, financing of terrorism, terrorism, people smuggling, fraud, a serious offence (either in Australia or a foreign jurisdiction), an offence under the AML/CTF Act or an offence under the FTR Act? The following information may assist you in determining whether your business has been charged, prosecuted and/or convicted in relation to a relevant offence: Criminal proceedings Charged – formally accused of criminal conduct, usually in the form of a charge sheet Prosecuted – tried for a criminal offence (includes committal hearings) Convicted – found guilty of a criminal offence.
Postal address – the person’s physical location or business address of the business or registered place of business, including state or territory and country. Telephone – the contact telephone number for the person during business hours. This may be a mobile phone number. Email address – provide the person’s work email address. If the person does not have a work email address, provide their personal email address.