{"id":"F2014L00343","name":"Financial Sector (Collection of Data) (reporting standard) determination No. 7 of 2014 - SRS 520.0 - Responsible Persons Information","slug":"financial-sector-collection-of-data-reporting-standard-determination-no-7-of-2014-srs-520-0-responsi","collection":"legislative_instrument","jurisdiction":"commonwealth","status":"in_force","isInForce":true,"actNumber":null,"makingDate":null,"administeringDepartment":null,"currentVersion":{"id":128478,"registerId":"commonwealth-F2014L00343-current","compilationNumber":null,"startDate":"2026-04-03","status":"InForce","reasons":null,"registeredAt":null},"sections":[{"sectionNumber":"SRF 520.0 and these instructions togethe","sectionType":"part","heading":"SRF 520.0 and these instructions together comprise the form, and prescribe the procedures, for the purposes of paragraph 48 of SPS 520, for providing the information required by paragraphs 45, 46 and 47 of SPS 520.","content":"Reporting Form SRF 520.0\n\nResponsible Persons Information\n\nInstructions\n\nThese instructions assist completion of Reporting Form SRF 520.0 Responsible Persons Information (SRF 520.0). Prudential Standard SPS 520 Fit and Proper (SPS 520) requires an RSE licensee to provide certain information to APRA and to ensure that this information remains correct for all responsible persons. Information reported in SRF 520.0 is required primarily for prudential and publication purposes.\n\n# SRF 520.0 and these instructions together comprise the form, and prescribe the procedures, for the purposes of paragraph 48 of SPS 520, for providing the information required by paragraphs 45, 46 and 47 of SPS 520.\n\n# Reporting level\n\nSRF 520.0 must be completed for each RSE licensee.\n\n# SRF 520.0 must be submitted:\n\n#  within 28 days of the commencement of SPS 520 (when complying with paragraph 44);\n\n#  within 14 days of any change or new appointment of a responsible person (when complying with paragraph 45); and\n\n#  within 14 days of an RSE licensee assessing that a responsible person is not fit and proper (when complying with paragraph 46).\n\nSRF 520.0 does not need to be completed in full when submitting information in the three situations listed above. In each situation, SRF 520.0 must be completed only to the extent necessary to comply with the relevant paragraph of SPS 520.\n\nAn RSE licensee may use the annual form to correct and update the information they have provided to APRA for this purpose by resubmitting the form through D2A.\n\nReporting basis and unit of measurement\n\nReport all items on SRF 520.0 in accordance with the Australian Accounting Standards unless otherwise specified.\n\nItems on SRF 520.0 must be reported as at the end of the reporting period.\n\nItems on SRF 520.0 are to be reported as text, whole numbers and dates as DD/MM/YYYY.\n\nThese instructions specify the unit of measurement that applies to each item.\n\n# Specific instructions\n\nTerms highlighted in bold italics indicate that the definition is provided in these instructions.\n\n## Responsible persons information - Existing directors, executive officers and senior managers\n\nItem 1.1 collects all existing responsible persons that are directors, executive officers or senior managers of the RSE licensee at the time of submission of SRF 520.0, or have ceased to be a responsible person during the reporting period.\n\nUnit of measurement: report dates in item 1.1 column 4 and item 1.1 column 13 as DD/MM/YYYY.\n\n| Item 1.1 | Report each responsible person as a separate line in item 1.1. If a responsible person is serving as chairperson on the Board, report that responsible person as director (chair) and director on two separate lines in item 1.1.For each responsible person, 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 the former name(s), if any in column 5;the type of responsible person in column 6. If the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report the position title of the responsible person in column 7; otherwise, leave blank;if the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report a brief description of the main responsibilities of the responsible person in column 8; otherwise, leave blank;the employer in column 9. The employer may be the RSE licensee or may be another entity;if the employer is the RSE licensee or is an associate of the RSE licensee report ‘yes’ in column 10, otherwise report ‘no’;the responsible person status in column 11;if the responsible person has been assessed under the fit and proper policy, report ‘yes’ in column 12. If a person holding a responsible person position on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in 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; andthe 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’; andif 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’. |\n| ------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n| Position title | Represents the employment position title of an individual. |\n| 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. |\n| 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. |\n| 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. |\n| 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. |\n| Secretary | Represents a person acting as a secretary of the RSE licensee. |\n| Senior manager | Represents a person undertaking the responsibilities of a senior manager within the meaning given in Prudential Standard SPS 520 Fit and Proper. |\n| Assessed under Fit and Proper policy | Represents whether a newly appointed responsible person has been assessed under the entity's fit and proper policy. Reference: Prudential Standard SPS 520 Fit and Proper. |\n\n## Responsible persons information - New directors, executive officers and senior managers\n\nItem 1.2 collects all new responsible persons that are directors, executive officers or senior managers of the RSE licensee at the time of submission of SRF 520.0.\n\nUnit of measurement: report dates in item 1.2 column 4 and item 1.2 column 12 as DD/MM/YYYY.\n\n| Item 1.2 | Report each responsible person as a separate line in item 1.2. If a responsible person is serving as chairperson on the Board, report that responsible person as Director (Chair) and director on two separate lines in item 1.2.For each responsible person, 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 the former name(s), if any in column 5;the type of responsible person in column 6. If the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report the position title of the responsible person in column 7; otherwise, leave blank;if the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report a brief description of the main responsibilities of the responsible person in column 8; otherwise, leave blank;the employer in column 9. The employer may be the RSE licensee or may be another entity; andif the employer is the RSE licensee or an associate of the RSE licensee report ‘yes’ in column 10, otherwise report ‘no’;if the responsible person has been assessed under the fit and proper policy, report ‘yes’ in column 11. If a person holding a responsible person position on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 11; otherwise, report ‘no’;the date that the individual commenced in the responsible person position in column 12; andthe business phone number in column 13 and business email address in column 14.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 1.2. |\n| -------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Responsible persons information – Existing RSE auditor details\n\nItem 2.1 collects information about the RSE licensee’s current RSE auditor(s) and RSE auditor(s) that ceased during the reporting period.\n\nUnit 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.\n\n| 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; andthe 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’; andif 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’. |\n| -------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n| 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 under the Corporations Act 2001 or a business entity carrying on an enterprise in Australia is entitled to an ABN. |\n\n## Responsible persons information – New RSE auditor details\n\nItem 2.2 collects information about the RSE licensee’s newly appointed RSE auditor(s).\n\nUnit of measurement: report dates in item 2.2 column 4 and column 10 as DD/MM/YYYY; report item 2.2 column 8 as a whole number.\n\n| Item 2.2 | Report each new RSE auditor appointed by the RSE licensee during the reporting period as a separate line in item 2.2.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;if the RSE auditor has been assessed under the fit and proper policy, report ‘yes’ in column 9. If RSE auditor appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 9; otherwise, report ‘no’;the date that the RSE auditor commenced in the responsible person position in column 10;the business phone number in column 11 and business email address in column 12. |\n| -------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n\n## Responsible persons information – Existing RSE actuary details\n\nItem 3.1 collects about the RSE licensee’s current RSE actuary or actuaries and any RSE actuary who has ceased during the reporting period.\n\nUnit of measurement: report dates in item 3.1 column 4 and column 12 as DD/MM/YYYY; report item 3.1 column 8 and column 9 as whole numbers.\n\n| Item 3.1 | Report each RSE actuary appointed by the RSE licensee as a separate line in item 3.1.For each RSE actuary, 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 the former name(s), if any, in column 5;name of the organisation which employs the RSE actuary in column 6;ABN of the organisation which employs the RSE actuary in column 7;number of RSEs within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 8;number of sub-funds within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 9. If there are no sub-funds within any RSEs within the RSE licensee’s business operations, report ‘0’ in column 9;the responsible person status in column 10;if the RSE actuary has been assessed under the fit and proper policy, report ‘yes’ in column 11; if RSE actuary appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 11; otherwise, report ‘no’;if ‘no longer acting as a responsible person’ is reported in column 10, report the date that the RSE actuary ceased to hold the responsible person position in column 12; if ‘existing responsible person’, ‘unchanged’ or ‘new responsible person’ is reported in column 10, leave column 12 blank; andthe business phone number in column 13 and business email address in column 14.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 3.1 column 1 to column 9 inclusive, column 11, column 13 and column 14 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’; andif any information about an existing responsible person reported in item 3.1 column 1 to column 9 inclusive, column 11, column 13 and column 14 has changed, report the status as ‘changed’. |\n| -------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Responsible persons information – New RSE actuary details\n\nItem 3.2 collects about the RSE licensee’s newly appointed RSE actuary or actuaries.\n\nUnit of measurement: report dates in item 3.2 column 4 and column 11 as DD/MM/YYYY; report item 3.2 column 8 and column 9 as whole numbers.\n\n| Item 3.2 | Report each RSE actuary newly appointed by the RSE licensee during the reporting period as a separate line in item 3.2.For each RSE actuary, reportthe 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 the former name(s), if any, in column 5;name of the organisation which employs the RSE actuary in column 6;ABN of the organisation which employs the RSE actuary in column 7;number of RSEs within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 8;number of sub-funds within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 9. If there are no sub-funds within any RSEs within the RSE licensee’s business operations, report ‘0’ in column 9;if the RSE actuary has been assessed under the fit and proper policy, report ‘yes’ in column 10; if RSE actuary appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 10; otherwise, report ‘no’;the date that the RSE actuary commenced in the responsible person position in column 11; andthe business phone number in column 12 and business email address in column 13. |\n| -------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Notification that a responsible person is no longer fit and proper\n\nItem 4 collects certain information about where a responsible person is no longer fit and proper.\n\nUnit of measurement: report dates in column 4 and column 6 as DD/MM/YYYY.\n\n| Item 4 | Report the title of the responsible person in column 1.Report the given name(s) of the responsible person in column 2.Report the family name or surname of the responsible person in column 3.Report the date of birth of the responsible person in column 4.Report the position title of the responsible person in column 5.Report the date that the responsible person was assessed as being no longer fit and proper in column 6. |\n| ------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n\n## Address details\n\nItem 5 collects an RSE licensee’s address.\n\n| Item 5 | Report address line 1, address line 2, suburb, state and postcode, in item 5.1 and item 5.2 respectively. For item 5.1 this must be a street address. |\n| -------------------------------------- | ----------------------------------------------------------------------------------------------------------------------------------------------------- |\n| Registered address of the RSE licensee | Represents the registered address of the RSE licensee |\n| Postal address of the RSE licensee | Represents the postal address of the RSE licensee |\n\n## Billing contact information\n\nItem 6 collects information about an RSE licensee’s billing contact person.\n\n| Item 6 | For item 6, report the title of the billing contact person in column 1, the given name(s) of the billing contact person in column 2, the family name or surname of the billing contact person in column 3, the position title of the billing contact person in column 4, the business phone number for the billing contact person in column 5, the business email address for the billing contact person in column 6 and whether the billing contact person prefers to receive the invoice by mail or email, in column 7.Report address line 1, address line 2, suburb, state and postcode of the address to which invoices are to be sent in item 6.1. |\n| ------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Crisis management contact details\n\nItem 7 collects an RSE licensee’s primary and secondary crisis management contact person.\n\n| Item 7 | Report the details of the primary crisis management contact person in item 7.1 and the details of the crisis management secondary contact person in item 7.2.For the contact person, report in item 7.1 and item 7.2: title in column 1, given name(s) in column 2, the family name or surname in column 3, the position title in column 4, mobile phone number in column 5, direct phone number in column 6 and email address in column 7.Report the phone number for the recovery site in item 7.3. |\n| ------------------------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n| Crisis management contact | Represents the individual nominated to be a contact person in the event of a crisis in accordance with the requirements in Prudential Standard SPS 232 Business Continuity Management. |\n| Recovery site | Represents the location nominated as the recovery site as defined in Prudential Standard SPS 232 Business Continuity Management. |\n\n# Interpretation\n\nFor the purposes of these instructions:\n\n- responsible person has the meaning given in Prudential Standard SPS 520 Fit and Proper;\n- RSE actuary means an actuary appointed by the RSE licensee to perform functions in relation to its business operations;\n- RSE auditor means an auditor appointed by the RSE licensee to perform functions within its business operations;\n- RSE licensee has the meaning given in section 10(1) of the SIS Act;\n- SIS Act means Superannuation Industry (Supervision) Act 1993; and\n- sub-fund means a defined benefit sub-fund within the meaning given in Prudential Standard SPS 160 Defined Benefit Matters.","sortOrder":0},{"sectionNumber":"Reporting level","sectionType":"part","heading":"Reporting level","content":"# Reporting level\n\nSRF 520.0 must be completed for each RSE licensee.","sortOrder":1},{"sectionNumber":"SRF 520.0 must be submitted:","sectionType":"part","heading":"SRF 520.0 must be submitted:","content":"Reporting Form SRF 520.0\n\nResponsible Persons Information\n\nInstructions\n\nThese instructions assist completion of Reporting Form SRF 520.0 Responsible Persons Information (SRF 520.0). Prudential Standard SPS 520 Fit and Proper (SPS 520) requires an RSE licensee to provide certain information to APRA and to ensure that this information remains correct for all responsible persons. Information reported in SRF 520.0 is required primarily for prudential and publication purposes.\n\n# SRF 520.0 and these instructions together comprise the form, and prescribe the procedures, for the purposes of paragraph 48 of SPS 520, for providing the information required by paragraphs 45, 46 and 47 of SPS 520.\n\n# Reporting level\n\nSRF 520.0 must be completed for each RSE licensee.\n\n# SRF 520.0 must be submitted:\n\n#  within 28 days of the commencement of SPS 520 (when complying with paragraph 44);\n\n#  within 14 days of any change or new appointment of a responsible person (when complying with paragraph 45); and\n\n#  within 14 days of an RSE licensee assessing that a responsible person is not fit and proper (when complying with paragraph 46).\n\nSRF 520.0 does not need to be completed in full when submitting information in the three situations listed above. In each situation, SRF 520.0 must be completed only to the extent necessary to comply with the relevant paragraph of SPS 520.\n\nAn RSE licensee may use the annual form to correct and update the information they have provided to APRA for this purpose by resubmitting the form through D2A.\n\nReporting basis and unit of measurement\n\nReport all items on SRF 520.0 in accordance with the Australian Accounting Standards unless otherwise specified.\n\nItems on SRF 520.0 must be reported as at the end of the reporting period.\n\nItems on SRF 520.0 are to be reported as text, whole numbers and dates as DD/MM/YYYY.\n\nThese instructions specify the unit of measurement that applies to each item.\n\n# Specific instructions\n\nTerms highlighted in bold italics indicate that the definition is provided in these instructions.\n\n## Responsible persons information - Existing directors, executive officers and senior managers\n\nItem 1.1 collects all existing responsible persons that are directors, executive officers or senior managers of the RSE licensee at the time of submission of SRF 520.0, or have ceased to be a responsible person during the reporting period.\n\nUnit of measurement: report dates in item 1.1 column 4 and item 1.1 column 13 as DD/MM/YYYY.\n\n| Item 1.1 | Report each responsible person as a separate line in item 1.1. If a responsible person is serving as chairperson on the Board, report that responsible person as director (chair) and director on two separate lines in item 1.1.For each responsible person, 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 the former name(s), if any in column 5;the type of responsible person in column 6. If the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report the position title of the responsible person in column 7; otherwise, leave blank;if the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report a brief description of the main responsibilities of the responsible person in column 8; otherwise, leave blank;the employer in column 9. The employer may be the RSE licensee or may be another entity;if the employer is the RSE licensee or is an associate of the RSE licensee report ‘yes’ in column 10, otherwise report ‘no’;the responsible person status in column 11;if the responsible person has been assessed under the fit and proper policy, report ‘yes’ in column 12. If a person holding a responsible person position on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in 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; andthe 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’; andif 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’. |\n| ------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n| Position title | Represents the employment position title of an individual. |\n| 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. |\n| 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. |\n| 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. |\n| 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. |\n| Secretary | Represents a person acting as a secretary of the RSE licensee. |\n| Senior manager | Represents a person undertaking the responsibilities of a senior manager within the meaning given in Prudential Standard SPS 520 Fit and Proper. |\n| Assessed under Fit and Proper policy | Represents whether a newly appointed responsible person has been assessed under the entity's fit and proper policy. Reference: Prudential Standard SPS 520 Fit and Proper. |\n\n## Responsible persons information - New directors, executive officers and senior managers\n\nItem 1.2 collects all new responsible persons that are directors, executive officers or senior managers of the RSE licensee at the time of submission of SRF 520.0.\n\nUnit of measurement: report dates in item 1.2 column 4 and item 1.2 column 12 as DD/MM/YYYY.\n\n| Item 1.2 | Report each responsible person as a separate line in item 1.2. If a responsible person is serving as chairperson on the Board, report that responsible person as Director (Chair) and director on two separate lines in item 1.2.For each responsible person, 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 the former name(s), if any in column 5;the type of responsible person in column 6. If the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report the position title of the responsible person in column 7; otherwise, leave blank;if the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report a brief description of the main responsibilities of the responsible person in column 8; otherwise, leave blank;the employer in column 9. The employer may be the RSE licensee or may be another entity; andif the employer is the RSE licensee or an associate of the RSE licensee report ‘yes’ in column 10, otherwise report ‘no’;if the responsible person has been assessed under the fit and proper policy, report ‘yes’ in column 11. If a person holding a responsible person position on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 11; otherwise, report ‘no’;the date that the individual commenced in the responsible person position in column 12; andthe business phone number in column 13 and business email address in column 14.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 1.2. |\n| -------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Responsible persons information – Existing RSE auditor details\n\nItem 2.1 collects information about the RSE licensee’s current RSE auditor(s) and RSE auditor(s) that ceased during the reporting period.\n\nUnit 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.\n\n| 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; andthe 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’; andif 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’. |\n| -------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n| 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 under the Corporations Act 2001 or a business entity carrying on an enterprise in Australia is entitled to an ABN. |\n\n## Responsible persons information – New RSE auditor details\n\nItem 2.2 collects information about the RSE licensee’s newly appointed RSE auditor(s).\n\nUnit of measurement: report dates in item 2.2 column 4 and column 10 as DD/MM/YYYY; report item 2.2 column 8 as a whole number.\n\n| Item 2.2 | Report each new RSE auditor appointed by the RSE licensee during the reporting period as a separate line in item 2.2.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;if the RSE auditor has been assessed under the fit and proper policy, report ‘yes’ in column 9. If RSE auditor appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 9; otherwise, report ‘no’;the date that the RSE auditor commenced in the responsible person position in column 10;the business phone number in column 11 and business email address in column 12. |\n| -------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n\n## Responsible persons information – Existing RSE actuary details\n\nItem 3.1 collects about the RSE licensee’s current RSE actuary or actuaries and any RSE actuary who has ceased during the reporting period.\n\nUnit of measurement: report dates in item 3.1 column 4 and column 12 as DD/MM/YYYY; report item 3.1 column 8 and column 9 as whole numbers.\n\n| Item 3.1 | Report each RSE actuary appointed by the RSE licensee as a separate line in item 3.1.For each RSE actuary, 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 the former name(s), if any, in column 5;name of the organisation which employs the RSE actuary in column 6;ABN of the organisation which employs the RSE actuary in column 7;number of RSEs within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 8;number of sub-funds within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 9. If there are no sub-funds within any RSEs within the RSE licensee’s business operations, report ‘0’ in column 9;the responsible person status in column 10;if the RSE actuary has been assessed under the fit and proper policy, report ‘yes’ in column 11; if RSE actuary appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 11; otherwise, report ‘no’;if ‘no longer acting as a responsible person’ is reported in column 10, report the date that the RSE actuary ceased to hold the responsible person position in column 12; if ‘existing responsible person’, ‘unchanged’ or ‘new responsible person’ is reported in column 10, leave column 12 blank; andthe business phone number in column 13 and business email address in column 14.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 3.1 column 1 to column 9 inclusive, column 11, column 13 and column 14 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’; andif any information about an existing responsible person reported in item 3.1 column 1 to column 9 inclusive, column 11, column 13 and column 14 has changed, report the status as ‘changed’. |\n| -------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Responsible persons information – New RSE actuary details\n\nItem 3.2 collects about the RSE licensee’s newly appointed RSE actuary or actuaries.\n\nUnit of measurement: report dates in item 3.2 column 4 and column 11 as DD/MM/YYYY; report item 3.2 column 8 and column 9 as whole numbers.\n\n| Item 3.2 | Report each RSE actuary newly appointed by the RSE licensee during the reporting period as a separate line in item 3.2.For each RSE actuary, reportthe 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 the former name(s), if any, in column 5;name of the organisation which employs the RSE actuary in column 6;ABN of the organisation which employs the RSE actuary in column 7;number of RSEs within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 8;number of sub-funds within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 9. If there are no sub-funds within any RSEs within the RSE licensee’s business operations, report ‘0’ in column 9;if the RSE actuary has been assessed under the fit and proper policy, report ‘yes’ in column 10; if RSE actuary appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 10; otherwise, report ‘no’;the date that the RSE actuary commenced in the responsible person position in column 11; andthe business phone number in column 12 and business email address in column 13. |\n| -------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Notification that a responsible person is no longer fit and proper\n\nItem 4 collects certain information about where a responsible person is no longer fit and proper.\n\nUnit of measurement: report dates in column 4 and column 6 as DD/MM/YYYY.\n\n| Item 4 | Report the title of the responsible person in column 1.Report the given name(s) of the responsible person in column 2.Report the family name or surname of the responsible person in column 3.Report the date of birth of the responsible person in column 4.Report the position title of the responsible person in column 5.Report the date that the responsible person was assessed as being no longer fit and proper in column 6. |\n| ------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n\n## Address details\n\nItem 5 collects an RSE licensee’s address.\n\n| Item 5 | Report address line 1, address line 2, suburb, state and postcode, in item 5.1 and item 5.2 respectively. For item 5.1 this must be a street address. |\n| -------------------------------------- | ----------------------------------------------------------------------------------------------------------------------------------------------------- |\n| Registered address of the RSE licensee | Represents the registered address of the RSE licensee |\n| Postal address of the RSE licensee | Represents the postal address of the RSE licensee |\n\n## Billing contact information\n\nItem 6 collects information about an RSE licensee’s billing contact person.\n\n| Item 6 | For item 6, report the title of the billing contact person in column 1, the given name(s) of the billing contact person in column 2, the family name or surname of the billing contact person in column 3, the position title of the billing contact person in column 4, the business phone number for the billing contact person in column 5, the business email address for the billing contact person in column 6 and whether the billing contact person prefers to receive the invoice by mail or email, in column 7.Report address line 1, address line 2, suburb, state and postcode of the address to which invoices are to be sent in item 6.1. |\n| ------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Crisis management contact details\n\nItem 7 collects an RSE licensee’s primary and secondary crisis management contact person.\n\n| Item 7 | Report the details of the primary crisis management contact person in item 7.1 and the details of the crisis management secondary contact person in item 7.2.For the contact person, report in item 7.1 and item 7.2: title in column 1, given name(s) in column 2, the family name or surname in column 3, the position title in column 4, mobile phone number in column 5, direct phone number in column 6 and email address in column 7.Report the phone number for the recovery site in item 7.3. |\n| ------------------------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n| Crisis management contact | Represents the individual nominated to be a contact person in the event of a crisis in accordance with the requirements in Prudential Standard SPS 232 Business Continuity Management. |\n| Recovery site | Represents the location nominated as the recovery site as defined in Prudential Standard SPS 232 Business Continuity Management. |\n\n# Interpretation\n\nFor the purposes of these instructions:\n\n- responsible person has the meaning given in Prudential Standard SPS 520 Fit and Proper;\n- RSE actuary means an actuary appointed by the RSE licensee to perform functions in relation to its business operations;\n- RSE auditor means an auditor appointed by the RSE licensee to perform functions within its business operations;\n- RSE licensee has the meaning given in section 10(1) of the SIS Act;\n- SIS Act means Superannuation Industry (Supervision) Act 1993; and\n- sub-fund means a defined benefit sub-fund within the meaning given in Prudential Standard SPS 160 Defined Benefit Matters.","sortOrder":2},{"sectionNumber":" within 28 days of the commencement of ","sectionType":"part","heading":" within 28 days of the commencement of SPS 520 (when complying with paragraph 44);","content":"Reporting Form SRF 520.0\n\nResponsible Persons Information\n\nInstructions\n\nThese instructions assist completion of Reporting Form SRF 520.0 Responsible Persons Information (SRF 520.0). Prudential Standard SPS 520 Fit and Proper (SPS 520) requires an RSE licensee to provide certain information to APRA and to ensure that this information remains correct for all responsible persons. Information reported in SRF 520.0 is required primarily for prudential and publication purposes.\n\n# SRF 520.0 and these instructions together comprise the form, and prescribe the procedures, for the purposes of paragraph 48 of SPS 520, for providing the information required by paragraphs 45, 46 and 47 of SPS 520.\n\n# Reporting level\n\nSRF 520.0 must be completed for each RSE licensee.\n\n# SRF 520.0 must be submitted:\n\n#  within 28 days of the commencement of SPS 520 (when complying with paragraph 44);\n\n#  within 14 days of any change or new appointment of a responsible person (when complying with paragraph 45); and\n\n#  within 14 days of an RSE licensee assessing that a responsible person is not fit and proper (when complying with paragraph 46).\n\nSRF 520.0 does not need to be completed in full when submitting information in the three situations listed above. In each situation, SRF 520.0 must be completed only to the extent necessary to comply with the relevant paragraph of SPS 520.\n\nAn RSE licensee may use the annual form to correct and update the information they have provided to APRA for this purpose by resubmitting the form through D2A.\n\nReporting basis and unit of measurement\n\nReport all items on SRF 520.0 in accordance with the Australian Accounting Standards unless otherwise specified.\n\nItems on SRF 520.0 must be reported as at the end of the reporting period.\n\nItems on SRF 520.0 are to be reported as text, whole numbers and dates as DD/MM/YYYY.\n\nThese instructions specify the unit of measurement that applies to each item.\n\n# Specific instructions\n\nTerms highlighted in bold italics indicate that the definition is provided in these instructions.\n\n## Responsible persons information - Existing directors, executive officers and senior managers\n\nItem 1.1 collects all existing responsible persons that are directors, executive officers or senior managers of the RSE licensee at the time of submission of SRF 520.0, or have ceased to be a responsible person during the reporting period.\n\nUnit of measurement: report dates in item 1.1 column 4 and item 1.1 column 13 as DD/MM/YYYY.\n\n| Item 1.1 | Report each responsible person as a separate line in item 1.1. If a responsible person is serving as chairperson on the Board, report that responsible person as director (chair) and director on two separate lines in item 1.1.For each responsible person, 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 the former name(s), if any in column 5;the type of responsible person in column 6. If the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report the position title of the responsible person in column 7; otherwise, leave blank;if the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report a brief description of the main responsibilities of the responsible person in column 8; otherwise, leave blank;the employer in column 9. The employer may be the RSE licensee or may be another entity;if the employer is the RSE licensee or is an associate of the RSE licensee report ‘yes’ in column 10, otherwise report ‘no’;the responsible person status in column 11;if the responsible person has been assessed under the fit and proper policy, report ‘yes’ in column 12. If a person holding a responsible person position on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in 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; andthe 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’; andif 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’. |\n| ------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n| Position title | Represents the employment position title of an individual. |\n| 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. |\n| 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. |\n| 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. |\n| 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. |\n| Secretary | Represents a person acting as a secretary of the RSE licensee. |\n| Senior manager | Represents a person undertaking the responsibilities of a senior manager within the meaning given in Prudential Standard SPS 520 Fit and Proper. |\n| Assessed under Fit and Proper policy | Represents whether a newly appointed responsible person has been assessed under the entity's fit and proper policy. Reference: Prudential Standard SPS 520 Fit and Proper. |\n\n## Responsible persons information - New directors, executive officers and senior managers\n\nItem 1.2 collects all new responsible persons that are directors, executive officers or senior managers of the RSE licensee at the time of submission of SRF 520.0.\n\nUnit of measurement: report dates in item 1.2 column 4 and item 1.2 column 12 as DD/MM/YYYY.\n\n| Item 1.2 | Report each responsible person as a separate line in item 1.2. If a responsible person is serving as chairperson on the Board, report that responsible person as Director (Chair) and director on two separate lines in item 1.2.For each responsible person, 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 the former name(s), if any in column 5;the type of responsible person in column 6. If the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report the position title of the responsible person in column 7; otherwise, leave blank;if the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report a brief description of the main responsibilities of the responsible person in column 8; otherwise, leave blank;the employer in column 9. The employer may be the RSE licensee or may be another entity; andif the employer is the RSE licensee or an associate of the RSE licensee report ‘yes’ in column 10, otherwise report ‘no’;if the responsible person has been assessed under the fit and proper policy, report ‘yes’ in column 11. If a person holding a responsible person position on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 11; otherwise, report ‘no’;the date that the individual commenced in the responsible person position in column 12; andthe business phone number in column 13 and business email address in column 14.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 1.2. |\n| -------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Responsible persons information – Existing RSE auditor details\n\nItem 2.1 collects information about the RSE licensee’s current RSE auditor(s) and RSE auditor(s) that ceased during the reporting period.\n\nUnit 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.\n\n| 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; andthe 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’; andif 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’. |\n| -------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n| 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 under the Corporations Act 2001 or a business entity carrying on an enterprise in Australia is entitled to an ABN. |\n\n## Responsible persons information – New RSE auditor details\n\nItem 2.2 collects information about the RSE licensee’s newly appointed RSE auditor(s).\n\nUnit of measurement: report dates in item 2.2 column 4 and column 10 as DD/MM/YYYY; report item 2.2 column 8 as a whole number.\n\n| Item 2.2 | Report each new RSE auditor appointed by the RSE licensee during the reporting period as a separate line in item 2.2.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;if the RSE auditor has been assessed under the fit and proper policy, report ‘yes’ in column 9. If RSE auditor appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 9; otherwise, report ‘no’;the date that the RSE auditor commenced in the responsible person position in column 10;the business phone number in column 11 and business email address in column 12. |\n| -------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n\n## Responsible persons information – Existing RSE actuary details\n\nItem 3.1 collects about the RSE licensee’s current RSE actuary or actuaries and any RSE actuary who has ceased during the reporting period.\n\nUnit of measurement: report dates in item 3.1 column 4 and column 12 as DD/MM/YYYY; report item 3.1 column 8 and column 9 as whole numbers.\n\n| Item 3.1 | Report each RSE actuary appointed by the RSE licensee as a separate line in item 3.1.For each RSE actuary, 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 the former name(s), if any, in column 5;name of the organisation which employs the RSE actuary in column 6;ABN of the organisation which employs the RSE actuary in column 7;number of RSEs within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 8;number of sub-funds within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 9. If there are no sub-funds within any RSEs within the RSE licensee’s business operations, report ‘0’ in column 9;the responsible person status in column 10;if the RSE actuary has been assessed under the fit and proper policy, report ‘yes’ in column 11; if RSE actuary appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 11; otherwise, report ‘no’;if ‘no longer acting as a responsible person’ is reported in column 10, report the date that the RSE actuary ceased to hold the responsible person position in column 12; if ‘existing responsible person’, ‘unchanged’ or ‘new responsible person’ is reported in column 10, leave column 12 blank; andthe business phone number in column 13 and business email address in column 14.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 3.1 column 1 to column 9 inclusive, column 11, column 13 and column 14 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’; andif any information about an existing responsible person reported in item 3.1 column 1 to column 9 inclusive, column 11, column 13 and column 14 has changed, report the status as ‘changed’. |\n| -------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Responsible persons information – New RSE actuary details\n\nItem 3.2 collects about the RSE licensee’s newly appointed RSE actuary or actuaries.\n\nUnit of measurement: report dates in item 3.2 column 4 and column 11 as DD/MM/YYYY; report item 3.2 column 8 and column 9 as whole numbers.\n\n| Item 3.2 | Report each RSE actuary newly appointed by the RSE licensee during the reporting period as a separate line in item 3.2.For each RSE actuary, reportthe 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 the former name(s), if any, in column 5;name of the organisation which employs the RSE actuary in column 6;ABN of the organisation which employs the RSE actuary in column 7;number of RSEs within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 8;number of sub-funds within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 9. If there are no sub-funds within any RSEs within the RSE licensee’s business operations, report ‘0’ in column 9;if the RSE actuary has been assessed under the fit and proper policy, report ‘yes’ in column 10; if RSE actuary appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 10; otherwise, report ‘no’;the date that the RSE actuary commenced in the responsible person position in column 11; andthe business phone number in column 12 and business email address in column 13. |\n| -------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Notification that a responsible person is no longer fit and proper\n\nItem 4 collects certain information about where a responsible person is no longer fit and proper.\n\nUnit of measurement: report dates in column 4 and column 6 as DD/MM/YYYY.\n\n| Item 4 | Report the title of the responsible person in column 1.Report the given name(s) of the responsible person in column 2.Report the family name or surname of the responsible person in column 3.Report the date of birth of the responsible person in column 4.Report the position title of the responsible person in column 5.Report the date that the responsible person was assessed as being no longer fit and proper in column 6. |\n| ------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n\n## Address details\n\nItem 5 collects an RSE licensee’s address.\n\n| Item 5 | Report address line 1, address line 2, suburb, state and postcode, in item 5.1 and item 5.2 respectively. For item 5.1 this must be a street address. |\n| -------------------------------------- | ----------------------------------------------------------------------------------------------------------------------------------------------------- |\n| Registered address of the RSE licensee | Represents the registered address of the RSE licensee |\n| Postal address of the RSE licensee | Represents the postal address of the RSE licensee |\n\n## Billing contact information\n\nItem 6 collects information about an RSE licensee’s billing contact person.\n\n| Item 6 | For item 6, report the title of the billing contact person in column 1, the given name(s) of the billing contact person in column 2, the family name or surname of the billing contact person in column 3, the position title of the billing contact person in column 4, the business phone number for the billing contact person in column 5, the business email address for the billing contact person in column 6 and whether the billing contact person prefers to receive the invoice by mail or email, in column 7.Report address line 1, address line 2, suburb, state and postcode of the address to which invoices are to be sent in item 6.1. |\n| ------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Crisis management contact details\n\nItem 7 collects an RSE licensee’s primary and secondary crisis management contact person.\n\n| Item 7 | Report the details of the primary crisis management contact person in item 7.1 and the details of the crisis management secondary contact person in item 7.2.For the contact person, report in item 7.1 and item 7.2: title in column 1, given name(s) in column 2, the family name or surname in column 3, the position title in column 4, mobile phone number in column 5, direct phone number in column 6 and email address in column 7.Report the phone number for the recovery site in item 7.3. |\n| ------------------------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n| Crisis management contact | Represents the individual nominated to be a contact person in the event of a crisis in accordance with the requirements in Prudential Standard SPS 232 Business Continuity Management. |\n| Recovery site | Represents the location nominated as the recovery site as defined in Prudential Standard SPS 232 Business Continuity Management. |\n\n# Interpretation\n\nFor the purposes of these instructions:\n\n- responsible person has the meaning given in Prudential Standard SPS 520 Fit and Proper;\n- RSE actuary means an actuary appointed by the RSE licensee to perform functions in relation to its business operations;\n- RSE auditor means an auditor appointed by the RSE licensee to perform functions within its business operations;\n- RSE licensee has the meaning given in section 10(1) of the SIS Act;\n- SIS Act means Superannuation Industry (Supervision) Act 1993; and\n- sub-fund means a defined benefit sub-fund within the meaning given in Prudential Standard SPS 160 Defined Benefit Matters.","sortOrder":3},{"sectionNumber":" within 14 days of any change or new ap","sectionType":"part","heading":" within 14 days of any change or new appointment of a responsible person (when complying with paragraph 45); and","content":"Reporting Form SRF 520.0\n\nResponsible Persons Information\n\nInstructions\n\nThese instructions assist completion of Reporting Form SRF 520.0 Responsible Persons Information (SRF 520.0). Prudential Standard SPS 520 Fit and Proper (SPS 520) requires an RSE licensee to provide certain information to APRA and to ensure that this information remains correct for all responsible persons. Information reported in SRF 520.0 is required primarily for prudential and publication purposes.\n\n# SRF 520.0 and these instructions together comprise the form, and prescribe the procedures, for the purposes of paragraph 48 of SPS 520, for providing the information required by paragraphs 45, 46 and 47 of SPS 520.\n\n# Reporting level\n\nSRF 520.0 must be completed for each RSE licensee.\n\n# SRF 520.0 must be submitted:\n\n#  within 28 days of the commencement of SPS 520 (when complying with paragraph 44);\n\n#  within 14 days of any change or new appointment of a responsible person (when complying with paragraph 45); and\n\n#  within 14 days of an RSE licensee assessing that a responsible person is not fit and proper (when complying with paragraph 46).\n\nSRF 520.0 does not need to be completed in full when submitting information in the three situations listed above. In each situation, SRF 520.0 must be completed only to the extent necessary to comply with the relevant paragraph of SPS 520.\n\nAn RSE licensee may use the annual form to correct and update the information they have provided to APRA for this purpose by resubmitting the form through D2A.\n\nReporting basis and unit of measurement\n\nReport all items on SRF 520.0 in accordance with the Australian Accounting Standards unless otherwise specified.\n\nItems on SRF 520.0 must be reported as at the end of the reporting period.\n\nItems on SRF 520.0 are to be reported as text, whole numbers and dates as DD/MM/YYYY.\n\nThese instructions specify the unit of measurement that applies to each item.\n\n# Specific instructions\n\nTerms highlighted in bold italics indicate that the definition is provided in these instructions.\n\n## Responsible persons information - Existing directors, executive officers and senior managers\n\nItem 1.1 collects all existing responsible persons that are directors, executive officers or senior managers of the RSE licensee at the time of submission of SRF 520.0, or have ceased to be a responsible person during the reporting period.\n\nUnit of measurement: report dates in item 1.1 column 4 and item 1.1 column 13 as DD/MM/YYYY.\n\n| Item 1.1 | Report each responsible person as a separate line in item 1.1. If a responsible person is serving as chairperson on the Board, report that responsible person as director (chair) and director on two separate lines in item 1.1.For each responsible person, 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 the former name(s), if any in column 5;the type of responsible person in column 6. If the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report the position title of the responsible person in column 7; otherwise, leave blank;if the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report a brief description of the main responsibilities of the responsible person in column 8; otherwise, leave blank;the employer in column 9. The employer may be the RSE licensee or may be another entity;if the employer is the RSE licensee or is an associate of the RSE licensee report ‘yes’ in column 10, otherwise report ‘no’;the responsible person status in column 11;if the responsible person has been assessed under the fit and proper policy, report ‘yes’ in column 12. If a person holding a responsible person position on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in 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; andthe 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’; andif 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’. |\n| ------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n| Position title | Represents the employment position title of an individual. |\n| 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. |\n| 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. |\n| 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. |\n| 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. |\n| Secretary | Represents a person acting as a secretary of the RSE licensee. |\n| Senior manager | Represents a person undertaking the responsibilities of a senior manager within the meaning given in Prudential Standard SPS 520 Fit and Proper. |\n| Assessed under Fit and Proper policy | Represents whether a newly appointed responsible person has been assessed under the entity's fit and proper policy. Reference: Prudential Standard SPS 520 Fit and Proper. |\n\n## Responsible persons information - New directors, executive officers and senior managers\n\nItem 1.2 collects all new responsible persons that are directors, executive officers or senior managers of the RSE licensee at the time of submission of SRF 520.0.\n\nUnit of measurement: report dates in item 1.2 column 4 and item 1.2 column 12 as DD/MM/YYYY.\n\n| Item 1.2 | Report each responsible person as a separate line in item 1.2. If a responsible person is serving as chairperson on the Board, report that responsible person as Director (Chair) and director on two separate lines in item 1.2.For each responsible person, 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 the former name(s), if any in column 5;the type of responsible person in column 6. If the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report the position title of the responsible person in column 7; otherwise, leave blank;if the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report a brief description of the main responsibilities of the responsible person in column 8; otherwise, leave blank;the employer in column 9. The employer may be the RSE licensee or may be another entity; andif the employer is the RSE licensee or an associate of the RSE licensee report ‘yes’ in column 10, otherwise report ‘no’;if the responsible person has been assessed under the fit and proper policy, report ‘yes’ in column 11. If a person holding a responsible person position on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 11; otherwise, report ‘no’;the date that the individual commenced in the responsible person position in column 12; andthe business phone number in column 13 and business email address in column 14.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 1.2. |\n| -------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Responsible persons information – Existing RSE auditor details\n\nItem 2.1 collects information about the RSE licensee’s current RSE auditor(s) and RSE auditor(s) that ceased during the reporting period.\n\nUnit 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.\n\n| 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; andthe 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’; andif 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’. |\n| -------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n| 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 under the Corporations Act 2001 or a business entity carrying on an enterprise in Australia is entitled to an ABN. |\n\n## Responsible persons information – New RSE auditor details\n\nItem 2.2 collects information about the RSE licensee’s newly appointed RSE auditor(s).\n\nUnit of measurement: report dates in item 2.2 column 4 and column 10 as DD/MM/YYYY; report item 2.2 column 8 as a whole number.\n\n| Item 2.2 | Report each new RSE auditor appointed by the RSE licensee during the reporting period as a separate line in item 2.2.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;if the RSE auditor has been assessed under the fit and proper policy, report ‘yes’ in column 9. If RSE auditor appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 9; otherwise, report ‘no’;the date that the RSE auditor commenced in the responsible person position in column 10;the business phone number in column 11 and business email address in column 12. |\n| -------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n\n## Responsible persons information – Existing RSE actuary details\n\nItem 3.1 collects about the RSE licensee’s current RSE actuary or actuaries and any RSE actuary who has ceased during the reporting period.\n\nUnit of measurement: report dates in item 3.1 column 4 and column 12 as DD/MM/YYYY; report item 3.1 column 8 and column 9 as whole numbers.\n\n| Item 3.1 | Report each RSE actuary appointed by the RSE licensee as a separate line in item 3.1.For each RSE actuary, 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 the former name(s), if any, in column 5;name of the organisation which employs the RSE actuary in column 6;ABN of the organisation which employs the RSE actuary in column 7;number of RSEs within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 8;number of sub-funds within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 9. If there are no sub-funds within any RSEs within the RSE licensee’s business operations, report ‘0’ in column 9;the responsible person status in column 10;if the RSE actuary has been assessed under the fit and proper policy, report ‘yes’ in column 11; if RSE actuary appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 11; otherwise, report ‘no’;if ‘no longer acting as a responsible person’ is reported in column 10, report the date that the RSE actuary ceased to hold the responsible person position in column 12; if ‘existing responsible person’, ‘unchanged’ or ‘new responsible person’ is reported in column 10, leave column 12 blank; andthe business phone number in column 13 and business email address in column 14.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 3.1 column 1 to column 9 inclusive, column 11, column 13 and column 14 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’; andif any information about an existing responsible person reported in item 3.1 column 1 to column 9 inclusive, column 11, column 13 and column 14 has changed, report the status as ‘changed’. |\n| -------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Responsible persons information – New RSE actuary details\n\nItem 3.2 collects about the RSE licensee’s newly appointed RSE actuary or actuaries.\n\nUnit of measurement: report dates in item 3.2 column 4 and column 11 as DD/MM/YYYY; report item 3.2 column 8 and column 9 as whole numbers.\n\n| Item 3.2 | Report each RSE actuary newly appointed by the RSE licensee during the reporting period as a separate line in item 3.2.For each RSE actuary, reportthe 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 the former name(s), if any, in column 5;name of the organisation which employs the RSE actuary in column 6;ABN of the organisation which employs the RSE actuary in column 7;number of RSEs within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 8;number of sub-funds within the RSE licensee’s business operations to which the RSE actuary is appointed to provide actuarial services in column 9. If there are no sub-funds within any RSEs within the RSE licensee’s business operations, report ‘0’ in column 9;if the RSE actuary has been assessed under the fit and proper policy, report ‘yes’ in column 10; if RSE actuary appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 10; otherwise, report ‘no’;the date that the RSE actuary commenced in the responsible person position in column 11; andthe business phone number in column 12 and business email address in column 13. |\n| -------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Notification that a responsible person is no longer fit and proper\n\nItem 4 collects certain information about where a responsible person is no longer fit and proper.\n\nUnit of measurement: report dates in column 4 and column 6 as DD/MM/YYYY.\n\n| Item 4 | Report the title of the responsible person in column 1.Report the given name(s) of the responsible person in column 2.Report the family name or surname of the responsible person in column 3.Report the date of birth of the responsible person in column 4.Report the position title of the responsible person in column 5.Report the date that the responsible person was assessed as being no longer fit and proper in column 6. |\n| ------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n\n## Address details\n\nItem 5 collects an RSE licensee’s address.\n\n| Item 5 | Report address line 1, address line 2, suburb, state and postcode, in item 5.1 and item 5.2 respectively. For item 5.1 this must be a street address. |\n| -------------------------------------- | ----------------------------------------------------------------------------------------------------------------------------------------------------- |\n| Registered address of the RSE licensee | Represents the registered address of the RSE licensee |\n| Postal address of the RSE licensee | Represents the postal address of the RSE licensee |\n\n## Billing contact information\n\nItem 6 collects information about an RSE licensee’s billing contact person.\n\n| Item 6 | For item 6, report the title of the billing contact person in column 1, the given name(s) of the billing contact person in column 2, the family name or surname of the billing contact person in column 3, the position title of the billing contact person in column 4, the business phone number for the billing contact person in column 5, the business email address for the billing contact person in column 6 and whether the billing contact person prefers to receive the invoice by mail or email, in column 7.Report address line 1, address line 2, suburb, state and postcode of the address to which invoices are to be sent in item 6.1. |\n| ------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n\n## Crisis management contact details\n\nItem 7 collects an RSE licensee’s primary and secondary crisis management contact person.\n\n| Item 7 | Report the details of the primary crisis management contact person in item 7.1 and the details of the crisis management secondary contact person in item 7.2.For the contact person, report in item 7.1 and item 7.2: title in column 1, given name(s) in column 2, the family name or surname in column 3, the position title in column 4, mobile phone number in column 5, direct phone number in column 6 and email address in column 7.Report the phone number for the recovery site in item 7.3. |\n| ------------------------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n| Crisis management contact | Represents the individual nominated to be a contact person in the event of a crisis in accordance with the requirements in Prudential Standard SPS 232 Business Continuity Management. |\n| Recovery site | Represents the location nominated as the recovery site as defined in Prudential Standard SPS 232 Business Continuity Management. |\n\n# Interpretation\n\nFor the purposes of these instructions:\n\n- responsible person has the meaning given in Prudential Standard SPS 520 Fit and Proper;\n- RSE actuary means an actuary appointed by the RSE licensee to perform functions in relation to its business operations;\n- RSE auditor means an auditor appointed by the RSE licensee to perform functions within its business operations;\n- RSE licensee has the meaning given in section 10(1) of the SIS Act;\n- SIS Act means Superannuation Industry (Supervision) Act 1993; and\n- sub-fund means a defined benefit sub-fund within the meaning given in Prudential Standard SPS 160 Defined Benefit Matters.","sortOrder":4},{"sectionNumber":" within 14 days of an RSE licensee asse","sectionType":"part","heading":" within 14 days of an RSE licensee assessing that a responsible person is not fit and proper (when complying with paragraph 46).","content":"#  within 14 days of an RSE licensee assessing that a responsible person is not fit and proper (when complying with paragraph 46).\n\nSRF 520.0 does not need to be completed in full when submitting information in the three situations listed above. In each situation, SRF 520.0 must be completed only to the extent necessary to comply with the relevant paragraph of SPS 520.\n\nAn RSE licensee may use the annual form to correct and update the information they have provided to APRA for this purpose by resubmitting the form through D2A.\n\nReporting basis and unit of measurement\n\nReport all items on SRF 520.0 in accordance with the Australian Accounting Standards unless otherwise specified.\n\nItems on SRF 520.0 must be reported as at the end of the reporting period.\n\nItems on SRF 520.0 are to be reported as text, whole numbers and dates as DD/MM/YYYY.\n\nThese instructions specify the unit of measurement that applies to each item.","sortOrder":5},{"sectionNumber":"Specific instructions","sectionType":"part","heading":"Specific instructions","content":"# Specific instructions\n\nTerms highlighted in bold italics indicate that the definition is provided in these instructions.","sortOrder":6},{"sectionNumber":"Responsible persons information - Existi","sectionType":"part","heading":"Responsible persons information - Existing directors, executive officers and senior managers","content":"## Responsible persons information - Existing directors, executive officers and senior managers\n\nItem 1.1 collects all existing responsible persons that are directors, executive officers or senior managers of the RSE licensee at the time of submission of SRF 520.0, or have ceased to be a responsible person during the reporting period.\n\nUnit of measurement: report dates in item 1.1 column 4 and item 1.1 column 13 as DD/MM/YYYY.\n\n| Item 1.1 | Report each responsible person as a separate line in item 1.1. If a responsible person is serving as chairperson on the Board, report that responsible person as director (chair) and director on two separate lines in item 1.1.For each responsible person, 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 the former name(s), if any in column 5;the type of responsible person in column 6. If the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report the position title of the responsible person in column 7; otherwise, leave blank;if the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report a brief description of the main responsibilities of the responsible person in column 8; otherwise, leave blank;the employer in column 9. The employer may be the RSE licensee or may be another entity;if the employer is the RSE licensee or is an associate of the RSE licensee report ‘yes’ in column 10, otherwise report ‘no’;the responsible person status in column 11;if the responsible person has been assessed under the fit and proper policy, report ‘yes’ in column 12. If a person holding a responsible person position on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in 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; andthe 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’; andif 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’. |\n| ------------------------------------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |\n| Position title | Represents the employment position title of an individual. |\n| 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. |\n| 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. |\n| 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. |\n| 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. |\n| Secretary | Represents a person acting as a secretary of the RSE licensee. |\n| Senior manager | Represents a person undertaking the responsibilities of a senior manager within the meaning given in Prudential Standard SPS 520 Fit and Proper. |\n| Assessed under Fit and Proper policy | Represents whether a newly appointed responsible person has been assessed under the entity's fit and proper policy. Reference: Prudential Standard SPS 520 Fit and Proper. |","sortOrder":7},{"sectionNumber":"Responsible persons information - New di","sectionType":"part","heading":"Responsible persons information - New directors, executive officers and senior managers","content":"## Responsible persons information - New directors, executive officers and senior managers\n\nItem 1.2 collects all new responsible persons that are directors, executive officers or senior managers of the RSE licensee at the time of submission of SRF 520.0.\n\nUnit of measurement: report dates in item 1.2 column 4 and item 1.2 column 12 as DD/MM/YYYY.\n\n| Item 1.2 | Report each responsible person as a separate line in item 1.2. If a responsible person is serving as chairperson on the Board, report that responsible person as Director (Chair) and director on two separate lines in item 1.2.For each responsible person, 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 the former name(s), if any in column 5;the type of responsible person in column 6. If the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report the position title of the responsible person in column 7; otherwise, leave blank;if the type of responsible person reported in column 6 is other executive officer, senior manager or other responsible person, report a brief description of the main responsibilities of the responsible person in column 8; otherwise, leave blank;the employer in column 9. The employer may be the RSE licensee or may be another entity; andif the employer is the RSE licensee or an associate of the RSE licensee report ‘yes’ in column 10, otherwise report ‘no’;if the responsible person has been assessed under the fit and proper policy, report ‘yes’ in column 11. If a person holding a responsible person position on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 11; otherwise, report ‘no’;the date that the individual commenced in the responsible person position in column 12; andthe business phone number in column 13 and business email address in column 14.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 1.2. |\n| -------- | -------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |","sortOrder":8},{"sectionNumber":"Responsible persons information — Existi","sectionType":"part","heading":"Responsible persons information — Existing RSE auditor details","content":"## Responsible persons information – Existing RSE auditor details\n\nItem 2.1 collects information about the RSE licensee’s current RSE auditor(s) and RSE auditor(s) that ceased during the reporting period.\n\nUnit 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.\n\n| 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; andthe 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’; andif 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’. |\n| -------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n| 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 under the Corporations Act 2001 or a business entity carrying on an enterprise in Australia is entitled to an ABN. |","sortOrder":9},{"sectionNumber":"Responsible persons information — New RS","sectionType":"part","heading":"Responsible persons information — New RSE auditor details","content":"## Responsible persons information – New RSE auditor details\n\nItem 2.2 collects information about the RSE licensee’s newly appointed RSE auditor(s).\n\nUnit of measurement: report dates in item 2.2 column 4 and column 10 as DD/MM/YYYY; report item 2.2 column 8 as a whole number.\n\n| Item 2.2 | Report each new RSE auditor appointed by the RSE licensee during the reporting period as a separate line in item 2.2.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;if the RSE auditor has been assessed under the fit and proper policy, report ‘yes’ in column 9. If RSE auditor appointed on an interim basis has not yet been assessed under the fit and proper policy, report ‘interim’ in column 9; otherwise, report ‘no’;the date that the RSE auditor commenced in the responsible person position in column 10;the business phone number in column 11 and business email address in column 12. |\n| -------- | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |","sortOrder":10},{"sectionNumber":"Notification that a responsible person i","sectionType":"part","heading":"Notification that a responsible person is no longer fit and proper","content":"## Notification that a responsible person is no longer fit and proper\n\nItem 4 collects certain information about where a responsible person is no longer fit and proper.\n\nUnit of measurement: report dates in column 4 and column 6 as DD/MM/YYYY.\n\n| Item 4 | Report the title of the responsible person in column 1.Report the given name(s) of the responsible person in column 2.Report the family name or surname of the responsible person in column 3.Report the date of birth of the responsible person in column 4.Report the position title of the responsible person in column 5.Report the date that the responsible person was assessed as being no longer fit and proper in column 6. |\n| ------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ |","sortOrder":13},{"sectionNumber":"Address details","sectionType":"part","heading":"Address details","content":"## Address details\n\nItem 5 collects an RSE licensee’s address.\n\n| Item 5 | Report address line 1, address line 2, suburb, state and postcode, in item 5.1 and item 5.2 respectively. For item 5.1 this must be a street address. |\n| -------------------------------------- | ----------------------------------------------------------------------------------------------------------------------------------------------------- |\n| Registered address of the RSE licensee | Represents the registered address of the RSE licensee |\n| Postal address of the RSE licensee | Represents the postal address of the RSE licensee |","sortOrder":14},{"sectionNumber":"Billing contact information","sectionType":"part","heading":"Billing contact information","content":"## Billing contact information\n\nItem 6 collects information about an RSE licensee’s billing contact person.\n\n| Item 6 | For item 6, report the title of the billing contact person in column 1, the given name(s) of the billing contact person in column 2, the family name or surname of the billing contact person in column 3, the position title of the billing contact person in column 4, the business phone number for the billing contact person in column 5, the business email address for the billing contact person in column 6 and whether the billing contact person prefers to receive the invoice by mail or email, in column 7.Report address line 1, address line 2, suburb, state and postcode of the address to which invoices are to be sent in item 6.1. |\n| ------ | ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |","sortOrder":15},{"sectionNumber":"Crisis management contact details","sectionType":"part","heading":"Crisis management contact details","content":"## Crisis management contact details\n\nItem 7 collects an RSE licensee’s primary and secondary crisis management contact person.\n\n| Item 7 | Report the details of the primary crisis management contact person in item 7.1 and the details of the crisis management secondary contact person in item 7.2.For the contact person, report in item 7.1 and item 7.2: title in column 1, given name(s) in column 2, the family name or surname in column 3, the position title in column 4, mobile phone number in column 5, direct phone number in column 6 and email address in column 7.Report the phone number for the recovery site in item 7.3. |\n| ------------------------- | ----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- |\n| Crisis management contact | Represents the individual nominated to be a contact person in the event of a crisis in accordance with the requirements in Prudential Standard SPS 232 Business Continuity Management. |\n| Recovery site | Represents the location nominated as the recovery site as defined in Prudential Standard SPS 232 Business Continuity Management. |","sortOrder":16},{"sectionNumber":"Interpretation","sectionType":"part","heading":"Interpretation","content":"# Interpretation\n\nFor the purposes of these instructions:\n\n- responsible person has the meaning given in Prudential Standard SPS 520 Fit and Proper;\n- RSE actuary means an actuary appointed by the RSE licensee to perform functions in relation to its business operations;\n- RSE auditor means an auditor appointed by the RSE licensee to perform functions within its business operations;\n- RSE licensee has the meaning given in section 10(1) of the SIS Act;\n- SIS Act means Superannuation Industry (Supervision) Act 1993; and\n- sub-fund means a defined benefit sub-fund within the meaning given in Prudential Standard SPS 160 Defined Benefit Matters.","sortOrder":17}],"analysis":{"kimi_summary":{"_metrics":{"completionTokens":735},"content_quality":"ok","complexity_score":6,"scope_assessment":{"changed":false,"description":"This is a standard reporting determination that implements the data collection requirements under the Financial Sector (Collection of Data) Act. The scope remains tightly focused on collecting responsible persons information from RSE licensees as originally intended. No significant scope expansion is evident."},"complexity_factors":["Extensive cross-referencing to external prudential standards (SPS 520, SPS 232, SPS 160) and the SIS Act","Multiple reporting triggers with different timeframes and partial completion rules","Granular column-by-column instructions with conditional logic (e.g. 'leave blank if...', 'report only if...')","Duplicated reporting structures for 'existing' vs 'new' persons across three categories (directors/executives, auditors, actuaries)","Status field logic requiring assessment of which columns have changed to determine correct status code","Specific formatting requirements (DD/MM/YYYY dates, whole numbers, text fields)","Definition of 'responsible person' deferred to external standard rather than defined in the instrument"],"plain_english_summary":"This instrument sets reporting requirements for RSE licensees to notify APRA about their “responsible persons” — directors, senior executives, auditors and actuaries who influence super funds. It requires basic personal and position details, fit-and-proper checks, contact and crisis-billing contacts, and firm identifiers for auditors/actuaries. Notifications must be filed (initially within 28 days and thereafter within 14 days of appointments, changes, or if someone is deemed no longer fit). APRA uses the data for prudential supervision and public transparency."},"flash_summary_failed":{"failed":true,"reason":"A positive credit balance is required for all requests, including BYOK, so fallback providers remain available. Add credits at https://vercel.com/d?to=%2F%5Bteam%5D%2F%7E%2Fai%3Fmodal%3Dtop-up to continue.","source":"analysis-cron"},"flash_summary":{"complexity_score":4,"scope_assessment":{"changed":false,"description":"This Determination implements the reporting mechanics required by Prudential Standard SPS 520 (paragraphs 45–48). It operationalises existing prudential reporting obligations by prescribing a standard form, fields, formats and submission timing. It does not expand substantive scope beyond SPS 520’s stated purpose (prudential oversight and publication) or add new categories of obliged parties; rather it translates those obligations into a specific data-collection instrument and procedural requirements."},"complexity_factors":["Seven main reporting blocks with sub-items (Items 1.1, 1.2, 2.1, 2.2, 3.1, 3.2, 4 plus Items 5–7 for admin/contact data)","Multiple column-level conditional rules (e.g. columns 6–8 only if certain 'type' values; columns 11–13 vary by status)","Three separate submission timeframes (28 days; 14 days for new/change; 14 days for fit-and-proper finding)","Six defined cross-referenced terms in Interpretation (responsible person; RSE actuary; RSE auditor; RSE licensee; SIS Act; sub-fund)","Multiple status/value enumerations to report (changed / unchanged / no longer acting / new / interim / yes / no)","Cross-references to other prudential standards and Acts (SPS 520, SPS 160, SPS 232, SIS Act) that determine meanings and external obligations","Required data formats and units (dates DD/MM/YYYY, whole numbers, Australian Accounting Standards basis), adding technical validation rules","Repetitive but precise field specifications (lots of similar tables) which increases layout and data-entry complexity despite substantive simplicity"],"plain_english_summary":"**What this instrument does (mechanics)\n\n- Establishes Reporting Form SRF 520.0 and detailed instructions that RSE licensees (registrable superannuation entity licensees) must use to provide APRA with information about their \"responsible persons\" (directors, executive officers, senior managers), RSE auditors and RSE actuaries, contact details and crisis-management contacts.\n- Makes the form the procedural vehicle for meeting specific reporting obligations in Prudential Standard SPS 520 Fit and Proper (it implements paragraphs 45–48 of SPS 520).\n- Requires each RSE licensee to submit SRF 520.0 at the licence level (one form per RSE licensee) and prescribes when partial or full completion is required (timing rules below).\n- Specifies data fields, units and formats (text, whole numbers, dates as DD/MM/YYYY), and the particular columns to be completed for different categories of responsible persons and advisers.\n- Allows resubmission through APRA’s D2A channel to correct or update prior submissions.\n\nKey deadlines (who has to do what and when)\n\n- Within 28 days after SPS 520 commenced, an RSE licensee must submit SRF 520.0 to comply with paragraph 44 of SPS 520 (initial submission).\n- Within 14 days after any change or new appointment of a responsible person (to comply with paragraph 45 of SPS 520), the RSE licensee must submit the form (only the relevant parts need be completed).\n- Within 14 days after the RSE licensee determines that a responsible person is no longer fit and proper (to comply with paragraph 46 of SPS 520), the RSE licensee must notify APRA via SRF 520.0.\n\nWhich data are collected (selected fields)\n\n- For existing and new responsible persons (Items 1.1 and 1.2): name, DOB, former names, position title, type of responsible person (director, chair, CEO, CFO, other executive officer, senior manager, secretary, other), employer, whether the employer is the licensee or an associate, status flags (changed / unchanged / no longer acting / new), whether assessed under the entity’s fit and proper policy (yes / no / interim), contact phone and email, and start/cessation dates where relevant.\n- For RSE auditors and RSE actuaries (Items 2.1, 2.2, 3.1, 3.2): name, DOB, employer organisation and ABN, number of RSEs (and sub-funds for actuaries) they service, assessment-under-fit-and-proper status, status flags, commencement/cessation dates, and contact details.\n- Notification item (Item 4): minimal required data where a responsible person has been assessed as no longer fit and proper (name, DOB, position, date assessed).\n- Administrative items (Items 5–7): registered/postal address, billing contact (and invoicing preference), and primary/secondary crisis-management contacts and recovery site phone number.\n\nWho is affected\n\n- Primary affected parties: RSE licensees (they must prepare and submit the form) and the named responsible persons, auditors and actuaries (their personal and professional details are collected and may be published for prudential purposes).\n- APRA: collects, stores and uses the information for prudential oversight and publication purposes.\n\nWhy it matters (claimed purpose, and practical effects)\n\n- Purpose claimed in the instrument: information is \"required primarily for prudential and publication purposes\" under SPS 520; the form operationalises APRA’s need to know who holds key roles and whether they satisfy the entity's fit-and-proper policy.\n- Practical effects on behaviour and organisations:\n - RSE licensees must maintain organisational processes to capture, verify and submit personal and appointment details quickly (14-day windows for changes or fit-and-proper findings impose short turnaround times).\n - Entities must assess and record fit-and-proper checks for new and interim appointees (the form records \"yes\", \"no\" or \"interim\"). That creates an internal incentive to perform documented assessments promptly if a licence wants to avoid an \"interim\" flag.\n - Collecting employer and associate information (column 10) forces disclosure of potential related-party governance arrangements; APRA can use this to monitor conflicts or concentration of control.\n - APRA’s stated publication purpose means some of the collected fields may be published, so individuals and firms should expect reputational exposure for changes or adverse findings.\n\nCosts, incentives, trade-offs and implementation risks (concrete mechanisms)\n\n- Compliance burden: The instrument imposes recurring administrative costs — data gathering, verifying accuracy, updating records, and submitting via D2A. These costs are concentrated on RSE licensees (preparing and maintaining the records) and are diffuse across members only through normal operating costs.\n- Timeliness risk: short submission windows (14 days for changes and for fit-and-proper findings) increase pressure on internal compliance teams and may incentivise conservative interim appointments or delaying formal assessments (which the form signals with an \"interim\" status).\n- Privacy and data handling: the form collects personal data (dates of birth, former names, contact details). Licensees bear the direct cost and operational responsibility for collecting and securing this data; APRA bears storage/handling responsibilities and publication risk if APRA publishes some fields.\n- Competition and market effects: the instrument does not restrict who may be appointed, but public reporting of key-person changes or adverse fit-and-proper assessments could influence market perceptions of an RSE licensee and therefore affect member flows or commercial relationships.\n- Implementation discretion: the standard and form are procedural — APRA defines data submission channels (D2A) and expects certain formats. The instrument leaves fit-and-proper assessment criteria to the RSE licensee (subject to SPS 520), so variation in internal standards can produce uneven reporting signals.\n\nConcrete behavioural changes the instrument creates\n\n- RSE licensees will document and timestamp fit-and-proper assessments, maintain up-to-date personnel records and implement rapid notification workflows to meet 14-day and 28-day obligations.\n- Interim appointments will be distinguishable as such in reports, which creates an operational incentive to finalise assessments promptly or to avoid interim appointments where possible.\n\nWhere to look in the instrument for the mechanics\n\n- Reporting triggers and timelines: the submission rules are in the Reporting level / \"SRF 520.0 must be submitted\" sections (28 days; 14 days for changes/new appointments; 14 days for fit-and-proper findings).\n- Field-by-field requirements: Items 1.1–3.2 (responsible persons, auditors, actuaries) and Items 4–7 (fit-and-proper notifications, addresses, billing, crisis contacts). Definitions and cross-references are in the Interpretation section.\n\nLimitations of the instrument (what it does not do)\n\n- It does not prescribe how an RSE licensee must conduct a fit-and-proper assessment in substance — that remains the remit of SPS 520 (the form only records whether an assessment has occurred and its timing).\n- It does not itself create sanctions or enforcement text — those powers remain with APRA under prudential legislation; this instrument sets data collection procedures only.\n\nBottom line (one-sentence):\n- SRF 520.0 sets out a standardised, time-bound reporting form and instructions requiring each RSE licensee to supply APRA with up-to-date identification, appointment and fit-and-proper status information for responsible persons, auditors and actuaries, plus administrative contact details; the measure operationalises SPS 520’s notification and publication requirements, shifting administrative and data-security costs to licensees while giving APRA structured visibility of key personnel and adviser arrangements."}},"importantCases":[],"_links":{"self":"/api/acts/financial-sector-collection-of-data-reporting-standard-determination-no-7-of-2014-srs-520-0-responsi","history":"/api/acts/financial-sector-collection-of-data-reporting-standard-determination-no-7-of-2014-srs-520-0-responsi/history","analysis":"/api/acts/financial-sector-collection-of-data-reporting-standard-determination-no-7-of-2014-srs-520-0-responsi/analysis","conflicts":"/api/acts/financial-sector-collection-of-data-reporting-standard-determination-no-7-of-2014-srs-520-0-responsi/conflicts","importantCases":"/api/acts/financial-sector-collection-of-data-reporting-standard-determination-no-7-of-2014-srs-520-0-responsi/important-cases","documents":"/api/acts/financial-sector-collection-of-data-reporting-standard-determination-no-7-of-2014-srs-520-0-responsi/documents"}}