4‑9 Information relating to key personne4‑9 Information relating to key personnel and past unlawful activity etc.

4‑9 Information relating to key personnel and past unlawful activity etc.

(1) The application must contain the following information regarding each of the candidate’s key personnel: (a) the individual’s full name; (b) the individual’s date of birth; (c) the individual’s job title or position; (ca) a description of the individual’s role in the candidate’s business; (cb) if the individual is a senior manager or AML/CTF compliance officer of the candidate—the individual’s professional experience relevant to performing that role; (d) the individual’s telephone number; (e) the individual’s email address; (f) the individual’s residential address.

Note: For key personnel, see section 1‑4.

(1A) The application must contain information on whether any of the candidate’s key personnel has ever been a beneficial owner of, or operated or been involved in the management of, a person (the other provider) who provides, or has provided, services of the same, or a similar, kind as the registrable services (whether or not there is a connection to Australia or a resident of Australia), and if so: (a) the full name of the other provider; and (b) the key personnel’s role in, or relationship with, the other provider; and (c) the period for which the key personnel was a beneficial owner of, or operated or was involved in the management of, the other provider. (2) The application must contain the following information: (a) whether the candidate or any of its key personnel has been charged or convicted of an offence against the Act, or of an offence against a law of the Commonwealth, a State or Territory or a foreign country of any of the following kinds: (i) money laundering; (ii) financing of terrorism; (iii) proliferation financing; (iv) people smuggling; (v) fraud (including scams); (vi) a serious offence of any other kind; (b) whether the candidate or any of its key personnel has been found by a court to have contravened the Act, the regulations or the AML/CTF Rules; (c) whether the candidate or any of its key personnel has been the subject of civil or criminal proceedings, or a regulatory or disciplinary process in Australia or a foreign country that: (i) related to the management of an entity, or commercial or professional activity; and (ii) involved an adverse finding as to the competence, diligence, judgement, honesty or integrity of the candidate or the key personnel (as applicable); (d) what steps the candidate has taken to establish the matters mentioned in paragraphs (a) to (c) in relation to its key personnel; (e) if any of the circumstances mentioned in paragraphs (a) to (c) exist—details of each of the circumstances; (f) whether any of the candidate’s key personnel has ever applied, or has been a beneficial owner of a person (other than an individual) that has applied, for registration under Part 6 or 6A of the Act (which deal with the Remittance Sector Register and the Virtual Asset Service Provider Register), and if so, information about that application; (g) whether any of the candidate’s key personnel is, has applied to be, or is intending to apply for registration, licensing or approval (however described) in any country to conduct regulated activity in the financial sector, and if so, details of the country and the kind of regulated activity the key personnel is involved in; (h) details of any training the candidate’s key personnel has received within the period of 12 months before the application is made in relation to providing registrable services, including the full name and business address of any training provider used to deliver the training.