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ASIC Corporations and Credit (Reference Checking and Information Sharing Protocol) Instrument 2024/647
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Turn the raw legal text into a practical explanation grounded in ASIC Corporations and Credit (Reference Checking and Information Sharing Protocol) Instrument 2024/647.
Note: Question 2 only applies if the individual is currently, or was previously, a financial adviser or mortgage broker.
Complete the table in this question by providing information about compliance audits undertaken in the 5-year period preceding the date the reference is given. In completing the table, indicate whether the compliance audit results/outcome were about non-compliance with financial services laws or credit legislation, or non-compliance with licensee processes. Also include a description of any remedial action (see definitions below).
| Date of compliance audit | Brief description of results/outcomes | Brief description of remedial action |
|---|---|---|