3. Conduct of the individual3. Conduct of the individual

3. Conduct of the individual

Note: Question 3 is to be answered in relation to the 5-year period preceding the date the reference is given.

(a) Have you reported a breach or reportable situation to ASIC (whether under former section 912D or section 912DAA of the Corporations Act 2001 or section 50B of the National Consumer Credit Protection Act 2009) in respect of the individual? \[Yes/No\]
(b) If you answered Yes to Question 3(a), provide details on the relevant date, type and nature of the breach or reportable situation. Also include details of any remedial action.
(c) Has the individual’s conduct or performance (including acts or omissions) in relation to any of the following:
(i) (where current or former representative of a licensee) the provision of financial services or engaging in credit activities while employed or authorised by you;
(ii) (where former representative of a licensee) the circumstances surrounding the individual ceasing to be employed or authorised by you;
(iii) (where current or former mortgage broker in relation to mortgage aggregator) engaging in credit activities while you were acting as a mortgage intermediary in relation to the individual; or
(iv) (where former mortgage broker in relation to mortgage aggregator) the cessation of your mortgage intermediary arrangement with the individual;
concerned the individual’s involvement in any of the following:
(v) dishonesty \[Yes/No\]
(vi) unprofessional conduct \[Yes/No\]
(vii) conduct justifying instant dismissal or immediate termination of representative status \[Yes/No\]
(viii) refusal or deliberate non-compliance in relation to the financial services laws or the credit legislation \[Yes/No\]
(ix) gross incompetence or gross negligence \[Yes/No\]
(x) a breach of the Financial Planners and Advisers Code of Ethics 2019 \[Yes/No\]

Note: The conduct need not involve a contravention of the law.

(d) If you answered Yes to any of the matters in Question 3(c), provide a brief summary of the details, including relevant information in relation to internal assessments, external notifications or complaints against the individual in connection with the provision of financial services or engaging in credit activities, and any remedial action.
(e) Has ASIC or the Financial Services and Credit Panel given you any of the following in relation to the individual:
  (i) a copy of a written warning or reprimand under subsection 921S(2) or 921T(2) of the Corporations Act 2001? \[Yes/No\]
  (ii) a copy of an instrument under subsection 921M(1) of the Corporations Act 2001? \[Yes/No\]
(f) If you answered yes to Question (3)(e)(i) or (ii), provide a copy of the warning, reprimand or instrument and a copy of the statement of reasons for the decision given to you by ASIC or the Financial Services and Credit Panel.