Employment Agents Regulations 1976

The regulations revolve around a small set of recurring administrative concepts: prescribed forms, fees, the Register, infringement notices, and specified administrative offences. Each is used to translate the Act’s broad licensing and conduct framework into practical routines.

Prescribed forms. Regulation 4 and Schedule 1 constitute the central “form” architecture. Applications are allocated to Forms 1-6 (general, restricted, interim, duplicate, transfer, renewal). Licence documents are Forms 7-9 (general, restricted, interim). Form 10 is the transfer endorsement; Form 12 is the Register. Forms 13 and 14 are the infringement notice and its withdrawal. The forms contain the required factual fields and declarations (for example, two character referees resident in Western Australia are required on application Forms 1-6), approval language for corporate applicants (a space for seal and authorising signature), and spaces for conditions, limitations and places of business for the licence itself (Forms 7-9).

Fees and fee mechanics. Regulation 10 and Schedule 3 set the fees and some timing mechanics. The schedule lists explicit fees (as at the last amendment): a grant application for a general or restricted licence $1,140; an interim licence fee $30 per month applied for; renewal $807 (general or restricted); duplicate $35; transfer $98 (Schedule 3). Regulation 10(1a) prescribes that licences shall not exceed three years for the purposes of s.13(1), and that renewals may be for three years for s.13(1b). Regulation 10(1B) prescribes that the penalty for late renewal under s.13(2) is 25% of the fee payable for the renewal.

Register. Regulation 8 requires the Register under section 27 of the Act to be in the form of Form 12. Form 12 sets out table columns such as business name, addresses, cancellation or surrender dates, suspension or disqualification dates, particulars of licence conditions, and licence type (General/Restricted/Interim). The Register is thus standardised and intended to capture the lifecycle status of licences.

Infringement notices and modified penalties. Regulation 12 declares that the offences set out in Schedule 2 are prescribed for Part 2 of the Criminal Procedure Act 2004. It also makes the modified penalties in Schedule 2 the amounts for s.5(3) of the Criminal Procedure Act 2004. The Commissioner may appoint authorised officers (reg 12(3)) and must issue identification (reg 12(4)). Schedule 2 lists specified Act offences (for example s.12(1) carrying on business without a licence; s.12(4) carrying on business under unlicensed name/address, when licence not in force, in relation to unlicensed class of business, or contrary to conditions; and s.46(6) failing to keep records) and attaches a $100 modified penalty to most listed items.

Administrative offence for false or misleading statements. Regulation 11 makes it an offence to make a false or misleading statement in any application made for the purposes of the Act. The regulations create this standalone prohibition; the penalty for that offence (if any) is not specified in the regulations themselves and will lie in the Act or other applicable law.

Intersections with other Acts and machinery. Regulation 12 explicitly imports the Criminal Procedure Act 2004 infringement notice machinery and references enforcement outcomes under the Fines, Penalties and Infringement Notices Enforcement Act 1994 within Form 13’s explanatory text. The “Other notes” section of the compilation explains how references to the Commissioner for Consumer Protection in the instrument are to be treated in light of the Consumer Affairs Act 1971 and the Machinery of Government (Miscellaneous Amendments) Act 2006.

Collectively these concepts show an administrative system: standardised inputs (forms), standardised outputs (licences in a prescribed form), standardised record keeping (Register), standardised monetary transactions (fees and late penalties), and a fast‑track enforcement pathway (infringement notices at prescribed amounts) with the Commissioner empowered to delegate enforcement to authorised officers.

Primary regulated parties. The regulations affect people and entities who apply for, hold, renew, transfer or otherwise deal with licences under the Employment Agents Act 1976. That includes natural persons, partnerships, firms and bodies corporate that carry on business as employment agents or seek to do so. The forms (Schedule 1) specifically require two referees who are residents of Western Australia, and provide spaces for corporate seals and authorising signatures, reflecting that both individuals and corporate applicants are within scope.

Applicants and licence holders bear the direct administrative and financial burdens. An application for grant, renewal or transfer must be made to the Commissioner and accompanied by the prescribed fee (reg 5). The fee schedule in Schedule 3 sets significant sums for grant ($1,140) and renewal ($807) that applicants must pay. Interim licences are charged per month ($30 per month applied for). A late renewal incurs a prescribed penalty of 25% of the renewal fee (reg 10(1B)), adding a clear financial incentive to renew on time.

Persons operating without a licence, or in breach of licensing conditions, face enforcement. Schedule 2 prescribes specific offences under the Act (for example, carrying on business without a licence (s.12(1)) and carrying on under an unlicensed name, at an unlicensed address, when licence not in force, in relation to an unlicensed class of business, or contrary to a licence condition (s.12(4))). These are designated as infringement notice offences with a modified penalty (typically $100). Section references in Schedule 2 are to the Employment Agents Act 1976.

Enforcement officers. The Commissioner for the purposes of the regulations is the administrative decision maker and enforcer. Regulation 12 gives the Commissioner the power to appoint authorised officers or approved officers to issue infringement notices, and to issue identification to them (reg 12(3)-(4)). Form 13 identifies the Department of Mines, Industry Regulation and Safety address and explains enforcement outcomes under other Acts, so departmental staff (or approved officers) will be the operational contacts for issuing, receiving payment of, and withdrawing infringement notices.

Courts and enforcement agencies. The infringement notice mechanism plugs into the Criminal Procedure Act 2004 Part 2 and the Fines, Penalties and Infringement Notices Enforcement Act 1994 for enforcement if a modified penalty is unpaid. Form 13 expressly warns that non‑payment within 28 days may result in prosecution or enforcement action under the Fines Act, listing possible consequences (suspension of driver licences, garnishee orders, immobilisation, publication of details, seizure and sale of property). These references make court and fines‑enforcement agencies secondary actors in the enforcement chain.

Agencies and institutional readers. The regulations require liaison with and action by the Commissioner’s office for registration, transfers, renewals, and enforcement decisions. Because the forms include spaces for licence conditions and limitations, administrators within the Commissioner’s office will exercise discretion in setting restrictions on licences (Forms 7-9). The “Other notes” identify that references to the Commissioner for Consumer Protection are to be read in light of the Consumer Affairs Act 1971 and subsequent machinery of government changes, affecting how an agency name on the form maps to current administrative responsibilities.

Indirectly affected parties. Employers, employees, job seekers, and third parties transacting with employment agents are indirectly affected by how the licensing and enforcement rules operate. For instance, enforcement for operating under an unlicensed name or at an unlicensed address (Schedule 2, s.12(4)(a)-(b)) can alter market signalling about which agents are properly licensed. The regulations’ requirement that licence details be entered in a standard Register (Form 12) affects access to public information about licenced agents.

Summary of who decides and who pays. The Commissioner decides on licence matters, appoints authorised enforcement officers, and keeps the Register (reg 5, reg 8, reg 12). The licence applicant or holder pays fees and any modified penalties prescribed (Schedule 3; Schedule 2). Applicants bear compliance costs (forms, referee requirements, fees), while authorised officers and enforcement agencies execute compliance and enforcement.

Duties imposed by the regulations. Use prescribed forms. Regulation 4 requires applicants to use the application forms specified in Schedule 1 for each type of application; the licence itself must be in the prescribed form (Forms 7-9). Make applications with prescribed fees. Regulation 5 requires that “an application for the grant, renewal or transfer of a licence shall be made to the Commissioner and shall be accompanied by the prescribed fee.” Pay attention to timing and late penalties. Regulation 10(1a) prescribes that licences may not exceed three years and renewals may be for three years; reg 10(1B) prescribes a penalty under s.13(2) (a late renewal) of 25% of the fee due. Provide referees and corporate approvals where required. The application Forms 1-6 require two Western Australian resident referees and ask for corporate seals or authorised signatures where applicable (Schedule 1).

Keep records and obey licence conditions. Schedule 2 lists as an infringement offence (s.46(6) of the Act) failing to keep records, with a modified penalty ($100). Schedule 2 also treats carrying on business contrary to a licence condition, at an unlicensed address, under an unlicensed name, when the licence is not in force, or in relation to unlicensed classes of business as infringement notice offences under s.12(4) with $100 modified penalties. Although the Act provisions are the substantive source of those duties, the regulations implement the monetary and procedural mechanism for enforcement.

Do not make false or misleading statements. Regulation 11 expressly makes it an offence to make a false or misleading statement in any application made for the purposes of the Act. The regulations do not specify the maximum penalty for that offence; the Act or other laws may provide the penalty, but the regulation fixes the substantive duty to provide truthful information.

Cooperate with authorised officers and infringement process. Regulation 12(3) authorises the Commissioner to appoint persons to issue infringement notices, and reg 12(4) requires the Commissioner to issue identification to those officers. Form 13 sets out the process for payment within 28 days, the payment address, and the consequences of non‑payment under the Fines, Penalties and Infringement Notices Enforcement Act 1994. The form also contains a space for the alleged offender to elect court prosecution rather than pay the modified penalty, and a mechanism to request an extension of time in writing.

Rights created or preserved. Right to apply. Applicants have a procedural right to apply for grant, renewal, transfer, duplicate or interim licences on prescribed forms (reg 4; Schedule 1). Right to renew and to have prescribed licence durations. Regulation 10(1a) provides the maximum duration for licences (not exceeding three years) and that renewals may be for three years. Right to elect prosecution. Form 13 allows an alleged offender to decline the infringement notice in favour of prosecution in court by signing and returning the notice within 28 days. Right to a withdrawal and refund. Form 14 prescribes the withdrawal process and the right to a refund if the modified penalty has been paid and the notice is then withdrawn.

Rights to administrative identification and delegated enforcement. The Commissioner may appoint authorised officers to issue infringement notices and must provide identifying certificates, badges or identity cards to them (reg 12(3)-(4)). This creates an administrative right for authorised officers to be identifiable when exercising delegated enforcement functions.

Administrative discretion. The forms show that licences can be issued “subject to the following conditions, limitations and restrictions” (Forms 7-9). That indicates a licence holder’s rights are conditioned by Commissioner‑imposed limitations. The regulations themselves do not list the available conditions; they provide the mechanism to impose them in the licence form.

Limits and omissions. The regulations do not, in themselves, set the substantive licensing criteria or maximum penalties for the reg 11 offence; those provisions are in the Act. They do, however, establish the administrative and financial framework (forms, fee amounts, modified penalty levels, register format, infringement mechanics) which converts statutory duties into actionable regulatory steps.

Primary monetary penalties in the regulations. The regulations set two categories of monetary amounts: statutory fees for licensing activities (Schedule 3) and modified penalties for specific Act offences prescribed for infringement notices (Schedule 2). Schedule 3 lists fees for grant ($1,140 for general or restricted licences), renewal ($807), duplicate ($35), transfer ($98), and interim licence fees charged per month ($30 per month). These are payable on application as required by reg 5. Regulation 10(1B) prescribes a late renewal penalty amounting to 25% of the fee due for granting that renewal under s.13(2) of the Act.

Infringement notices and modified penalties. Regulation 12 designates the offences listed in Schedule 2 as offences for which an infringement notice may be issued under Part 2 of the Criminal Procedure Act 2004 (reg 12(1)). Schedule 2 pairs specific Act provisions with a modified penalty: carrying on business without a licence (s.12(1)) and the s.12(4) subsets (unlicensed name, unlicensed address, licence not in force, unlicensed class of business, contrary to licence condition) are each paired with a $100 modified penalty. Failing to keep records under s.46(6) is similarly set at $100. The modified penalties are the amounts for the purposes of section 5(3) of the Criminal Procedure Act 2004 (reg 12(2)).

Mechanics and secondary enforcement. Form 13 specifies that payment of the modified penalty within 28 days avoids prosecution. It sets payment channels (mail cheque/money order payable to “Approved Officer , Employment Agents Act 1976” and an in‑person cashier option at the Department of Mines, Industry Regulation and Safety). Form 13 also warns that if the modified penalty is not paid within 28 days, the alleged offender may be prosecuted, or enforcement action may be taken under the Fines, Penalties and Infringement Notices Enforcement Act 1994, and lists potential enforcement outcomes (suspension of driver’s licence, vehicle licence action, disqualification from holding licences, vehicle immobilisation, publication of details, garnishment, seizure and sale of property). That statement links the infringement notice mechanism to the suite of civil enforcement remedies in the Fines Enforcement Act.

Delegation and identification of enforcement officers. The Commissioner may appoint authorised officers or approved officers to issue infringement notices (reg 12(3)). The Commissioner must issue to each authorised officer a certificate, badge or identity card identifying the officer as authorised to issue infringement notices (reg 12(4)). These delegations create an enforcement network under Commissioner supervision.

Criminal prosecution alternative. Form 13 allows the alleged offender to elect prosecution in court rather than pay a modified penalty, by signing and returning the notice within 28 days. That preserves the prosecution path and the criminal justice process as an alternative to the infringement procedure.

Non‑monetary penalties and administrative sanctions. The regulations require licenced details to be fit for purpose on the face of the licence forms (Forms 7-9), including conditions, limitations and restrictions. Schedule 2 makes carrying on contrary to licence conditions an infringement offence. The Act likely contains additional sanctions such as suspension or cancellation (the Register contains fields for “Suspension of Licence” and “Disqualification”, Form 12), and the Register records “Cancellation or Surrender Date”, indicating administrative actions are recorded and can affect licence status.

Sanctions not specified in the regulations. The regulations create the offence in reg 11 (false or misleading statements in applications) but do not specify a monetary or criminal penalty in the text of the regulations; the Act or other legislation will determine applicable penalties for that offence. Practitioners should therefore check the Act for the maximum penalties and for any other non‑monetary sanctions.

Enforcement costs and incentives. The amended fee schedule (Schedule 3) combined with relatively low modified penalties (Schedule 2’s $100) creates an enforcement arithmetic: the cost of formal enforcement through an infringement notice is low relative to licence fees. The 25% late renewal penalty (reg 10(1B)) is directly tied to the renewal fee and is therefore substantial compared with the $100 modified penalty for carrying on without a licence; being late in renewing may therefore cost a licensee materially more than a first infringement notice offence, depending on the fee at the time.

Direct statutory cross‑references. The regulations explicitly link to other statutes and procedures. Regulation 12 makes the offences in Schedule 2 ones “for which an infringement notice may be issued under Part 2 of the Criminal Procedure Act 2004” (reg 12(1)). Regulation 12(2) makes the modified penalties the amounts for the purposes of s.5(3) of the Criminal Procedure Act 2004. Form 13 references the Fines, Penalties and Infringement Notices Enforcement Act 1994 as the mechanism for enforcement action if the modified penalty is unpaid and describes enforcement consequences under that Act. Schedule 3 ties particular fee items to provisions in the Employment Agents Act 1976 (for example item 1 references Act s.18(1) and item 3 references Act s.26(3)). The Schedule 2 headings link offences back to the Employment Agents Act 1976 sections (s.12(1), s.12(4), s.46(6)).

Administrative agency mapping. The “Other notes” to the compilation state that references to the Commissioner for Consumer Protection in any instrument are to be read, unless context requires otherwise, as references to the Commissioner for Fair Trading as defined by the Consumer Affairs Act 1971 (Other notes 1). The Machinery of Government (Miscellaneous Amendments) Act 2006 s.151(5) further clarifies that a reference to Commissioner for Fair Trading is to be read as a reference to the Commissioner as defined by the Consumer Affairs Act 1971. Practically, this means that the Commissioner named on the forms is to be interpreted in line with the current statutory definition in the Consumer Affairs Act 1971 and subsequent machinery of government changes, which affects which agency administers the employment agents licensing obligations.

Criminal procedure and fines enforcement. By prescribing certain offences as able to be dealt with by infringement notices under the Criminal Procedure Act 2004, the regulations shift low‑level enforcement into an administrative penalty regime with civil enforcement tools under the Fines, Penalties and Infringement Notices Enforcement Act 1994 available for collection and compulsion. That interaction shortens the path to monetary disposition for listed offences but preserves the option of prosecution if desired.

Record keeping and other Act obligations. Schedule 2 prescribes a modified penalty for failing to keep records under s.46(6) of the Act. The regulations therefore operationalise record keeping enforcement for the Act’s substantive duty in a manner consistent with the Criminal Procedure Act 2004 systems. Practitioners must therefore read the regulations alongside the Act to understand the substantive scope of the record keeping obligation that the $100 modified penalty enforces.

Fees and other regulations. The compilation table shows that fee adjustments and related procedural changes have often been made by Commerce/Commerce and Industrial Relations Regulations Amendment (Fees and Charges) Regulations in later years (various entries: 2016-2025). This indicates that the fee schedule in Schedule 3 interacts with broader regulations setting fees and charges across related Acts and departments, and that fees are subject to periodic adjustments via those instruments.

Limits of the regulations’ reach. The regulations do not attempt to replicate the Employment Agents Act 1976’s substantive licensing criteria, disciplinary grounds, or the full suite of sanctions; those remain in the Act. The regulations implement administrative detail (forms, fees, infringement amounts, identification requirements for authorised officers) and plug into criminal procedure and fines enforcement statutes for enforcement capacity. For full effect and legal outcome, the Act and the other referred statutes should be read in tandem with these regulations.

The regulations include an extensive compilation table listing the text’s amendment history from original promulgation through to the most recent amendment listed. The Employment Agents Regulations 1976 were first published 10 September 1976 and commenced 1 November 1976. The compilation table itemises many amendment instruments and commencement dates; practitioners should note that the regulations have been updated repeatedly and that the current Schedule 3 fee figures and Schedule 2 prescribed offences follow successive amendments.

Key amendment milestones recorded in the compilation table:

• 1980-1996: A series of amendment regulations across 1980, 1981, 1983, 1986, 1987, 1988, 1989, 1990, 1991, 1992, 1993, 1995 and 1996 with various commencement dates between 1 Nov 1980 and 12 Mar 1996. The reprint as at 30 Sep 1997 consolidates those earlier amendments.

• 2002-2007: Amendments in 2002, 2003, 2004 and 2006; notably the 2006 amendments inserted reg 2 and reg 12 provisions (the heading indicates reg 2 was inserted Gazette 22 Sep 2006 p. 4109 and reg 12 inserted the same date), and Schedule 2 and Forms 13/14 were inserted at that time (reg 12 inserted: Gazette 22 Sep 2006 p. 4109). Reprints and reissue dates are recorded (e.g. Reprint 3 as at 20 Oct 2006).

• 2013-2015: Amendments include 2013 (two instruments, the June and August 2013 amendments), with reprint 5 as at 2 May 2014 and further amendments in 2014 and 2015; see Gazette references in the compilation table.

• 2016-2025 fee and infringement adjustments: The compilation table shows repeated fees and administrative amendments in the Commerce or Commerce and Industrial Relations Regulations Amendment instruments in 2016, 2017, 2018, 2019, 2020, 2021, 2022, 2023, 2024 and 2025, with the most recent entries being SL 2025/89 (11 Jun 2025) with commencement 1 Jul 2025 which inserted Schedule 3 (see note [Heading inserted: SL 2025/89 r. 19.]). The Schedule 3 fees table itself lists those amounts and is captioned as inserted by SL 2025/89 r.19.

• Specific deletions and insertions noted in marginal annotations: Several earlier regulations were deleted or substituted, for example reg 3 deleted 22 Sep 2006, regs 6 and 7 deleted 18 Nov 2014, Form 11 deleted 18 Nov 2014, and some prior references to provisions have been removed or renumbered across amendments.

Administrative annotations. The marginal notes embedded in the text show where individual regulations or forms were amended (for example Forms 1-9 show amendment notices across dates, Gazette references supplied). The compilation table also records the administrative machinery changes that affect agency naming and references to the Commissioner (Other notes 1), reflecting the interplay between these regulations and other statutory instruments.

Practical import. The repeated fee amendments via “Commerce Regulations Amendment (Fees and Charges) Regulations” and similar instruments from 2016 to 2025 indicate that fee levels and related administrative items have been periodically adjusted through delegated fee instruments rather than by wholesale redrafting of the Employment Agents Regulations themselves. The latest fee numbers in Schedule 3 are tied to that 2025 instrument.

What is not in the amendment history. The compilation table and schedules list amendment instruments and dates, but do not supply policy rationales or explanatory memoranda. Any policy intent asserted in those amending instruments must be read in their own texts. The regulations’ compilation notes record dates and Gazette references; they do not create or purport to summarise judicial interpretations or litigation outcomes.

The printed text and compilation notes contained in this version of the Employment Agents Regulations 1976 include no judgments, case references, appeal outcomes, or litigation summaries. The schedules, forms and compilation table record administrative changes and Gazette dates but do not include any litigation history entries. The regulations itself name Act provisions and cross‑refer to other statutes for enforcement procedures but do not report any court decisions under the Act or the regulations.

Implication for research. Because there is no litigation history provided in the compilation text, if legal argument or precedent is required on interpretation or enforcement of any of the regulatory provisions (for example the scope of the reg 11 offence, the application of infringement notices under reg 12, or the meaning of the offences in Schedule 2 which refer to particular sections of the Act), practitioners must consult primary sources beyond the regulations: the Employment Agents Act 1976, tribunal and court decisions, and any administrative determinations issued by the Commissioner or departmental reviewers. The regulations’ text does not purport to carry judicial interpretations.

Where to look next. For litigation or case law, search WA state law databases for decisions citing the Employment Agents Act 1976 or these regulations, or search the Criminal Procedure Act 2004 and Fines Enforcement Act cases where infringement notice processes under these regulations have been contested. Administrative review or merits decisions concerning licence refusals, suspensions or cancellations would typically be in tribunal or Supreme Court records; the regulations themselves do not record any such material.

Limitations in the source. The absence of litigation history in the regulation compilation is not unusual: subordinate instruments commonly omit case law. This means the regulatory text should be used as the administrative blueprint, with interpretation and enforcement precedent obtained from a separate case law search.

Prescribed form requirement is mandatory. Regulation 4 requires use of the specific numbered forms in Schedule 1 for each kind of application and licence. Using a variation or an unapproved form may be treated as non‑compliance. The forms include required fields (for example two WA resident referees), and corporate applicants must show corporate approval with a seal or authorised signature. The forms also include deleted items and marginal annotations which can cause confusion unless the current reprint is followed.

Fee schedule vs. enforcement arithmetic. The monetary amounts show a particular enforcement arithmetic that may be non‑intuitive. The application and renewal fees in Schedule 3 are materially larger ($1,140 for a grant, $807 for renewal) than the modified penalty for many operational offences set out in Schedule 2 ($100). A person carrying on business without a licence can be issued an infringement notice for $100, which may be less than the cost of regularising their status by paying the grant fee if prosecuted informally. Separately, a late renewal attracts a 25% penalty on top of the renewal fee (reg 10(1B)), which can be a substantial sum (25% of $807 at current Schedule 3 figures = $201.75). The relative levels of fees and modified penalties create incentives and potential perverse incentives around compliance and enforcement.

Interim licence fee is monthly. Item 1(c) in Schedule 3 lists the interim licence fee at $30 “for each month applied for.” That means an interim licence sought for multiple months results in a cumulative fee; failing to account for the monthly calculation could underprice an application.

Regulation 11 is an offence but penalty not in regulations. Regulation 11 criminalises false or misleading statements in applications. The regulations do not provide a penalty quantum for that offence; practitioners must check the Act or other relevant legislation for the applicable penalty. Assuming a nominal fine without checking the Act is a common pitfall.

Infringement notice is optional and has specific procedural rights. Form 13 gives the alleged offender the option to pay the modified penalty within 28 days to avoid prosecution, but also to elect prosecution by signing and returning the notice. Failure to return the notice in the specified way within the 28 days may affect procedural rights. In addition, the form provides a postal address and departmental cashier payment option; copies show the Department of Mines, Industry Regulation and Safety as the operational payer, which may reflect administrative arrangements - practitioners should verify current payment channels.

Commissioner identification and delegation. Regulation 12 allows the Commissioner to appoint authorised officers and requires issuance of identification for them (reg 12(3)-(4)). However, the regulations place the onus on the Commissioner to issue IDs. If an enforcement officer cannot produce ID, that may affect the policing action’s legitimacy, but the regulations do not specify a procedure for challenging an officer. Practitioners should request to see identification and document any enforcement encounter.

Register fields and public disclosure. Form 12 standardises fields for suspension, cancellation, and disqualification dates, which implies those administrative actions will be recorded. The regulations do not spell out who may access the Register or how it will be published or queried. There may therefore be uncertainty for third parties or members of the public wanting to confirm licence status; the Act or departmental practice will determine access.

Cross‑instrument naming. The “Other notes” explain that references to the “Commissioner for Consumer Protection” should be read to mean the Commissioner as defined by the Consumer Affairs Act 1971 due to machinery of government changes. Practitioners relying on an older or mis‑named version of the instrument may direct applications to a defunct office name; ensure the current administrative contact is used.

Amendment timing and version control. The compilation table documents many amendments, including periodic fee adjustments. Using an outdated fee amount or an older form version (some forms display multiple amendment stamps) risks rejection or delay. Always check that the form and fee reflect the instrument’s most recent reprint and effective dates listed in the compilation table.

Limited remedies in regulations. The regulations focus on administrative mechanics; they do not elaborate appeal rights, merits review procedures, substantive licensing standards, or judicial remedies. Those lie in the Act and other governing laws. Relying solely on the regulations to establish rights of appeal or discipline procedures will miss the substantive framework.

Step‑by‑step compliance checklist, based on the regulations:

1. Identify licence type. Use regulation 4 and Schedule 1 to determine which application form applies: general (Form 1), restricted (Form 2), interim (Form 3), duplicate (Form 4), transfer (Form 5) or renewal (Form 6). Ensure the intended activities and geographic/class restrictions align with the licence type.

2. Complete the prescribed form exactly. The regulations require the use of the prescribed forms (reg 4). Each form contains required fields (e.g. the name and address of the applicant, two Western Australian resident referees, addresses of proposed places of business, corporate approvals where applicable). Do not alter mandatory fields. For corporate applicants, use the space for corporate seal and authorised signature.

3. Verify referees and residency requirements. Forms 1-6 require two persons resident in Western Australia willing to act as character referees (Schedule 1). Confirm their willingness, obtain accurate contact details, and ensure they meet any Act‑level qualification (if the Act imposes one).

4. Attach the prescribed fee and calculate timing. Regulation 5 mandates applications be accompanied by the prescribed fee. Use Schedule 3 for current fees: $1,140 for grant of general or restricted licence; $807 to renew; $30 per month for interim licences; $35 duplicate; $98 transfer (Schedule 3). For an interim licence, multiply $30 by the number of months requested. If renewing, renew on time to avoid the late renewal penalty of 25% of the renewal fee (reg 10(1B)).

5. Provide truthful and complete information. Regulation 11 makes a false or misleading statement in any application an offence. Double‑check all factual assertions on the application and attached documentation. If the applicant is representing another firm or body corporate, ensure the appropriate corporate approvals are recorded as the forms require.

6. Maintain records as required under the Act. Schedule 2 prescribes a $100 modified penalty for failing to keep records under s.46(6) of the Act. Although the Act will detail the content and retention period of records, ensure your record keeping meets Act standards: maintain copies of applications, licences, correspondence, client instructions, placement records, fees charged, and any condition compliance materials.

7. Ensure licence particulars match business practice. Schedule 2 prescribes infringement penalties for operating under an unlicensed name, at an unlicensed address, when the licence is not in force, in relation to an unlicensed class of business, or contrary to licence conditions (s.12(4) items). Make sure the business trading name, places of business, and classes of activity are recorded correctly on the licence (Forms 7-9) and update the Commissioner via the prescribed transfer/duplicate/renewal mechanisms where necessary.

8. Watch the Register entries. The Register (Form 12) will contain the entry for your licence, including conditions, suspensions, cancellations, or disqualifications. Keep copies of the licence and ensure that official records reflect current status, including business addresses.

9. Prepare for infringement procedures. If served with an infringement notice (Form 13), note the 28‑day period for payment or election for prosecution. The form describes payment options, the postal address for the Approved Officer (Department of Mines, Industry Regulation and Safety) and the rights to request an extension in writing. If you believe the notice is incorrect, use Form 14’s withdrawal mechanism or seek legal representation promptly.

10. When transferring or duplicating, use the prescribed forms and fees. Transfers require Form 5 and a $98 fee (Schedule 3), duplications use Form 4 and a $35 fee. The licence transfer endorsement is Form 10; ensure transfers are properly endorsed and recorded.

11. Keep up with amendments. Fee levels and procedural details have been adjusted many times (compilation table documents frequent amendments up to SL 2025/89). Check the most recent reprint and any Commerce/Fees instruments that may have altered Schedule 3 or related administrative arrangements before lodging applications or calculating fees.

12. Liaise with the appropriate Commissioner office. The regulations refer to the Commissioner for Consumer Protection but “Other notes” state that such references are to be read in light of the Consumer Affairs Act 1971 and machinery of government changes. Confirm the correct contemporary departmental contact and payment address shown on Form 13 (the department name displayed in the forms is the Department of Mines, Industry Regulation and Safety).

13. Build compliance into commercial practices. Ensure that staff and agents understand licence conditions and that central records show licence numbers, expiry dates and conditions to avoid operating when a licence is not in force. Set internal reminders for renewal well before expiry to avoid the 25% late renewal penalty.

14. Seek clarifications in writing. For ambiguous requirements (for example whether a new place of business needs a licence amendment), request written guidance from the Commissioner’s office before acting. Keep copies of any administrative directions.

15. If enforcement action is imminent, preserve evidence and engage counsel. If faced with an alleged offence that attracts an infringement notice or possible prosecution under the Act, preserve records, gather contemporaneous documentary proof of compliance (or steps taken to become compliant), and consider legal advice early because the regulations preserve prosecution as an alternative to paying a modified penalty.

Practical checks for lawyers, accountants and compliance professionals:

• Verify current fee schedule immediately before lodging an application; Schedule 3 numbers reflect the 2025 instrument but may vary with later instruments.
• Confirm the identity and authority of any Commissioner officer or authorised officer; reg 12(4) requires issuance of identification to authorised officers.
• Check the Act for substantive licensing criteria, record keeping content and maximum penalties for regulation 11 offences; the regulations implement administrative mechanics but the Act retains substantive provisions.
• Maintain a renewal timetable; because licences may be issued for up to three years (reg 10(1a)), set reminders at intervals to prevent lapses and late renewal penalties.

By following the forms, paying the prescribed fees, keeping records and monitoring licence conditions and timings, regulated entities can align with the administrative duties created by the Employment Agents Regulations 1976.