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Form content

P1 – Transaction and licensee details

P1-S1 – Transaction details

Control

ID

Mandatory Label Control

type

Business rules, validation,

control values

Business rules on control

ID used for

business

rules

Y/N Question text etc. Example:

Do you know the ASIC Identifier for the entity?

(See the

Appendix)

Specify show/hide business rules

driven from this control; any

validation needed; the values

available for selection - example:

Yes/No

If Yes show 1a to 1d, then re-join

common branch at 2

If No show 2

Specify show/hide business rule that is

applied on this control

-- Submit or update reportable situation by

licensee (includes updating a breach report)

Form

name

P1 -- Transaction and licensee details Page

P1-S1 -- Transaction details Sub page

P1-S1-0 -- Transaction reference number for the first

notification submitted to ASIC about the

reportable situation event from which this

transaction was launched

Textbox Pre-fill oldest transaction

reference ID for the

reportable situation event.

Whether this is populated

impacts on whether various

controls are shown.

Hide if there is no previous

submission ID for the

reportable situation event from

which this transaction was

launched.

P1-S1-

0a

-- Transaction reference number for the most

recent notification submitted to ASIC about the

reportable situation event

Textbox Pre-fill newest transaction

reference ID for the

reportable situation event.

Hide if there is no previous

submission ID for the

reportable situation event from

Control

ID


type


control values


If there has only been one

transaction this will be the

same number as provided at

P1-S1-0.

If this field is populated, the

new transaction is to be pre-

filled with the

responses/data from the

previous transaction

indicated at this field, with

the exception of P1-S2 (other

than P1-S2-9), P3 and P5, as

relevant.

which this transaction was

launched.

P1-S1-

0b

Y If this is the first notification submitted to ASIC

about the reportable situation event from which

this transaction was launched, which of the

following best describes the purpose of your

report?

Radio

buttons

List values:

• Notifying of a reportable

situation

• Providing an update

about a breach report

where the breach/likely

breach occurred prior to

October 2021

Selection here drives

whether various subpages

and controls are shown.

Show if P1-S1-0 is not

populated.

Note: When not shown the

previous response will remain

pre-filled.

P1-S1-

7a

-- No AFS licence is connected to your portal

entity. Providing an update about a previously

submitted breach report is only available via this

Error

alert

Validation: Stop user

progressing.

Show if portal entity does not

hold a current/suspended AFS

licence and P1-S1-0b =

Control

ID


type


control values


transaction if you hold an AFS licence and have

connected it to your portal registration. You are

unable to proceed with this transaction.

Providing an update (re old

breach).

P1-S2 – Licensee details

Control

ID


type


control values


P1-S2 -- Licensee details Sub page

P1-S1-1 -- Source system Hidden

field

Pre-fill from portal for portal

entity.

P1-S1-

1a

-- Source identifier Hidden

field

(textbox)

Pre-fill from portal for portal

entity.

P1-S1-3 -- Organisation name Textbox Pre-fill from RDR for portal

entity.

Show if portal entity is

Organisation.

P1-S1-

3a

-- Australian Company Number / Australian

Registered Body Number

Textbox Pre-fill from RDR for portal

entity.

[Will be blank if

asicNumberType = “NRET”.]


Organisation.

P1-S1-

3aa

-- Australian Business Number Textbox Pre-fill from RDR for portal

entity.

P1-S1-4 -- Given name Textbox Pre-fill from RDR for portal

entity.


Individual.

P1-S1-5 -- Other given name(s) Textbox Pre-fill from RDR for portal

entity.


Individual.

P1-S1-6 -- Family name Textbox Pre-fill from RDR for portal

entity.


Individual.

P1-S1-2 -- Australian financial services (AFS) licence

number

Textbox Pre-fill permission number

for current/suspended AFSL

held by portal entity.

Show if portal entity holds

AFSL (i.e. AFSL is current or

suspended).

Control

ID


type


control values


If P1-S1-0b = Providing an

update (re old breach) this

must be populated.

P1-S1-

2a

-- Australian credit licence number Textbox Pre-fill licence number for

current/suspended ACL held

by portal entity.

Show if portal entity holds ACL

(i.e. ACL is current or

suspended) and if P1-S1-0b =

NOT Providing an update (re

old breach).

P1-S1-7 -- Pre-filled information

We have pre-filled the information above from

ASIC records. If the pre-filled information is

incorrect, you will be unable to make the

required declaration as to the truth and

accuracy of the information in this document.

In this case, you must not submit the document

until the information ASIC holds is corrected

and then pre-filled into this document.

For more information, please see our FAQ -

What should I do if there are errors in the pre-

filled information of a form or transaction?.

Information

callout

P1-S1-8 -- System not available: The system we use to

pre-fill information on this page is not available.

We are currently working on restoring the

system. You cannot progress past this page

Error alert Validation: stop user

progressing.

Show if the portal entity pre-fill

or the RDR lookup is not

working.

Control

ID


type


control values


until we restore the system. Please try again

later.

P1-S1-9 Y To which of the above licences does the

reportable situation relate?

Radio

buttons

List values:

• AFS licence

• Credit licence

• Both licences

Show if both P1-S1-2 and P1-

S1-2a are populated (holds

both AFSL and ACL) and if P1-

S1-0b = Notifying of a

reportable situation.

Read only if form state =

Investigation incomplete,

Remediation incomplete,

Rectification incomplete or

Remediation and rectification

incomplete.

P2 – Type

P2-S1 – Situation type

Control

ID


type


control values


P2 -- Type Page

P2-S1 -- Situation type Sub page Hide if P1-S1-0b = Providing

an update (re old breach).

P2-S1-1 -- All references to:

• ‘Corporations Act’ refer to the

Corporations Act 2001

• ‘Credit Act’ refer to the National

Consumer Credit Protection Act 2009

and

• ‘ASIC Act’ refer to the Australian

Securities and Investments Commission

Act 2001.

Section 912D of the Corporations Act and s50A

of the Credit Act each contain relevant

definitions of ‘reportable situation’, ‘core

obligation’ and set out when a breach is taken

to be ‘significant’. Section 910A of the

Corporations Act also defines what is meant by

‘relevant financial products’.

Information

callout

Control

ID


type


control values


If there has been (or may have been) a breach

and it is not or would not be significant, you are

not required to submit the report. If you still

want to advise ASIC of the matter, ASIC’s

website explains how to voluntarily report

misconduct to ASIC.

For further guidance about reportable situations

refer to Regulatory Guide 78 Breach reporting

by AFS licensees and credit licensees (RG 78).

P2-S1-

1a

-- Details from first transaction submitted about

this reportable situation event

Heading Show if P1-S1-0 is populated

(i.e. not initial submission for

reportable situation event).

P2-S1-2 Y What is your report about (you can select more

than one)?

Checkbox Allow multi select.

List values:

A. Core obligation –

significant breach/likely

breach/commenced

investigation

B. Gross negligence

C. Serious fraud

If A, show P2-S1-3 and P2-S1-

4.

Selection here also drives








incomplete.

Control

ID


type


control values


P2-S1-3 Y Which of the following best describes your

report (you are unable to select both of the first

two options)?


List values:

A. Significant breach of core

obligation has occurred

B. No longer able to comply

with core obligation (likely

significant breach)

C. Commenced an

investigation about

whether either of the

above are applicable

Do not allow selection of both

A and B.

If both A and B, show P2-S1-

3a.

If A or B, show P2-S1-5b.

If C, show P2-S1-7 if other

criteria met.




Show if P2-S1-2 includes A (re

core obligation).






incomplete.

P2-S1-

3a

-- You cannot select both ‘Significant breach of

core obligation has occurred’ and ‘No longer

able to comply with core obligation (likely

significant breach)’. To proceed with this

transaction you must deselect one of these

options.


progressing.

Show if P2-S1-3 includes A

and B.

Control

ID


type


control values


P2-S1-

5c

-- Investigation status Heading Show if P1-S1-0 is populated



P2-S1-6 Y Have you completed your investigation of the

matter?

Radio

buttons

Yes/No

If Yes, show P2-S1-7 if other

criteria met.









incomplete.

P2-S1-7 -- By answering ‘Yes’ to the above question, you

are indicating that the investigation found

neither:

• a significant breach of a core obligation

• nor that the licensee or a representative

is unable to comply with a core

obligation where the breach, if it had

occurred, would have been significant.

If this is not correct, review your answer to

‘Which of the following best describes your

report (you are unable to select both of the first

two options)?’ above.

Warning

alert

Show if P2-S1-6 = Yes and P2-

S1-3 = C only.

Hide if P1-S1-0 is populated



P2-S1-

7a

-- The question above was asked in the first

notification submitted to ASIC about the

reportable situation event from which this

transaction was launched. Because you

answered ‘No’ to that question, the same

Information

callout

Show if P1-S1-0 is populated

and P2-S1-6 = No.

Control

ID


type


control values


question appears again below to allow you to

provide an update.

P2-S1-

7b

Y Have you completed your investigation of the

matter?

Radio

buttons

Yes/No

Selection here drives whether

various subpages and

controls are shown.


and P2-S1-6 = No.





incomplete.

P2-S1-9 -- There are some limitations to what you can

select in answer to the question below. You are

unable to select:

• both of the first two options

• the last option if your investigation is

incomplete

• the last option if you have selected one of

the first two options.

Information

callout


and P2-S1-2 = A only and P2-

S1-3 = C only.

Hide if P2-S1-6 = Yes.

P2-S1-

10

Y Which of the following best describes what the

investigation found – or has found to date if the

investigation is still incomplete?


List values:

A. Significant breach of

core obligation has

occurred

B. No longer able to

comply with core

obligation (likely

significant breach)

C. Gross negligence



S1-3 = C only.






incomplete.

Control

ID


type


control values


D. Serious fraud

E. No breach of, nor

inability to comply with,

core obligation found

where the breach

is/would be significant

If E, cannot also select A or B.

Do not allow selection of both

A and B.

Do not allow selection of E if

P2-S1-7b = No.

Selection impacts on which

subpages/controls are

shown.

P2-S1-

11

-- You cannot select both ‘Significant breach of

core obligation has occurred’ and ‘No longer

able to comply with core obligation (likely

significant breach)’. To proceed with this

transaction you must deselect one of these

options.


progressing.


and B.

P2-S1-

12

-- You cannot select ‘No breach of, nor inability to

comply with, core obligation found where the

breach is/would be significant’ as well as either

of the following: ‘Significant breach of core

obligation has occurred’ or ‘No longer able to

comply with core obligation (likely significant


progressing.

Show if P2-S1-10 includes E

and A and/or B.

Control

ID


type


control values


breach)’. To proceed with this transaction you

must deselect one of these options.

P2-S1-

13

-- You cannot select ‘No breach of, nor inability to

comply with, core obligation found where the

breach is/would be significant’ if your

investigation of the matter is not yet complete.

To proceed with this transaction you must

deselect that option.


progressing.

Show if P2-S1-10 includes E

and P2-S1-7b = No.

P2-S1-

14

Y Which of the following best describes what the

investigation found – or has found to date if the

investigation is still incomplete?

Radio

buttons

List values:

A. Significant breach of

core obligation has

occurred

B. No longer able to

comply with core

obligation (likely

significant breach)

C. Neither of the above



shown.


and P2-S1-2 = A and B and

P2-S1-3 = C only

OR if P1-S1-0 is populated

and P2-S1-2 = A and C and

P2-S1-3 = C only


and P2-S1-2 = A and B and C

and P2-S1-3 = C only.






incomplete.

P2-S1-

15

Y In addition to the breach/likely breach, did the

investigation find gross negligence or serious

fraud had occurred that relates to the same

reportable situation event (you can select more


List values:

A. Gross negligence

B. Serious fraud



S1-3 includes A or B.


Control

ID


type


control values


than one, unless you select ‘Neither of the

above found’)?

C. Neither of the above

found

If C, cannot make any other

selections.



shown.





incomplete.

P2-S1-

16

-- You cannot select ‘Neither of the above found’

as well as either of the following: ‘Gross

negligence’ or ‘Serious fraud’. To proceed with

this transaction you must deselect one of these

options.


progressing.

Show if P2-S1-15 = C and A

OR if P2-S1-15 = C and B.

OR if P2-S1-15 = C and A and

B.

P2-S1-

17

Y In relation to the likely breach that was

identified, has the breach since occurred?

Radio

buttons

Yes/No



shown.


and P2-S1-3 includes B

OR if P2-S1-10 includes B

OR if P2-S1-14 = B.

Always editable.

P2-S1-

18

-- Core obligation details Heading Show if P2-S1-2 includes A (re

core obligation).

P2-S1-4 Y What circumstances indicate the breach is/is

likely to be/may be significant (you can select

more than one)?


List values:

• Offence involves

dishonesty and carries

imprisonment penalty of

at least three months


core obligation).





incomplete.

Control

ID


type


control values


• Offence carries

imprisonment penalty of

at least 12 months

• Contravention of civil

penalty provision

• Contravention of key

requirement (as defined

in National Credit Code)

• Misleading or deceptive

conduct re financial

product/service

(contravention of

s1041H(a) of the

Corporations Act or

s12DA(1) of the ASIC

Act)

• Breach results, or is

likely to result, in

material loss or damage

to members/clients

• Number/frequency of

similar breaches

• Impact on licensee’s

ability to provide

financial

services/engage in credit

Control

ID


type


control values


activities (covered by

the licence)

• Indicates that

compliance

arrangements

inadequate

• Other circumstances

specified in the

regulations

If Other…, show P2-S1-5 and

P2-S1-5a.

P2-S1-5 Y Specify other circumstances Textbox Alphanumeric.

Multi line.

Character limit: 1,000.

Show if P2-S1-4 = Other….





incomplete.

P2-S1-

5a

-- Maximum 1,000 characters HTML

control

Class: help-text. Show if P2-S1-4 = Other….

P2-S1-

5b

Y Select the provision covering the core obligation

to which the breach relates or may relate (you

can select more than one)


List values:

• s47 of the Credit Act,

other than s47(1)(d)

• s47(1)(d) of the Credit

Act – relating to that

Act, the National

Consumer Credit


(has breached)


(likely breach)

OR if P2-S1-10 includes A (has

breached)


(likely breach)

Control

ID


type


control values


Protection (Transitional

and Consequential

Provisions) Act 2009 and

Division 2 of Part 2 of

the ASIC Act and

regulations made for the

purpose of that Division

• s47(1)(d) of the Credit

Act – relating to

Commonwealth

legislation that covers

conduct relating to

credit activities

• s912A or s912B of the

Corporations Act, other

than s912A(1)(c)

• s912A(1)(c) of the

Corporations Act –

relating to provisions of

that Act or the ASIC Act

referred to in s761A(a),

(b), (ba) and (c)


Corporations Act – not

relating to traditional

trustee company

services, but relating to


breached)


(likely breach).





incomplete.

Control

ID


type


control values


Commonwealth

legislation that covers

conduct re the provision

of financial services and

that is specified in

regulations made for the

purposes of s912D(3)(c)


Corporations Act –

relating to traditional

trustee company

services and

Commonwealth, State

or Territory legislation,

or a rule of common law

or equity, that is

covered by s761A(d) or

(e)

P2-S1A – Breach report type

Control

ID


type


control values


P2-S1A -- Breach report type Sub page Show if P1-S1-0b = Providing


P2-S1A-

1

-- Breach report details and type Heading

P2-S1A-

2

Y Date the breach/likely breach occurred Date DD/MM/YYYY.

Must be before 1/10/2021 –

see error message at P2-S1A-

2a.






incomplete.

P2-S1A-

2a

-- This update must relate to a breach/likely

breach that occurred before 1 October 2021.

You cannot proceed with this transaction.


progressing.

Show if validation at P2-S1A-

2 fails.

P2-S1A-

3

-- Enter below the transaction reference number

(if you have one) for the breach report that you

previously submitted to ASIC via the ASIC

Regulatory Portal.

You can find the reference number in your list of

submitted transactions.

Information

callout

P2-S1A-

4

N Enter the ASIC reference number for the breach

report

Textbox Read only if form state =




Control

ID


type


control values



incomplete.

P2-S1A-

4a

N Validate ASIC reference number Search

button

Validate reference number entered at P2-S1A-4 (must be Case Type = Breach Report, for the same Source Type, System and portal entity Id). Page validation: Check that search has run.

Show if P2-S1A-4 is

populated.

P2-S1A-

4b

-- Valid reference number HTML

control

Class: “alert alert-success”. Show if P2-S1A-4 is populated

and validation at P2-S1A-4a

passes.

P2-S1A-

5

-- No notification exists for the data that you have

entered. You can find the reference number in

your list of submitted transactions on the ASIC

Regulatory Portal. You cannot proceed with this

transaction until this is corrected.


progressing.


4a fails.

P2-S1A-

6

Y What best describes the type of notification

originally made in the previously submitted

breach report?

Radio

buttons

List values:

A. Breach had occurred

B. Breach was likely to

occur

Selection here drives whether

various subpages and

controls are shown.






incomplete.

P2-S1A-

7

Y In relation to the likely breach that was

identified, has the breach since occurred?

Radio

buttons

Yes/No



shown.

Show if P2-S1A-6 = B.

Always editable.

Control

ID


type


control values


P2-S1A-

8

-- Investigation status Heading

P2-S1A-

9

Y Have you completed your investigation of the

matter?

Radio

buttons

Yes/No



shown.





incomplete.

P2A – Licensees/schemes/representatives

P2A-S1 – Licensees/schemes/representatives involved

Contr

ol ID

Ma

nda

tor

y

Label Contro

l type

Business rules,

validation, control

values

Business rules on

control

Tagging Comments

P2A -- Licensees/schemes/representative

s

Page 0.5 Added page.

P2A-

S1

-- Licensees/schemes/representative

s involved

Sub

page

Hide if P1-S1-0b =

Providing an update

(re old breach).

Read only if form

state = Remediation

incomplete,

Rectification

incomplete or

Remediation and

rectification

incomplete.

0.5 Added subpage.

0.12 Added logic.

0.16 Read only rule.

P2-S2-

24

Y Are you submitting this report on

behalf of more than one licensee?

Radio

buttons

Yes/No

If Yes, show P2-S2A-1.

Moved (was P2-S1-8).

0.5 Moved here.



P2-S2-

24a

-- If you change your answer to the

question above and had provided

details of managed investment

Warnin

g alert

Show if form state =

Investigation

incomplete.

0.16 Added.

schemes or representatives in an

earlier transaction relating to this

reportable situation, the pre-filled

details of those schemes and/or

representatives may be removed

from this transaction.

Where relevant, later in this

transaction you will need to check

whether all relevant schemes and

representatives are listed and, if

not, add details of any that are

missing.

P2-

S2A-1

Y What type of licence(s) does the

other licensee(s) have, to which the

reportable situation relates?

Radio

buttons

List values:

• AFS licence

• Credit licence

• Both licences

If AFS licence, show

P2A-2.

If Credit licence, show

P2A-3.

If Both licences, show

both P2A-2 and P2A-

3.

Show if P2-S2-24 =

Yes.

0.5 Moved here; logic.

0.6 Text.

0.7 Text.



P2-S2-

25

Y Does the reportable situation relate

to a registered managed investment

scheme for which either you or any

other licensee on behalf of which

Radio

buttons

Yes/No

If Yes, show P2A-S4.

Show if P1-S1-2 is

populated (AFSL held)

and P1-S1-9 is NOT

Credit licence


0.5 Moved here; logic.

0.6 Text.


you are submitting this report are

the responsible entity?

OR if P2-S2A-1 is AFS

licence or Both

licences.

0.16 Read only rule

(moved to sub page level).

P2-S1-

8

Y Whose conduct or actions (or

possible actions) are the subject of

the reportable situation (e.g. who

has/may have committed the

breach; who has engaged in

conduct constituting gross

negligence)?

Radio

buttons

List values:

A. Licensee(s)

B. Representative(s

)

C. Both of the

above

If B or C, (as relevant)

show P2-S2B-26a

and/or P2-S2B-0.

0.5 Moved here.

0.6 Text.

0.7 Text.


0.16 Read only rule


P2-

S2B-

26a

-- AFS licence representatives Section Show if P2-S1-8 =

Representative(s) and

P1-S1-2 is populated

(AFSL held) and P1-S1-

9 is NOT Credit licence

and NOT Both

licences

OR if P2-S1-8 =


P1-S1-9 = Both

licences

OR if P2-S1-8 =


P2-S2A-1 = AFS

licence

OR if P2-S1-8 =


0.5 Added and moved

here.


0.16 Read only rule


P2-S2A-1 = Both

licences

OR if P2-S1-8 = Both

of the above and P1-

S1-2 is populated

(AFSL held) and P1-S1-

9 is NOT Credit licence

and NOT Both

licences



S1-9 = Both licences



S2A-1 = AFS licence



S2A-1 = Both licences.

P2-

S2B-

27

Y To which kind of representative(s)

does the reportable situation

relate?

Radio

buttons

List values:

• Financial

adviser/authoris

ed

representative

• Employee/direct

or of licensee or

related body

corporate (who

is not a financial

adviser)

Show if P1-S1-2 is


and P1-S1-9 is NOT

Credit licence and

NOT Both licences

and P2-S2-24 = No

OR if P1-S1-2 is


and P1-S1-9 is NOT

Credit licence and

NOT Both licences


0.4 Text.

0.5 Text; moved here.

• Both of the

above

If Financial

adviser/authorised

representative or

Both, show P2A-S5.

If

Employee/director…

or Both, show P2A-S6.

and P2-S2A-1 = AFS

licence.

P2-

S2B-

27a



relate?

Radio

buttons

List values:

• Financial

adviser/authoris

ed

representative

• Employee/direct

or of licensee or

related body

corporate (who

is not a financial

adviser)

• Both of the

above

• None of the

above – relates

to representative

of credit licence

If Financial

adviser/authorised

Show if P1-S1-9 is

Both licences

OR if P2-S2A-1 = Both

licences

OR if P1-S1-2 is


and P1-S1-9 is NOT

Credit licence and

NOT Both licences

and P2-S2A-1 = Credit

licence

OR if P1-S1-2a is

populated (Credit

licence held) and P1-

S1-9 is NOT AFS

licence and NOT Both

licences and P2-S2A-1

= AFS licence.

0.4 Text.


representative or

Both, show P2A-S5.

If



P2-

S2B-0

-- Credit licence representatives Section Show if P2-S1-8 =


P1-S1-2a is populated

(ACL held) and P1-S1-

9 is NOT AFS licence

and NOT Both

licences

OR if P2-S1-8 =


P1-S1-9 = Both

licences

OR if P2-S1-8 =


P2-S2A-1 = Credit

licence

OR if P2-S1-8 =


P2-S2A-1 = Both

licences



S1-2a is populated

(ACL held) and P1-S1-

9 is NOT AFS licence

0.5 Added and moved

here.


0.16 Read only rule


and NOT Both

licences



S1-9 = Both licences



S2A-1 = Credit licence



S2A-1 = Both licences.

P2-

S2B-1



relate?

Radio

buttons

List values:

• Authorised credit

representative

• Employee/direct

or of licensee or

related body

corporate

• Both of the

above

If Authorised credit

representative or

Both, show P2A-S7.

If



Show if P1-S1-2a is

populated (ACL held)

and P1-S1-9 is NOT

AFS licence and NOT

Both licences and P2-

S2-24 = No

OR if P1-S1-2a is


and P1-S1-9 is NOT

AFS licence and NOT


S2A-1 = Credit licence.

0.4 Text.


P2-

S2B-

1a



relate?

Radio

buttons

List values:

• Authorised credit

representative

Show if P1-S1-9 is

Both licences

0.4 Text.


• Employee/direct

or of licensee or

related body

corporate

• Both of the

above

• None of the

above – relates

to representative

of AFS licence

At least one of P2-

S2B-1a and P2-S2B-

27a must NOT = None

of the above.

If Authorised credit

representative or

Both, show P2A-S7.

If



OR if P2-S2A-1 = Both

licences

OR if P1-S1-2a is


and P1-S1-9 is NOT

AFS licence and NOT


S2A-1 = AFS licence

OR if P1-S1-2 is


and P1-S1-9 is NOT

Credit licence and

NOT Both licences

and P2-S2A-1 = Credit

licence.

P2-

S2B-

27b

-- Your answers to the previous two

questions above conflict with each

other. To proceed with this

transaction, you need to change

your answer from ‘None of the

above’ for at least one of the

questions.

Error

alert

Validation: stop user

progressing.

Show if both P2-S2B-

1a and P2-S2B-27a =

None of the above.


0.6 Text

P2A-S1A – Licensees/schemes/representatives involved

Control

ID


type


control values


P2A-

S1A

-- Licensees/schemes/representatives involved Sub page Show if P1-S1-0b = Providing






incomplete.

P2A-

S1A-1

Y Are you submitting this report on behalf of more

than one licensee?

Radio

buttons

Yes/No

If Yes, show P2A-S2.

P2A-

S1A-1a

-- If you change your answer to the question above

and had provided details of managed investment

schemes or representatives in an earlier

transaction relating to the breach/likely breach,

pre-filled details of those schemes and/or

representatives may be removed from this

transaction.

Where relevant, later in this transaction you will

need to check whether all relevant schemes and

representatives are listed and, if not, add details

of any that are missing.

Warning

alert


Investigation incomplete.

P2A-

S1A-2

Y Does the breach/likely breach relate to a

registered managed investment scheme for

which either you or any other licensee on behalf

Radio

buttons

Yes/No

If Yes, show P2A-S4A.

of which you are submitting this report are the

responsible entity?

P2A-

S1A-3

Y Who has committed the breach or is no longer

able to comply with the core obligation?

Radio

buttons

List values:

• Licensee(s)

• Representative(s)

• Both of the above

If Representative(s) or Both,

show P2A-S1A-4.

P2A-

S1A-4

Y To which kind of representative(s) does the

breach/likely breach relate?

Radio

buttons

List values:

• Financial

adviser/authorised

representative

• Employee/director of

licensee or related body

corporate (who is not a

financial adviser)


If Financial

adviser/authorised

representative or Both, show

P2A-S5.

If Employee/director… or

Both, show P2A-S6A.

Show if P2A-S1A-3 =

Representative(s) or Both of

the above.

P2A-S2 – Other AFS licensees

Control

ID


type


control values


P2A-S2 -- Other AFS licensees Sub page Show if P2-S2A-1 = AFS

licence or Both licences

OR if P2A-S1A-1 = Yes.





incomplete.

P2-S2A-

2a

-- If you had provided details of other AFS

licensees and managed investment schemes or

representatives in an earlier transaction relating

to this reportable situation and you make

changes to the licensees listed below, the pre-

filled details of those schemes and/or


transaction.





Warning

alert



Hide if P1-S1-0b = Providing


P2-S2A-

2b

-- If you had provided details of other licensees

and managed investment schemes or

representatives in an earlier transaction relating

to the breach/likely breach and you make

Warning

alert


Investigation incomplete and

P1-S1-0b = Providing an

update (re old breach).

changes to the licensees listed below, the pre-

filled details of those schemes and/or


transaction.





P2-S2A-

2

-- Enter the AFS licence number(s) of the AFS

licensee(s) who are also making this report to

ASIC

Repeater Type: Vertical.

Item: AFS licensee.

P2-S2A-

3

Y AFS licence number Search Lookup AFSL, check licence

number is valid and licence is

current/suspended, and

return licensee details (at P2-

S2A-6 to P2-S2A-11).

P2-S2A-

4

-- No current AFS licence exists for the data you

have entered. You can check the AFS licence

number by searching the Professional Registers

on the ASIC Connect website. You cannot

proceed with this transaction until this is

corrected.


progressing.

Show if validation at P2-S2A-3

fails.

P2-S2A-

5

-- System not available: The system we use to



system. You cannot progress past this page until

we restore the system. Please try again later.


progressing.

Show if the AFSL lookup is not

working.

P2-S2A-

6

-- Organisation name Textbox Pre-fill licensee name for AFS

licence number entered at

P2-S2A-3.

Show if licence number at P2-

S2A-3 relates to an

Organisation.

P2-S2A-

6a

-- Australian Business Number Textbox Pre-fill ABN for AFS licence

number entered at P2-S2A-3.

Show if lookup at P2-S2A-3 is

successful.

P2-S2A-

7



Textbox Pre-fill ACN/ARBN for AFS


P2-S2A-3.


S2A-3 relates to an

Organisation.

Hide if asicNumberType =

“NRET”.

P2-S2A-

8

-- Given name Textbox Pre-fill licensee name for AFS


P2-S2A-3.


S2A-3 relates to an Individual.

P2-S2A-

9

-- Other given name(s) Textbox Pre-fill licensee name for AFS


P2-S2A-3.



P2-S2A-

10

-- Family name Textbox Pre-fill licensee name for AFS


P2-S2A-3.



P2-S2A-

11

-- Source system Hidden

field

Pre-fill source system for AFS


P2-S2A-3.

P2-S2A-

11a


field

(textbox)

Pre-fill source identifier for

AFS licence number entered

at P2-S2A-3.

P2-S2A-

12

-- Pre-filled information



Information

callout



accuracy of the information in this document. In

this case, you must not submit the document

until the information ASIC holds is corrected and

then pre-filled into this document.




P2-S2A-

13

-- N/A Repeater

end

Add button – Add another

AFS licensee

Repeater limit: 30.

P2A-S3 – Other credit licensees

Control

ID


type


control values


P2A-S3 -- Other credit licensees Sub page Show if P2-S2A-1 = Credit

licence or Both licences.





incomplete.

P2-S2A-

14a

-- If you had provided details of credit licensees

and representatives in an earlier transaction

relating to this reportable situation and you

make changes to the licensees listed below, the

pre-filled details of those representatives may

be removed from this transaction.


need to check whether all relevant



Warning

alert



P2-S2A-

14

-- Enter the credit licence number(s) of the credit

licensee(s) who are also making this report to

ASIC


Item: Credit licensee.

P2-S2A-

15

Y Credit licence number Search Lookup ACL, check licence

number is valid and licence is

current/suspended, and

return licensee details (at P2-

S2A-18 to P2-S2A-23).

P2-S2A-

16

-- No current credit licence exists for the data you

have entered. You can check the credit licence

number by searching the Professional Registers

on the ASIC Connect website. You cannot

proceed with this transaction until this is

corrected.


progressing.


15 fails.

P2-S2A-

17







progressing.

Show if the ACL lookup is not

working.

P2-S2A-

18

-- Organisation name Textbox Pre-fill licensee name for

credit licence number

entered at P2-S2A-15.

Show if credit licence number

at P2-S2A-15 relates to an

Organisation.

P2-S2A-

18a

-- Australian Business Number Textbox Pre-fill ABN for credit licence

number entered at P2-S2A-

15.

Show if lookup at P2-S2A-3 is

successful.

P2-S2A-

19



Textbox Pre-fill ACN/ARBN for credit


P2-S2A-15.



Organisation.

Hide if asicNumberType =

“NRET”.

P2-S2A-

20

-- Given name Textbox Pre-fill licensee name for





Individual.

P2-S2A-

21

-- Other given name(s) Textbox Pre-fill licensee name for





Individual.

P2-S2A-

22

-- Family name Textbox Pre-fill licensee name for





Individual.

P2-S2A-

23


field

Pre-fill source system for



P2-S2A-

24


field

(textbox)




P2-S2A-

25













Information

callout

P2-S2A-

26

-- N/A Repeater

end

Add button: Add another

credit licensee

Repeater limit: 30.

P2A-S4 – Schemes

Control

ID


type


control values


P2A-S4 -- Schemes Sub page Show if P2-S2-25 = Yes






incomplete.

P2-S2C-

1

-- Provide details below of the managed

investment scheme(s) to which the report

relates.

Information

callout

P2-S2C-

1a

-- If you have made changes to the AFS licensees

specified in this transaction (e.g. added another

AFS licensee to which the reportable situation

relates) and provided details of managed

investment schemes in an earlier transaction

relating to this reportable situation, the pre-

filled details of those schemes may have been

removed from this transaction.

Where relevant, check whether all relevant

schemes are listed below and, if not, add details


Warning

alert





P2-S2C-

1b

-- If you have made changes to the licensees


licensee to which the breach/likely breach

Warning

alert



relates) and provided details of managed

investment schemes in an earlier transaction

relating to the breach/likely breach, the pre-

filled details of those schemes may have been

removed from this transaction.


schemes are listed below and, if not, add details




P2-S2C-

2

-- Managed investment scheme(s) Repeater Type: Vertical.

Item: Scheme details.

P2-S2C-

2a

Y Who is the scheme’s responsible entity? Radio

buttons

List values:

• Licensee submitting this

transaction

• Another licensee named

in this transaction

If Licensee…, show P2-S2C-

2b.

If Another licensee…, show

P2-S2C-2c or P2-S2C-3.


and P2-S2A-1 = AFS licence


and P2-S2A-1 = Both licences


P2-S2C-

2b

-- AFS licence number for the scheme’s

responsible entity (based on information

provided earlier in this transaction)

Textbox Pre-fill licence number at P1-

S1-2.


and P2-S2-24 = No


and P2-S2A-1 = Credit licence

OR if P2-S2C-2a = Licensee…

OR if P2A-S1A-1 = No.

P2-S2C-

3

Y Select the AFS licence for the scheme’s

responsible entity

Combobox List values are a

concatenation of ‘[Licence

number] [Licensee org name

Show if P1-S1-2 is not

populated and P2-S2A-1 =

AFS licence

or full name]’) for the licence

numbers at P2-S2A-3.

OR if P1-S1-2 is not populated

and P2-S2A-1 = Both licences

OR if P2-S2C-2a = Another

licensee….

P2-S2C-

4

Y Australian Registered Scheme Number (ARSN) Search Lookup scheme, check

number is valid, check

responsible entity holds the

licence at P2-S2C-2b or P2-

S2C-3 and return scheme

name for given ARSN (at P2-

S2C-7).

Page validation: Check the

responsible entity again (in

case different licence number

selected after ARSN

populated).

P2-S2C-

5







progressing.

Show if the ARSN lookup is

not working.

P2-S2C-

6

-- No ARSN exists for the data that you have

entered. You can search for the scheme in the

Organisation and Business Names Register on

the ASIC Connect website. You cannot proceed

with this transaction until this is corrected.


progressing.

Show if ARSN at P2-S2C-4 is

not valid.

P2-S2C-

7

-- Name of managed investment scheme Textbox Pre-fill scheme name for

ARSN entered at P2-S2C-4.

Show if ARSN at P2-S2C-4 is a

valid scheme number.

P2-S2C-

7a

-- The ARSN relates to a scheme for which the

licence number given above is not the

responsible entity. You can search for the

scheme in the Organisation and Business Names

Register on the ASIC Connect website. You

cannot proceed with this transaction until this is

corrected.


progressing.

Show if responsible entity

validation at P2-S2C-4 fails.

P2-S2C-

8













Information

callout

P2-S2C-

9

-- N/A Repeater

end


scheme

Repeater limit: 30.

P2A-S5 – Financial advisers/AFS authorised representatives

Control

ID


type


control values


P2A-S5 -- Financial advisers/AFS authorised

representatives

Sub page Show if P2-S2B-27 = Financial

adviser/authorised

representative

OR if P2-S2B-27a = Financial

adviser/authorised

representative

OR if P2-S2B-27 = Both of the

above

OR if P2-S2B-27a = Both of

the above

OR if P2A-S1A-4 = Financial

adviser/authorised

representative

OR if P2A-S1A-4 = Both of the

above.





incomplete.

P2-S2B-

28a




relates) and provided details of financial

advisers/AFS authorised representatives in an

Warning

alert





earlier transaction relating to this reportable

situation, the pre-filled details of those financial

advisers/AFS authorised representatives may

have been removed from this transaction.


financial advisers/AFS authorised

representatives are listed below and, if not, add

details of any that are missing.

P2-S2B-

28b




relates) and provided details of financial

advisers/authorised representatives in an earlier


the pre-filled details of those financial

advisers/authorised representatives may have

been removed from this transaction.


financial advisers/authorised representatives

are listed below and, if not, add details of any

that are missing.

Warning

alert





P2-S2B-

28

-- Provide the financial adviser number(s) and/or

authorised representative number(s)


Item: Financial

adviser/authorised

representative.

P2-S2B-

29

Y Enter financial adviser or authorised

representative number

Search Lookup AFS representative

(could be a financial adviser

or authorised representative

number), check number is

valid and return

representative details (at P2-

S2B-30 to 31c).

P2-S2B-

29a

-- You can check the financial adviser number by

searching the Financial Advisers Register on

ASIC’s Moneysmart website or you can check

the authorised representative number by

searching the Professional Registers on the ASIC

Connect website.

Information

callout

P2-S2B-

29b

-- System not available: The system we use to pre-

fill information on this page is not available. We

are currently working on restoring the system.

You cannot progress past this page until we

restore the system. Please try again later.


progressing.

Show if the AFS rep lookup is

not working.

P2-S2B-

29c

-- No financial adviser or authorised

representative exists for the data that you have

entered. You can check the financial adviser

number by searching the Financial Advisers

Register on ASIC’s Moneysmart website or

check the authorised representative number by

searching the Professional Registers on the ASIC

Connect website. You cannot proceed with this



progressing.

Show if validation at P2-S2B-

29 fails.

P2-S2B-

30

-- Given name Textbox Pre-fill rep name for rep

number entered at P2-S2B-

29.

Show if rep is individual.

P2-S2B-

30a

-- Other given name(s) Textbox Pre-fill rep name for rep


29.


P2-S2B-

31

-- Family name Textbox Pre-fill rep name for rep


29.


P2-S2B-

31aa



Textbox Pre-fill ACN/ARBN for rep


29.

Show if rep is organisation.

P2-S2B-

31b

-- Organisation name Textbox Pre-fill rep name for rep


29.


P2-S2B-

31a


field

Pre-fill source system for rep


29.

P2-S2B-

31c


field

(textbox)


rep number entered at P2-

S2B-29.

P2-S2B-

31d










Information

callout




P2-S2B-

32

Y Has the financial adviser’s/authorised

representative's authorisation been revoked?

Radio

buttons

Yes/No

If Yes, show P2-S2B-33.

If No, show P2-S2B-35.

P2-S2B-

33

Y To your knowledge, does any other licensee

authorise or employ the financial

adviser/authorised representative?

Radio

buttons

Yes/No


P2-S2B-

34

N Provide the name of the other licensee (if

known)

Textbox Alphanumeric.

Two lines.

Character limit: 250.

Show if P2-S2B-33 = Yes.

P2-S2B-

35

Y Has the financial adviser/authorised

representative been suspended?

Radio

buttons

Yes/No


Show if P2-S2B-32 = No.

P2-S2B-

36

Y Is the financial adviser’s/authorised

representative's work being monitored or

supervised?

Radio

buttons

Yes/No Show if P2-S2B-35 = No.

P2-S2B-

39

-- N/A Repeater

end


financial adviser/authorised

representative

Repeater limit: 50.

P2A-S6 – AFS employee/director representatives

Control

ID


type


control values


P2A-S6 -- AFS employee/director representatives Sub page Show if P2-S2B-27 =

Employee…

OR if P2-S2B-27a =

Employee…


above

OR if P2-S2B-27a = Both of

the above.





incomplete.

P2-S2B-

40a




relates) and provided details of

employee/director representatives in an earlier

transaction relating to this reportable situation,

the pre-filled details of those representatives

may have been removed from this transaction.




Warning

alert



P2-S2B-

40

-- Provide details of the employee/director

representative(s) (re AFS licence)


Item: Employee/director

representative (AFS).

P2-S2B-

41

Y In which capacity is/was this person a

representative (you can select more than one)?


List values:

A. Employee of licensee

B. Employee of related

body corporate

C. Current director of

licensee

D. Former director of

licensee

E. Current director of

related body corporate

F. Former director of


If selection is/includes C,

show P2-S2B-41a or P2-S2B-

42.

If selection is/includes E and

NOT C, show P2-S2B-46 and

P2-S2B-47.

If selection is A and/or B

and/or D and/or F (and not C

nor E), show P2-S2B-55 to P2-

S2B-57.

Show if portal entity is an

organisation

OR if P2-S2-24 = Yes and at

least one of the following

licensees is an organisation:

• P2-S2A-3 or

• P2-S2A-15.

P2-S2B-

41a

Y So that we can verify the person’s details, we

need you to identify one of the licensees named

in this transaction of which the person is a

Radio

buttons

Yes/No



Show if P2-S2B-41 includes C

and P2-S2-24 = Yes and P1-

S1-3a is populated with an

director. Is this person a director of the licensee

who is submitting this transaction?

ACN (i.e. is not populated

with an ARBN).

P2-S2B-

42

-- Search for directors of the licensee Search

button

Lookup company register for

the licensee’s ACN at P1-S1-

3a and pre-fill current

directors at P2-S2B-42ac to

P2-S2B-42c.

Page validation: Check that

search has run.

Show if P2-S2B-41a = Yes

OR if P2-S2B-41 includes C

and P1-S1-3a is populated

with an ACN (i.e. is not

populated with an ARBN) and

P2-S2-24 = No.

P2-S2B-

42aaa

-- Click button to search for directors Error alert Validation: Stop user

progressing.

Show if page validation at P2-

S2B-42 fails.

P2-S2B-

42aa

-- Select the director you wish to identify from the

list of current directors of the licensee (you can

only select one)

Repeater Type: Table.

Present an item for each

director returned in the

search of the company

register at P2-S2B-42.

Show if search at P2-S2B-42 is

successful.

P2-S2B-

42ab

N [No text] Checkbox Page validation: One

checkbox must be checked

within this repeater.

P2-S2B-

42ac

-- Full name Textbox Single line.

Pre-fill director’s full name.

P2-S2B-

42a

-- Date of birth Date DD/MM/YYYY.

Pre-fill director’s date of

birth.

P2-S2B-

42b


field


director.

P2-S2B-

42c


field

(textbox)


director.

P2-S2B-

42d

-- Repeater

end

Hide add button.

P2-S2B-

43

Y Does the licensee of which this person is a

director have an Australian Company Number

(ACN)?

Radio

buttons

Yes / No

If Yes, show P2-S2B-43b.

If No, show P2-S2B-46 and

P2-S2B-47 or P2-S2B-55 to

P2-S2B-57.

Show if P2-S2B-41a = No


and P1-S1-3a is not

populated with an ACN (i.e. is

populated with an ARBN or

blank) and P2-S2-24 = Yes.

P2-S2B-

43a

-- If ‘Yes’, we will ask you to provide their ACN, so

that we can verify the person’s details recorded

against that company on ASIC’s register. You can

check the ACN by searching the Organisation

and Business Names Register on the ASIC

Connect website.

Information

callout

Show if P2-S2B-41a = No


and P1-S1-3a is not




P2-S2B-

43b

Y ACN of that licensee Search Lookup ACN, check number is

valid and company is

registered, and return

company details, including

details of current directors at

P2-S2B-43i to P2-S2B-45.

If validation fails, show P2-

S2B-43c.

If validation passes, show P2-

S2B-43d and P2-S2B-43e.


P2-S2B-

43c

-- No currently registered company exists for the

data you have entered. You can check the ACN

by searching the Organisation and Business

Names Register on the ASIC Connect website.

You cannot proceed with this transaction until

this is corrected.


progressing.


43b fails.

P2-S2B-

43d

-- Company name for that ACN Textbox Pre-fill company name for

ACN entered at P2-S2B-43b.


43b passes.

P2-S2B-

43e

Y Is the company given above the licensee you

wish to identify?

Radio

buttons

Yes / No

If Yes, show P2-S2B-43g.

If No, show P2-S2B-43ea.


43b passes.

P2-S2B-

43ea

-- You have indicated that the company given

above is not the licensee you wish to identify. To

proceed with this transaction you must either

provide the ACN of the licensee you wish to

identify or change your answer to the question

‘Does the licensee of which this person is a


(ACN)?’ above.


progressing.

Show if P2-S2B-43e = No.

P2-S2B-

43g



only select one)





register at P2-S2B-43b.

Show if P2-S2B-43e = Yes.

P2-S2B-

43h




P2-S2B-

43i



P2-S2B-

43j



birth.

P2-S2B-

44


field


director.

P2-S2B-

45


field

(textbox)


director.

P2-S2B-

45a

-- Repeater

end

Hide add button.

P2-S2B-

46

Y Does the related body corporate of which this

person is a director have an Australian Company

Number (ACN)?

Radio

buttons

Yes / No

If Yes, show P2-S2B-48, P2-

S2B-50 and P2-S2B-51.

If No, show P2-S2B-55 to P2-

S2B-57.

Show if P2-S2B-41 includes E

and NOT C

OR if P2-S2B-41 includes E

and P2-S2B-43 = No


and P1-S1-3a is not



blank) and P2-S2-24 = No.

P2-S2B-

47






Connect website.

Information

callout

Show if P2-S2B-41 includes E

and NOT C


and P2-S2B-43 = No


and P1-S1-3a is not



blank) and P2-S2-24 = No.

P2-S2B-

48

Y ACN of related body corporate Search Lookup ACN, check number is





P2-S2B-52b to P2-S2B-54.


P2-S2B-

49






this is corrected.


progressing.


48 fails.

P2-S2B-

50

-- Body corporate name Textbox Pre-fill company name for

ACN entered at P2-S2B-48.


successful.

P2-S2B-

51

Y Is the body corporate given above the body

corporate you wish to identify?

Radio

buttons

Yes / No


If No, show P2-S2B-51a.


successful.

P2-S2B-

51a

-- You have indicated that the body corporate

given above is not the one you wish to identify.


either provide the ACN of the body corporate

you wish to identify or change your answer to

the question ‘Does the related body corporate

of which this person is a director have an

Australian Company Number (ACN)?’ above.


progressing.


P2-S2B-

52


list of current directors of that related body

corporate (you can only select one)





register at P2-S2B-48.


P2-S2B-

52a




P2-S2B-

52b



P2-S2B-

52c



birth.

P2-S2B-

53


field


director.

P2-S2B-

54


field

(textbox)


director.

P2-S2B-

54aa

-- Repeater

end

Hide add button.

P2-S2B-

54ab

-- To proceed with this transaction you must select

ONE director only in the table above.


progressing.


42ab, P2-S2B-43h or P2-S2B-

52a fails (no director – or

more than 1 - is selected in

the relevant repeater).

P2-S2B-

54a







progressing.

Show if the company lookup

is not working.

P2-S2B-

54b








Information

callout

Show if P2-S2B-41a = Yes



with an ACN and P2-S2-24 =

No

OR if P2-S2B-43e = Yes

OR if P2-S2B-51 = Yes.






P2-S2B-

55

Y Given name Textbox Alphanumeric.

Single line.


Show if P2-S2B-41 = A and/or

B and/or D and/or F

(selections do not include C

and E)

OR if P2-S2B-43 = No and P2-

S2B-41 does not include E


and NOT E and P1-S1-3a is

not populated with an ACN

(i.e. is populated with an

ARBN or blank) and P2-S2-24

= No

OR if P2-S2B-46 = No

OR if P2-S2-24 = Yes and

none of the following are

populated:

• P1-S1-3a

• P2-S2A-7

• P2-S2A-19

OR if portal entity is an

individual and P2-S2-24 = No.

P2-S2B-

56

N Other given name(s) Textbox Alphanumeric.

Single line.



B and/or D and/or F


and E)






and P2-S2-24 = No




populated:

• P1-S1-3a

• P2-S2A-7

• P2-S2A-19



P2-S2B-

57

Y Family name Textbox Alphanumeric.

Single line.



B and/or D and/or F


and E)






and P2-S2-24 = No




populated:

• P1-S1-3a

• P2-S2A-7

• P2-S2A-19



P2-S2B-

58

Y Is this representative’s work being monitored or

supervised?

Radio

buttons

Yes/No

P2-S2B-

61


authorise or employ this representative?

Radio

buttons

Yes/No


P2-S2B-

62


known)


Two lines.



P2-S2B-

63

-- Repeater

end


employee/director

representative (AFS)

Repeater limit: 50.

P2A-S6A – AFS employee/director representatives

Control

ID


type


control values


P2A-

S6A

-- AFS employee/director representatives Sub page Show if P2A-S1A-4 =

Employee…

OR if P2A-S1A-4 = Both of the

above.





incomplete.

P2A-

S6A-

40a












Warning

alert



P2A-

S6A-40


representative(s)



representative.

P2A-

S6A-41




List values:


B. Employee of related

body corporate


licensee


licensee






show P2A-S6A-41a or P2A-

S6A-42.


NOT C, show P2A-S6A-46 and

P2A-S6A-47.



nor E), show P2A-S6A-55 to

P2A-S6A-57.


organisation

OR if P2A-S1A-1 = Yes and a

licensee at P2-S2A-3 is an

organisation.

P2A-

S6A-

41a






Radio

buttons

Yes/No

If Yes, show P2-S2C-42.

If No, show P2-S2C-43.

Show if P2A-S6A-41 includes

C and P2A-S1A-1 = Yes and

P1-S1-3a is populated with an


with an ARBN).

P2A-

S6A-42


button



Show if P2A-S6A-41a = Yes


directors at P2A-S6A-42ac to

P2A-S6A-42c.


search has been run.

OR if P2A-S6A-41 includes C




P2A-S1A-1 = No.

P2A-

S6A-

42aaa


progressing.

Show if page validation at P2-

S2B-42 fails.

P2A-

S6A-

42aa



only select one)





register at P2A-S6A-42.

Show if search at P2A-S6A-42

is successful.

P2A-

S6A-

42ab




P2A-

S6A-

42ac



P2A-

S6A-

42a



birth.

P2A-

S6A-

42b


field


director.

P2A-

S6A-42c


field

(textbox)


director.

P2A-

S6A-

42d

-- Repeater

end

Hide add button.

P2A-

S6A-43



(ACN)?

Radio

buttons

Yes / No

If Yes, show P2A-S6A-43b.

If No, show P2A-S6A-46 and

P2A-S6A-47 or P2A-S6A-55 to

P2A-S6A-57.

Show if P2A-S6A-41a = No


and P1-S1-3a is not



blank) and P2A-S1A-1 = Yes.

P2A-

S6A-

43a






Connect website.

Information

callout

Show if P2A-S6A-41a = No


and P1-S1-3a is not



blank) and P2A-S1A-1 = Yes.

P2A-

S6A-

43b






P2A-S6A-43i to P2A-S6A-45.

If validation fails, show P2A-

S6A-43c.

If validation passes, show

P2A-S6A-43d and P2A-S6A-

43e.

Show if P2A-S6A-43 = Yes.

P2A-

S6A-43c






progressing.

Show if validation at P2A-

S6A-43b fails.


this is corrected.

P2A-

S6A-

43d


ACN entered at P2A-S6A-43b.


S6A-43b passes.

P2A-

S6A-

43e


wish to identify?

Radio

buttons

Yes / No

If Yes, show P2A-S6A-43g.

If No, show P2A-S6A-43ea.


S6A-43b passes.

P2A-

S6A-

43ea








(ACN)?’ above.


progressing.

Show if P2A-S6A-43e = No.

P2A-

S6A-

43g



only select one)





register at P2A-S6A-43b.

Show if P2A-S6A-43e = Yes.

P2A-

S6A-

43h




P2A-

S6A-43i



P2A-

S6A-43j



birth.

P2A-

S6A-44


field


director.

P2A-

S6A-45


field

(textbox)


director.

P2A-

S6A-

45a

-- Repeater

end

Hide add button.

P2A-

S6A-46



Number (ACN)?

Radio

buttons

Yes / No

If Yes, show P2A-S6A-48,

P2A-S6A-50 and P2A-S6A-51.

If No, show P2A-S6A-55 to

P2A-S6A-57.


E and NOT C

OR if P2A-S6A-41 includes E

and P2A-S6A-43 = No


and P1-S1-3a is not



blank) and P2A-S1A-1 = No.

P2A-

S6A-47






Connect website.

Information

callout


E and NOT C


and P2A-S6A-43 = No


and P1-S1-3a is not



blank) and P2A-S1A-1 = No.

P2A-

S6A-48







P2A-S6A-52b to P2A-S6A-54.

P2A-

S6A-49






this is corrected.


progressing.


S6A-48 fails.

P2A-

S6A-50


ACN entered at P2A-S6A-48.


P2A-

S6A-51



Radio

buttons

Yes / No

If Yes, show P2A-S6A-52.

If No, show P2A-S6A-51a.

Show if search at P2A-S6A-48

is successful.

P2A-

S6A-

51a










progressing.

Show if P2A-S6A-51 = No.

P2A-

S6A-52








register at P2A-S6A-48.


P2A-

S6A-

52a




P2A-

S6A-

52b



P2A-

S6A-52c



birth.

P2A-

S6A-53


field


director.

P2A-

S6A-54


field

(textbox)


director.

P2A-

S6A-

54aa

-- Repeater

end

Hide add button.

P2A-

S6A-

54ab




progressing.


S6A-42ab, P2A-S6A-43h or

P2A-S6A-52a fails (no director

– or more than 1 - is selected

in the relevant repeater).

P2A-

S6A-

54a







progressing.


is not working.

P2A-

S6A-

54b













Information

callout

Show if P2A-S6A-41a = Yes



with an ACN and P2A-S1A-1 =

No

OR if P2A-S6A-43e = Yes


P2A-

S6A-55


Single line.


Show if P2A-S6A-41 = A

and/or B and/or D and/or F


and E)

OR if P2A-S6A-43 = No and

P2A-S6A-41 does not include

E




and P2A-S1A-1 = No

OR if P2A-S6A-46 = No

OR if P2A-S1A-1 = Yes and


populated:

• P1-S1-3a

• P2-S2A-7

• P2-S2A-19 (see Note)


individual and P2A-S1A-1 =

No.

P2A-

S6A-56


Single line.





and E)



E




and P2A-S1A-1 = No




populated:

• P1-S1-3a

• P2-S2A-7




No.

P2A-

S6A-57


Single line.





and E)



E




and P2A-S1A-1 = No




populated:

• P1-S1-3a

• P2-S2A-7




No.

P2A-

S6A-58

Y Is this representative’s work being monitored or

supervised?

Radio

buttons

Yes/No

P2A-

S6A-61



Radio

buttons

Yes/No

If Yes, show P2A-S6A-62.

P2A-

S6A-62


known)


Two lines.



P2A-

S6A-63

-- Repeater

end


employee/director

representative

Repeater limit: 50.

P2A-S7 – Authorised credit representatives

Control

ID


type


control values


P2A-S7 -- Authorised credit representatives Sub page Show if P2-S2B-1 =

Authorised credit

representative

OR if P2-S2B-1a = Authorised

credit representative


above

OR if P2-S2B-1a = Both of the

above.





incomplete.

P2-S2B-

2a



credit licensee to which the reportable situation

relates) and provided details of authorised

credit representatives in an earlier transaction

relating to this reportable situation, the pre-

filled details of those representatives may have

been removed from this transaction.


authorised credit representatives are listed

Warning

alert



below and, if not, add details of any that are

missing.

P2-S2B-

2

-- Provide the credit representative number for

the authorised credit representative(s)


Item: Authorised credit

representative.

P2-S2B-

3

Y Enter credit representative number Search Lookup credit representative,

check number is valid and

return representative details

(at P2-S2B-7 to 12).

P2-S2B-

4

-- You can check the number by searching the

Professional Registers on the ASIC Connect

website.

Information

callout

P2-S2B-

5







progressing.

Show if the credit rep lookup

is not working.

P2-S2B-

6

-- No credit representative exists for the data that

you have entered. You can check the credit

representative number by searching the

Professional Registers on the ASIC Connect

website. You cannot proceed with this



progressing.

Show if validation at P2-S2B-3

fails.

P2-S2B-

7

-- Given name Textbox Pre-fill rep name for rep

number entered at P2-S2B-3.


P2-S2B-

8

-- Other given name(s) Textbox Pre-fill rep name for rep



P2-S2B-

9

-- Family name Textbox Pre-fill rep name for rep



P2-S2B-

9a



Textbox Pre-fill ACN/ARBN for rep



P2-S2B-

10

-- Organisation name Textbox Pre-fill rep name for rep



P2-S2B-

11


field

Pre-fill source system for rep


P2-S2B-

12


field

(textbox)


rep number entered at P2-

S2B-3.

P2-S2B-

13













Information

callout


successful.

P2-S2B-

14

Y Has the credit representative's authorisation

been revoked?

Radio

buttons

Yes/No



P2-S2B-

15


authorise or employ the credit representative?

Radio

buttons

Yes/No


P2-S2B-

16


known)


Two lines.



P2-S2B-

17

Y Has the credit representative been suspended? Radio

buttons

Yes/No



P2-S2B-

18

Y Is the credit representative's work being

monitored or supervised?

Radio

buttons

Yes/No Show if P2-S2B-17 = No.

P2-S2B-

21

-- N/A Repeater

end


authorised credit

representative

Repeater limit: 50.

P2A-S8 – Credit employee/director representatives

Control

ID


type


control values


P2A-S8 -- Credit employee/director representatives Sub page Show if P2-S2B-1 =

Employee…

OR if P2-S2B-1a = Employee…


above

OR if P2-S2B-1a = Both of the

above.





incomplete.

P2-S2B-

22aa



credit licensee to which the reportable situation



transaction relating to this reportable situation,






Warning

alert



P2-S2B-

22


representative(s) (re credit licence)



representative (credit).

P2-S2B-

22a




List values:


B. Employee of related body

corporate


licensee


licensee






show P2-S2B-22b or P2-S2B-

22c.


NOT C, show P2-S2B-22f and

P2-S2B-22g.



nor E), show P2-S2B-23 to P2-

S2B-25.


organisation

OR if P2-S2-24 = Yes and at

least one of the following

licensees is an organisation:

• P2-S2A-3 or

• P2-S2A-15.

P2-S2B-

22b




Radio

buttons

Yes/No

If Yes, show P2-S2C-22c.

If No, show P2-S2C-22ch.

Show if P2-S2B-22a includes

C and P2-S2-24 = Yes and P1-

S1-3a is populated with an




with an ARBN).

P2-S2B-

22c


button




directors at P2-S2B-22cc to

P2-S2B-22cf.


search has run.

Show if P2-S2B-22b = Yes

OR if P2-S2B-22a includes C




P2-S2-24 = No.

P2-S2B-

22caa


progressing.


22c fails.

P2-S2B-

22ca



only select one)





register at P2-S2B-22c.

Show if search at P2-S2B-22c

is successful.

P2-S2B-

22cb




P2-S2B-

22cc



P2-S2B-

22cd



birth.

P2-S2B-

22ce


field


director.

P2-S2B-

22cf


field

(textbox)


director.

P2-S2B-

22cg

-- Repeater

end

Hide add button.

P2-S2B-

22ch



(ACN)?

Radio

buttons

Yes / No

If Yes, show P2-S2B-22cj.

If No, show P2-S2B-22f and

P2-S2B-22g or P2-S2B-23 to

P2-S2B-25.

Show if P2-S2B-22b = No


and P1-S1-3a is not




P2-S2B-

22ci






Connect website.

Information

callout

Show if P2-S2B-22b = No


and P1-S1-3a is not




P2-S2B-

22cj






P2-S2B-22cr to P2-S2B-22e.

If validation fails, show P2-

S2B-22ck.

If validation passes, show P2-

S2B-22cm and P2-S2B-22cn.

Show if P2-S2B-22ch = Yes.

P2-S2B-

22ck






this is corrected.


progressing.


22cj fails.

P2-S2B-

22cm


ACN entered at P2-S2B-22cj.


22cj passes.

P2-S2B-

22cn


wish to identify?

Radio

buttons

Yes / No

If Yes, show P2-S2B-22cp.

If No, show P2-S2B-22co.


22cj passes.

P2-S2B-

22co








(ACN)?’ above.


progressing.

Show if P2-S2B-22cn = No.

P2-S2B-

22cp



only select one)





register at P2-S2B-22cj.

Show if P2-S2B-22cn = Yes.

P2-S2B-

22cq




P2-S2B-

22cr



P2-S2B-

22cs



birth.

P2-S2B-

22d


field


director.

P2-S2B-

22e


field

(textbox)


director.

P2-S2B-

22ea

-- Repeater

end

Hide add button.

P2-S2B-

22f



Number (ACN)?

Radio

buttons

Yes / No

If Yes, show P2-S2B-22h, P2-

S2B-22j and P2-S2B-22k.

Show if P2-S2B-22a includes E

and NOT C

OR if P2-S2B-22a includes E

and P2-S2B-22ch = No


and P1-S1-3a is not

populated with an ACN and

P2-S2-24 = No.

P2-S2B-

22g






Connect website.

Information

callout

Show if P2-S2B-22a includes E

and NOT C


and P2-S2B-22ch = No


and P1-S1-3a is not

populated with an ACN and

P2-S2-24 = No.

P2-S2B-

22h




company details.

Show if P2-S2B-22f = Yes.

P2-S2B-

22i






progressing.


22h fails.


this is corrected.

P2-S2B-

22j


ACN entered at P2-S2B-22h.

Show if search at P2-S2B-22h

is successful.

P2-S2B-

22k



Radio

buttons

Yes / No

If Yes, show P2-S2B-22l.

Show if search at P2-S2B-22h

is successful.

P2-S2B-

22ka










progressing.

Show if P2-S2B-22cn = No.

P2-S2B-

22l








register at P2-S2B-22h.

Show if P2-S2B-22k = Yes.

P2-S2B-

22la




P2-S2B-

22lb



P2-S2B-

22lc



birth.

P2-S2B-

22m


field


director.

P2-S2B-

22n


field

(textbox)


director.

P2-S2B-

22na

-- Repeater

end

Hide add button.

P2-S2B-

22nb




progressing.


22cb, P2-S2B-22cq or P2-S2B-

22la fails (no director – or

more than 1 - is selected in

the relevant repeater).

P2-S2B-

22o







progressing.


is not working.

P2-S2B-

22p













Information

callout

Show if P2-S2B-22b = Yes



with an ACN and P2-S2-24 =

No

OR if P2-S2B-22cn = Yes

OR if P2-S2B-22k = Yes.

P2-S2B-

23


Single line.


Show if P2-S2B-22a = A



and E)

OR if P2-S2B-22ch = No and

P2-S2B-22a does not include

E


and NOT E and P2-S2-24 = No

and P1-S1-3a is not

populated with an ACN

OR if P2-S2B-22f = No



populated:

• P1-S1-3a

• P2-S2A-7

• P2-S2A-19



P2-S2B-

24


Single line.





and E)

OR if P2-S2B-22f = No and P2-

S2B-22a does not include E



and P1-S1-3a is not





populated:

• P1-S1-3a

• P2-S2A-7

• P2-S2A-19



P2-S2B-

25


Single line.





and E)

OR if P2-S2B-22f = No and P2-

S2B-22a does not include E



and P1-S1-3a is not





populated:

• P1-S1-3a

• P2-S2A-7

• P2-S2A-19



P2-S2B-

25a

Y Is this representative's work being monitored or

supervised?

Radio

buttons

Yes/No

P2-S2B-

25d



Radio

buttons

Yes/No

If Yes, show P2-S2B-25e.

P2-S2B-

25e


known)


Two lines.


Show if P2-S2B-25d = Yes.

P2-S2B-

26

-- Repeater

end


employee/director

representative (credit)

Repeater limit: 50.

P2B – Details

P2B-S2 – About the reportable situation

Control

ID


type


control values


P2B -- Details Page

P2B-S2 -- About the reportable situation Sub page Hide if P1-S1-0b = Providing


P2-S2-1 -- Identification and investigation Heading

P2-S2-

8a

Y When did you first become aware that a breach,

serious fraud or gross negligence had occurred –

or that you were no longer able to comply with

a core obligation?

Date DD/MM/YYYY.

Must not be a future date.

Hide if P2-S1-3 = C

(commenced investigation)

only and P2-S1-2 = A (re core

obligation) only.






incomplete.

P2-S2-9 Y When did you become aware that the breach is

– or would be – significant?

Date DD/MM/YYYY.



core obligation).






incomplete.

P2-S2-

10

Y What triggered the investigation or made you

aware of the matter?

Combobox List values:

8A. Internal – Compliance

8B. Internal – Staff report or

Business Unit report

8C. Internal – Whistleblower

8D. Internal – Audit function

8E. Internal – Advisor

Assurance

8F. External – Client

complaint(s) – internal

dispute resolution

8J. External – Client

complaint(s) – external

dispute resolution

8G. External – Audit

8H. External – Media

8I. External – Industry Codes

8JA. External – Committee or

industry association

8K. External – Australian

Financial Complaints

Authority (AFCA) systemic

issue

8L. Regulator – ASIC

8M. Regulator – Australian

Prudential Regulation

Authority (APRA)

8MA. Regulator – Australian

Transaction Reports and

Analysis Centre (AUSTRAC)






incomplete.

8N. Regulator – Other

8O. Other

If 8N, show P2-S2-11 & P2-

S2-12a.

If 8O, show P2-S2-12 & P2-

S2-12a.

P2-S2-

11

Y Specify other regulator Textbox Alphanumeric.

Two lines.


Show if P2-S2-10 = 8N.






incomplete.

P2-S2-

12

Y Specify other trigger Textbox Alphanumeric.

Two lines.


Show if P2-S2-10 = 8O.






incomplete.

P2-S2-

12a

-- Maximum 250 characters HTML

control

Class: help-text. Show if P2-S2-10 = 8N or 8O.

P2-S2-

13

Y How many client complaints have you received

about this matter?

Textbox Numeric.


Always editable.

P2-S2-

14

Y When did you start your investigation (e.g.

nature and scale of the breach; whether the

breach/alleged fraud had occurred)?

Date DD/MM/YYYY.







incomplete.

P2-S2-

14a

-- Because the investigation has not yet continued

for more than 30 days, you are not yet required

to submit this report.

Error alert Show if P2-S1-3 = C only and

P2-S1-2 = A only and P2-S1-6

= No (investigation

incomplete initial) and date

entered at P2-S2-14 = <31

days before current date.




P2-S2-

16

Y When did you complete your investigation? Date DD/MM/YYYY.


Show if P2-S1-6 = Yes

(investigation complete

initial)

OR if P2-S1-7b = Yes


update).





incomplete.

P2-S2-

16a

-- Investigation duration Hidden

field

Calculate the number of days

between the dates at P2-S2-

14 and P2-S2-16.

P2-S2-

16b

-- Because the investigation did not continue for

more than 30 days, you are not required to

submit this report.

Error alert Show if P2-S2-16a = <31 and

P2-S1-6 = Yes (investigation

complete initial) and P2-S1-2

= A only and P2-S1-3 = C only.

P2-S2-

17

Y Specify the date or estimated date for when you

will complete your investigation

Date DD/MM/YYYY.

Must be current date or

future date.

Validation: When user tries to

submit transaction check this

date is not earlier than the

current date.

Show if P2-S1-6 = No

(investigation incomplete

initial) and P2-S1-7b = NOT

Yes (investigation incomplete

update).

Always editable.

P2-S2-

17aa

-- The date you provide cannot be in the past. You


corrected.


progressing.

Show if validation at P2-S2-17

fails.

P2-S2-

17a

Y When did your investigation confirm that the

breach had occurred or that you are no longer

able to comply with the core obligation?

Date DD/MM/YYYY.



(has breached)

OR if P2-S1-14 = A (has

breached)


(is/was likely breach)

OR if P2-S1-14 = B (is/was

likely breach).





incomplete.

P2-S2-

17b

Y When did your investigation identify that the

gross negligence/alleged serious fraud had

occurred?

Date DD/MM/YYYY.


Show if P2-S1-10 includes C

(negligence)

OR if P2-S1-10 includes D

(fraud)

OR if P2-S1-15 = A

(negligence)

OR if P2-S1-15 = B (fraud).





incomplete.

P2-S2-

17c

Y When did you become aware that the breach

had occurred?

Date DD/MM/YYYY.


Show if P2-S1-17 = Yes.

Always editable.

P2-S2-

19

-- Other relevant information Heading Hide if P2-S1-3 = C only and

P2-S1-2 = A only and P1-S1-0

is not populated (i.e. initial

submission for reportable

situation event)

OR if P2-S1-10 = E only.

P2-S2-2 Y Specify the date you think the breach is likely to

occur

Date DD/MM/YYYY.

Must be a future date.



date is later than the current

date.

Show if P2-S1-3 includes B

and P2-S1-17 = NOT Yes

(likely breach)

OR if P2-S1-17 = No (likely

breach).

Always editable.

P2-S2-

2a

-- The date you provide must be in the future. You


corrected.


progressing.


fails.

P2-S2-4 Y Specify the date of the first instance of the

breach

Date DD/MM/YYYY.



(has breached)


breached)


breached)

OR if P2-S1-17 = Yes (has

breached).

Always editable.

P2-S2-5 -- Generally, this will be when the breach

commenced. If you are still investigating to

determine when the breach commenced,

provide the earliest identified first instance of

the breach (i.e. as far back as your investigations

have revealed to date).

Information

callout


(has breached)


breached)


breached)


breached).

P2-S2-8 Y Is the breach continuing? Radio

buttons

Yes/No

If No, show P2-S2-6.


(has breached)


breached)


breached)


breached).

Always editable.

P2-S2-6 Y Specify the date of the last instance of the

breach

Date DD/MM/YYYY.


Show if P2-S2-8 = No.

Always editable.

P2-S2-

21

Y Specify the date of the first instance of the

negligent conduct that relates to the reportable

situation (to the best of your knowledge)

Date DD/MM/YYYY.



(negligence)

OR if P2-S1-10 includes C

(negligence)

OR if P2-S1-15 = A

(negligence).





incomplete.

P2-S2-

22

Y Is the negligent conduct continuing? Radio

buttons

Yes/No



(negligence)


(negligence)

OR if P2-S1-15 = A

(negligence).

Always editable.

P2-S2-

23

Y Specify the date of the last instance of the

negligent conduct

Date DD/MM/YYYY.



Always editable.

P2-S2-

23a


alleged fraudulent conduct that relates to the

reportable situation

Date DD/MM/YYYY.



(fraud)


(fraud)






incomplete.

P2-S2-

23b

Y Is the alleged fraudulent conduct continuing? Radio

buttons

Yes/No

If No, show P2-S2-23c.


(fraud)


(fraud)


Always editable.

P2-S2-

23c


alleged fraudulent conduct

Date DD/MM/YYYY.


Show if P2-S2-23b = No.

Always editable.

P2-S2-

26

Y How many reportable situations relate to the

breach/likely breach?

Textbox Numeric.

Must be greater than zero.



(has breached)


breached)


breached)


breached)

OR if P2-S1-3 includes B and

P2-S1-17 = NOT Yes (likely

breach)


breach).

Always editable.

P2-S2-

27


gross negligence?

Textbox Numeric.




(negligence)


(negligence)

OR if P2-S1-15 = A

(negligence).

Always editable.

P2-S2-

28


alleged serious fraud?

Textbox Numeric.




(fraud)


(fraud)


Always editable.

P2B-S2A – About the breach/likely breach

Control

ID


type


control values


P2B-

S2A

-- About the breach/likely breach Sub page Show if P1-S1-0b = Providing


P2B-

S2A-1

Y How many client complaints have you received

about this matter?

Textbox Numeric.


Always editable.

P2B-

S2A-1a

Y What triggered the investigation or made you

aware of the matter?

Combobox List values:

• Internal – Compliance

• Internal – Staff report or

Business Unit report

• Internal – Whistleblower

• Internal – Audit function

• Internal – Advisor

Assurance

• External – Client

complaint(s) – internal

dispute resolution

• External – Client

complaint(s) – external

dispute resolution

• External – Audit

• External – Media

• External – Industry

Codes

• External – Committee or

industry association






incomplete.

• External – Australian

Financial Complaints

Authority (AFCA)

systemic issue

• Regulator – ASIC

• Regulator – Australian


Authority (APRA)

• Regulator – Australian

Transaction Reports and

Analysis Centre

(AUSTRAC)

• Regulator – Other

• Other

If Regulator - Other, show

P2B-S2A-1b & P2B-S2A-1d.

If Other, show P2B-S2A-1c &

P2B-S2A-1d.

P2B-

S2A-1b

Y Specify other regulator Textbox Alphanumeric.

Two lines.


Show if P2B-S2A-1a =

Regulator - Other.






incomplete.

P2B-

S2A-1c

Y Specify other trigger Textbox Alphanumeric.

Two lines.


Show if P2B-S2A-1a = Other.






incomplete.

P2B-

S2A-1d


control

Class: help-text. Show if P2B-S2A-1a =

Regulator - Other or Other.

P2B-

S2A-2

Y When did you complete your investigation? Date DD/MM/YYYY.


Show if P2-S1A-9 = Yes

(investigation complete).





incomplete.

P2B-

S2A-3

Y Specify the date or estimated date for when you

will complete your investigation

Date DD/MM/YYYY.

Must be current date or

future date.



date is not earlier than the

current date.

Show if P2-S1A-9 = No

(investigation incomplete).

Always editable.

P2B-

S2A-3a

-- The date you provide cannot be in the past. You


corrected.


progressing.

Show if validation at P2B-S2A-

3 fails.

P2B-

S2A-4

Y When did you become aware that the breach

had occurred?

Date DD/MM/YYYY.


Show if P2-S1A-7 = Yes (was

likely breach; now has

breached).

Always editable.

P2B-

S2A-5

Y Specify the date you think the breach is likely to

occur

Date DD/MM/YYYY.


Show if P2-S1A-7 = No (likely

breach).




date.

Always editable.

P2B-

S2A-5a



corrected.


progressing.


5 fails.

P2B-

S2A-6


breach

Date DD/MM/YYYY.


Show if P2-S1A-6 = A (has

breached)

OR if P2-S1A-7 = Yes (has

breached).

Always editable.

P2B-

S2A-7

-- Generally, this will be when the breach

commenced. If you are still investigating to

determine when the breach commenced,

provide the earliest identified first instance of

the breach (i.e. as far back as your investigations

have revealed to date).

Information

callout


breached)


breached).

P2B-

S2A-8

Y Is the breach continuing? Radio

buttons

Yes/No

If No, show P2B-S2A-8.


breached)


breached).

Always editable.

P2B-

S2A-9


breach

Date DD/MM/YYYY.


Show if P2B-S2A-8 = No.

Always editable.

P2B-S3 – Nature of the reportable situation

Control

ID


type


control values


P2B-S3 -- Nature of the reportable situation Sub page Hide if P1-S1-0b = Providing


P2-S3-

0a

Y To what does the reportable situation relate? Radio

buttons

List values:

• Financial service/credit

activities or product line

• General obligation (e.g.

obligation to maintain

competence, sufficient

financial resources or

professional indemnity

insurance; obligation to

comply with licence

conditions)


If Financial service… or Both,

show P2-S3-0aa.




Remediation and

rectification incomplete.

P2-S3-

0aa

-- Financial service/credit activities/product line Section Show if P2-S3-0a = Financial

service/credit activities or

product line or Both.




Remediation and


P2-S3-

0b

Y Do you have an indication yet of the financial

service/credit activities or product line to which

the reportable situation relates?

Radio

buttons

Yes/No

If No, hide P2-S3-0c.

Show if P2-S1-3 = C

(investigation commenced)

only and P2-S1-2 = A (re

core obligation) only and

P2-S1-6 = No (investigation

incomplete initial).


(i.e. not initial submission

for reportable situation

event).

P2-S3-

0c

-- Financial service/credit activities or product

line


Item text: Financial

service/credit

activities/product line.

Hide if P2-S3-0b = No and

P1-S1-0 is not populated

(i.e. initial submission for


P2-S3-1 Y Specify the financial service/credit activities or

product line the reportable situation affected

Radio

buttons

List values:

11A. Credit

11B. Deposit taking

11BA. Financial advice

11C. General insurance

11D. Investments

11E. Life insurance

11F. Payment systems

11G. Superannuation

11GA. Traditional trustee

services

If 11A, show P2-S3-3.

If 11B, show P2-S3-4.

If 11BA, show P2-S3-4b.

If 11C, show P2-S3-5.

If 11D, show P2-S3-6.

If 11E, show P2-S3-7.

If 11F, show P2-S3-8.

If 11G, show P2-S3-9.

If 11GA, show P2-S3-9b.

P2-S3-

2b

-- In the question(s) below you can only select

‘Not yet known’ if the investigation is not yet

complete.

Information

callout

Show when selection made

at P2-S3-1.

P2-S3-3 Y Specify the credit category the reportable

situation affected

Radio

buttons

List values:

11.1A Business finance

11.1B Consumer credit

11.1C Guarantees

11.1D Margin loans

11.1E Not yet known

If 11.1A, show P2-S3-10.

If 11.1B, show P2-S3-11.

If 11.1C, show P2-S3-12.

If 11.1E, P2-S3-26ha may be

shown.

Show if P2-S3-1 = 11A.

P2-S3-4 Y Specify the deposit taking category the

reportable situation affected

Radio

buttons

List values:

11.11A Current accounts

11.11C Savings account

11.11D Not yet known

If 11.11A, show P2-S3-14.

If 11.11C, show P2-S3-15.

If 11.11D, P2-S3-26ha may be

shown.

Show if P2-S3-1 = 11B.

P2-S3-

4b

Y Specify the financial advice category the


Radio

buttons

List values:

A. General advice

B. Personal advice

C. Not yet known

Show if P2-S3-1 = 11BA.

If C, P2-S3-26ha may be

shown.

P2-S3-5 Y Specify the general insurance category the


Radio

buttons

List values:

11.12A Domestic insurance

11.12B Extended warranty

11.12C Professional

indemnity insurance

11.12D Small business/farm

insurance

11.12DA A general insurance

product that does not fit

within one of the above

categories

11.12E Not yet known

If 11.12A, show P2-S3-16.

If 11.12DA, show P2-S3-16b

and P2-S3-16c.

If 11.12E, P2-S3-26ha may be

shown.

Show if P2-S3-1 = 11C.

P2-S3-6 Y Specify the investments category the reportable

situation affected

Radio

buttons

List values:

11.13A Derivatives/hedging

11.13B Managed investments

11.13C Real property

11.13D Securities

11.13E Superannuation –

non-trustee related

11.13EA A financial

investment product type that

does not fit within one of the

above categories

Show if P2-S3-1 = 11D.

11.13F Not yet known

If 11.13A, show P2-S3-17.

If 11.13B, show P2-S3-18.

If 11.13D, show P2-S3-19.

If 11.13E, show P2-S3-20.

If 11.13EA, show P2-S3-20b

and P2-S3-20c.

If 11.13F, P2-S3-26ha may be

shown.

P2-S3-7 Y Specify the life insurance category the


Radio

buttons

List values:

11.14A Income stream risk

11.14B Non-income stream

risk

11.14C Not yet known

If 11.14A, show P2-S3-21.

If 11.14B, show P2-S3-22.

If 11.14C, P2-S3-26ha may be

shown.

Show if P2-S3-1 = 11E.

P2-S3-8 Y Specify the payment systems category the


Radio

buttons

List values:

11.15A Direct transfer

11.15B Non-cash


If 11.15A, show P2-S3-23.

If 11.15B, show P2-S3-24.

If 11.15C, P2-S3-26ha may be

shown.

Show if P2-S3-1 = 11F.

P2-S3-9 Y Specify the superannuation category the


Radio

buttons

List values:

11.16A Annuity policy

11.16B Approved deposit

fund

Show if P2-S3-1 = 11G.

11.16E Life policy fund

11.16H Retirement savings

account

11.16I Small Australian


Authority (APRA) fund

11.16J Superannuation fund

11.16K Not yet known

If 11.16A, show P2-S3-25.

If 11.16B or 11.16I, show P2-

S3-26.

If 11.16E or 11.16J, show P2-

S3-26b.

If 11.16H, show P2-S3-26d.

If 11.16K, P2-S3-26ha may be

shown.

P2-S3-

9b

Y Specify the traditional trustee services category

the reportable situation affected

Radio

buttons

List values:

A. Estate management

B. Estate planning

C. Trusts

D. Not yet known

If B, show P2-S3-26f.

If C, show P2-S3-26h.

If D, P2-S3-26ha may be

shown.

Show if P2-S3-1 = 11GA.

P2-S3-

10

Y Specify the business finance product the


Radio

buttons

List values:

11.2A Business credit card

11.2B Business loans

11.2C Commercial bills

11.2D Hire purchase/lease

Show if P2-S3-3 = 11.1A.

11.2E Letter of credit

11.2F Line of credit/overdraft

11.2H Not yet known

If 11.2H, P2-S3-26ha may be

shown.

P2-S3-

11

Y Specify the consumer credit product the


Radio

buttons

List values:

11.21AA Buy now, pay later

11.21A Consumer lease

(motor vehicles)

11.21AB Consumer lease

(household goods)

11.21AC Continuing credit

(not a credit card)

11.21B Credit cards

11.21C Debt

management/credit repair

11.21D Equity release (not a

reverse mortgage)

11.21E Hire purchase/rent to

buy (not a consumer lease)

11.21F Home loans

11.21H Investment property

loans

11.21HA Limited recourse

borrowing arrangement/loan

to SMSF

11.21I Line of

credit/overdraft

11.21J Low limit credit

contract

Show if P2-S3-3 = 11.1B.

11.21JA Medium amount

credit

11.21JB Motor vehicle loan

11.21K Personal loan (other

than motor vehicle)

11.21KA Reverse mortgage

11.21L Short-term credit

11.21M Small amount credit

11.21N Not yet known

If Not yet known, P2-S3-26ha

may be shown.

P2-S3-

12

Y Specify the guarantees product the reportable

situation affected

Radio

buttons

List values:

11.22A Bank guarantee

11.22B Business guarantee

11.22C Consumer guarantee



may be shown.

Show if P2-S3-3 = 11.1C.

P2-S3-

14

Y Specify the current accounts product the


Radio

buttons

List values:

11.23A Business transaction

accounts

11.23AA Child/student

accounts

11.23AB Fee free accounts

11.23B Foreign currency

accounts

11.23C Mortgage offset

accounts

11.23E Personal transaction

accounts

Show if P2-S3-4 =11.11A.



may be shown.

P2-S3-

15

Y Specify the savings account product the


Radio

buttons

List values:

11.24B Cash management

accounts

11.24D Online accounts

11.24E Term deposits



may be shown.

Show if P2-S3-4 =11.11C.

P2-S3-

16

Y Specify the domestic insurance product the


Radio

buttons

List values:

11.25A Consumer credit

insurance

11.25B Home building

11.25C Home contents

11.25CA Landlords insurance

11.25D Motor vehicle

11.25E Personal and domestic

property

11.25F Residential strata title

11.25G Sickness and accident

insurance

11.25H Ticket insurance

11.25I Travel

11.25J Trust bond



may be shown.

Show if P2-S3-5 =11.12A.

P2-S3-

16b

Y Specify the other general insurance product

type


Two lines.


Show if P2-S3-5 = 11.12DA.

P2-S3-

16c


control

Class: help-text. Show if P2-S3-5 = 11.12DA.

P2-S3-

17

Y Specify the derivatives/hedging product the


Radio

buttons

List values:

11.26A Contracts for

difference

11.26B Cryptocurrency

11.26C Foreign exchange

11.26D Forwards

11.26E Futures

11.26F Options

11.26G Swaps

11.26H Not yet known


may be shown.

Show if P2-S3-6 =11.13A.

P2-S3-

18

Y Specify the managed investments product the


Radio

buttons

List values:

11.27A Australian equity

funds


accounts

11.27C

Charitable/educational

schemes

11.27D Crowd-sourced equity

funding

11.27E Film schemes

11.27F Horse schemes

Show if P2-S3-6 =11.13B.

11.27G International equity

funds

11.27H Investor directed

portfolio services

11.27I Managed discretionary

accounts

11.27J Managed strata title

schemes

11.27K Mixed asset fund/s

11.27L Mortgage schemes

11.27M Primary production

schemes

11.27N Property funds

11.27O Timeshare schemes

11.27P Trustee common

funds

11.27Q Not yet known


may be shown.

P2-S3-

19

Y Specify the securities product the reportable

situation affected

Radio

buttons

List values:

11.28A Bills of exchange

11.28B Bonds

11.28C Debentures

11.28D Exchange traded

funds

11.28E Promissory notes

11.28F Shares

11.28G Warrants


Show if P2-S3-6 =11.13D.


may be shown.

P2-S3-

20

Y Specify the superannuation (non-trustee

related) product the reportable situation

affected

Radio

buttons

List values:



fund

11.29C Corporate fund

11.29D Industry fund


11.29F Pension

11.29G Pooled

superannuation trust

11.29H Public sector fund

11.29I Retail fund

11.29J Retirement savings

accounts

11.29K Self-managed

superannuation fund

11.29L Small Australian



11.29M Superannuation fund



may be shown.

Show if P2-S3-6 =11.13E.

P2-S3-

20b

Y Specify the other financial investment product

type


Two lines.


Show if P2-S3-6 = 11.13EA.

P2-S3-

20c


control

Class: help-text. Show if P2-S3-6 = 11.13EA.

P2-S3-

21

Y Specify the income stream risk product the


Radio

buttons

List values:


insurance

11.30B Income protection



may be shown.

Show if P2-S3-7 =11.14A.

P2-S3-

22

Y Specify the non-income stream risk product the


Radio

buttons

List values:

11.31A Annuities

11.31B Endowments

11.31C Funeral plans

11.31D Scholarship funds

11.31E Term life

11.31F Total and permanent

disability

11.31G Trauma

11.31H Whole of life

11.31I Not yet known


may be shown.

Show if P2-S3-7 =11.14B.

P2-S3-

23

Y Specify the direct transfer product the


Radio

buttons

List values:

11.32A ATM

11.32B Bank drafts

11.32BA Card-not-present

11.32C Cheques

11.32D Counter transactions

11.32E Direct debits/direct

credits/recurring payments

11.32F EFTPOS

11.32G Electronic banking

Show if P2-S3-8 =11.15A.

11.32H Foreign currency

transfers

11.32I Merchant facilities

11.32IA Person to person

(‘pay anyone’) electronic fund

transfers

11.32J Telegraphic transfers

11.32JA Telephone banking



may be shown.

P2-S3-

24

Y Specify the non-cash product the reportable

situation affected

Radio

buttons

List values:

11.33A Loyalty programs

11.33B Non-cash systems

11.33C Stored value or gift

facilities

11.33D Travellers' cheques



may be shown.

Show if P2-S3-8 =11.15B.

P2-S3-

25

Y Specify the annuity policy product the


Radio

buttons

List values:

11.34A Death benefit

11.34B Pension



may be shown.

Show if P2-S3-9 =11.16A.

P2-S3-

26

Y Specify the approved deposit fund/small APRA

fund product the reportable situation affected

Radio

buttons

List values:



11.35BA Pension

Show if P2-S3-9 = 11.16B or

11.16I.

11.35C Superannuation

account

11.35D Terminal illness

11.35E Total and permanent

disability



may be shown.

P2-S3-

26b

Y Specify the life policy fund/superannuation fund

product the reportable situation affected

Radio

buttons

List values:

A. Death benefit

B. Income protection

C. Superannuation account

D. Terminal illness

E. Total and permanent

disability

F. Not yet known


may be shown.

Show if P2-S3-9 = 11.16E or

11.16J.

P2-S3-

26d

Y Specify the retirement savings account product

the reportable situation affected

Radio

buttons

List values:

A. Death benefit


C. Retirement savings

account

D. Superannuation account

E. Terminal illness

F. Total and permanent

disability

G. Not yet known


may be shown.

Show if P2-S3-9 = 11.16H.

P2-S3-

26f

Y Specify the estate planning product the


Radio

buttons

List values:

A. Enduring powers of

attorney

B. Wills

C. Not yet known


may be shown.

Show if P2-S3-9b = B.

P2-S3-

26h

Y Specify the trusts product the reportable

situation affected

Radio

buttons

List values:

A. Beneficiary

B. Specific purpose

C. Not yet known


may be shown.

Show if P2-S3-9b = C.

P2-S3-

26ha

-- You cannot select ‘Not yet known’ if the

investigation is complete. To proceed with this

transaction you must select another option.


progressing.



initial) or P2-S1-7b = Yes


update) and any of the

below = Not yet known:

• P2-S3-3

• P2-S3-4

• P2-S3-4b

• P2-S3-5

• P2-S3-6

• P2-S3-7

• P2-S3-8

• P2-S3-9

• P2-S3-9b

• P2-S3-10

• P2-S3-11

• P2-S3-12

• P2-S3-14

• P2-S3-15

• P2-S3-16

• P2-S3-17

• P2-S3-18

• P2-S3-19

• P2-S3-20

• P2-S3-21

• P2-S3-22

• P2-S3-23

• P2-S3-24

• P2-S3-25

• P2-S3-26

• P2-S3-26b

• P2-S3-26d

• P2-S3-26f

• P2-S3-26h.

P2-S3-

26j

-- Repeater

end


financial service/credit

activity/product line

Repeater limit: 10.

P2-S3-

26ja

-- General category Section Read only if form state =



Remediation and


P2-S3-

26k

Y Do you have an indication yet of the general

category to which the reportable situation

relates?

Radio

buttons

Yes/No

If No, hide P2-S3-27.

Show if P2-S1-3 = C

(investigation commenced)

only and P2-S1-2 = A (re

core obligation) only and


incomplete initial).


(i.e. not initial submission

for reportable situation

event).

P2-S3-

27

-- Specify the general category to which the

reportable situation relates


Item: Category.

Hide if P2-S3-26k = No and

P1-S1-0 is not populated

(i.e. initial submission for


P2-S3-

28

Y Category Radio

buttons

List values:

12A Advice

12B Disclosure

12BA False or misleading

statements

12C Fees and charges or

account administration

12D Financial reporting

12E General obligations

12G Lending

12GA Licence conditions

12H Fraud/misconduct

12I Market

12J Privacy and

confidentiality

If 12A, show P2-S3-29.

If 12B, show P2-S3-29b.

If 12BA, show P2-S3-30.

If 12C, show P2-S3-31.

If 12D, show P2-S3-32.

If 12E, show P2-S3-32a.

If 12G, show P2-S3-32aa.

If 12GA, show P2-S3-32ab.

If 12H, show P2-S3-32b.

If 12I, show P2-S3-32d.

If 12J, show P2-S3-32f.

P2-S3-

28a

-- In the question below you can only select ‘Not

yet known’ if the investigation is not yet

complete.

Information

callout


at P2-S3-28.

Hide if P2-S1-2 = A only and

P2-S1-3 = C only and P2-S1-6

= Yes and P1-S1-0 is not

populated (no breach)

OR if P2-S1-10 = E (no

breach) only.

P2-S3-

29

Y Specify the advice issue to which the reportable

situation relates

Radio

buttons

List values:

12.1A Act in client’s best

interests

12.1B Conflicted

remuneration

12.1BA Debt management

12.1C Prioritise client’s

interests

12.1D Failure to provide

advice

12.1E Inappropriate advice

12.1F Misclassification of

advice

12.1G

Unlicensed/unauthorised

advice

Show if P2-S3-28 = 12A.






breach) only.

12.1H Not yet known

If 12.1H, P2-S3-33b may be

shown.

P2-S3-

29b

Y Specify the disclosure issue to which the


Radio

buttons

List values:

• Advertising and related

conduct

• Break costs

• Commission

• Fees

• Hawking (failure to obtain

appropriate consent)

• Inappropriate referral

selling/introducing broker

conduct

• Product/service

information/warning

statement

• Target market

determination (design and

distribution obligations)

• Not yet known

If Not yet known, P2-S3-33b

may be shown.

Show if P2-S3-28 = 12B.






breach) only.

P2-S3-

30

Y Specify the false or misleading statements issue

to which the reportable situation relates

Radio

buttons

List values:

12.1A Commission

12.1B Break costs

12.1C Fees

Show if P2-S3-28 = 12BA.





12.1D Product/service

information/warning

statement

12.1DA Hawking (failure to

obtain appropriate consent)

12.1DB Inappropriate referral


conduct

12.1DBA Restricted terms

12.1DBB Returns

12.1DC Target market



12.1E Advertising and related

conduct

12.1F Not yet known

If 12.1F, P2-S3-33b may be

shown.


breach) only.

P2-S3-

31

Y Specify the fees/charges or account

administration issue to which the reportable

situation relates

Radio

buttons

List values:

12.1A Break costs

12.1B Deductible or excess

12.1C Commissions

12.1D Fees/costs

12.1DA Fee consent

12.1E Interest

12.1F Premiums

12.1G Tax

12.1H No claim bonus

12.1J Not yet known

Show if P2-S3-28 = 12C.






breach) only.

If 12.1J, P2-S3-33b may be

shown.

P2-S3-

32

Y Specify the financial reporting issue to which the


Radio

buttons

List values:

12.1B Keep account of client

money

12.1C Financial statement

obligations

12.1E Audit report

12.1F Maintain trust account

12.1G Net tangible asset

requirements

12.1H Solvency concerns

12.1I Not yet known

If 12.1I, P2-S3-33b may be

shown.

Show if P2-S3-28 = 12D.






breach) only.

P2-S3-

32a

Y Specify the general obligations issue to which

the reportable situation relates

Radio

buttons

List values:

• Adequate financial

resources

• Adequate human

resources

• Adequate supervisory

arrangements

• Adequate technological

resources

• Breach of Product

Intervention Order

• Claims handling

• Compensation

arrangements

Show if P2-S3-28 = 12E.






breach) only.

• Competence/training

• Compliance

arrangements

• Conflict of interest

arrangements

• External dispute

resolution

• Internal dispute

resolution

• Professional indemnity

insurance

• Provide services

efficiently, honestly and

fairly

• Other

• Not yet known


may be shown.

P2-S3-

32aa

Y Specify the lending issue to which the


Radio

buttons

List values:

• Consumer lease

provisions

• Debt collection

• Hardship

• Responsible lending

• Small amount credit

contract provisions

• Unfair contract terms

• Not yet known

Show if P2-S3-28 = 12G.






breach) only.


may be shown.

P2-S3-

32ab

Y Specify the licence conditions issue to which the


Radio

buttons

List values:

• Authorisations

• Compliance/independent

review

• Financial requirements

• Key person

• Record keeping/retention

of materials

• Responsible manager

obligations

• Other

• Not yet known


may be shown.

Show if P2-S3-28 = 12GA.






breach) only.

P2-S3-

32b

Y Specify the fraud/misconduct issue to which the


Radio

buttons

List values:

• Cloning of AFS licences

• Fraud/forgery

• Maintain trust account

• Pressure selling

• Scams

• Not yet known


may be shown.

Show if P2-S3-28 = 12H.






breach) only.

P2-S3-

32d

Y Specify the market issue to which the reportable

situation relates

Radio

buttons

List values:

• Exhorbitant

trading/unfair

pricing/latency concerns

Show if P2-S3-28 = 12I.



• Front running

• Inappropriate

classification of clients

(onboarding – retail to

wholesale; repapering of

clients)

• Insider trading

• Market manipulation

• Platform failure

• Price gouging (excessive

mark ups)

• Spoofing

• Trading without client

approval

• Transaction reporting


• Use of client information

to detriment of client (i.e.

slow automatic close

outs, trading to hit stop

losses, partial fills and

order preferencing)

• Not yet known


may be shown.




breach) only.

P2-S3-

32f

Y Specify the privacy and confidentiality issue to

which the reportable situation relates

Radio

buttons

List values:

• Cybersecurity

Show if P2-S3-28 = 12J.



• Inappropriate disclosure

of confidential

information

• Other privacy breaches

• Not yet known


may be shown.




breach) only.

P2-S3-

33b





progressing.



initial) or P2-S1-7b = Yes



below = Not yet known:

• P2-S3-29

• P2-S3-29b

• P2-S3-30

• P2-S3-31

• P2-S3-32

• P2-S3-32a

• P2-S3-32aa

• P2-S3-32ab

• P2-S3-32b

• P2-S3-32d

• P2-S3-32f.

P2-S3-

34

-- Repeater

end


category

Repeater limit: 10.

P2-S3-

34a

-- Description Section Always editable.

P2-S3-

34b

-- In the field below, as well as describing the

reportable situation, include the following

details:

• describe how the reportable situation

and (if relevant) need to commence an

investigation was identified

• if you are still investigating, describe

what you are investigating

• if your investigation found no

breach/likely breach, summarise the

results of the investigation

• describe your handling (and addressing)

of the reportable situation.

Information

callout

P2-S3-

35

Y Describe the reportable situation Textbox Alphanumeric.

Multi line.


P2-S3-

35a


control

Class: help-text.

P2-S3-

38b

-- Further information about the alleged

fraudulent conduct

Section Show if P2-S1-2 includes C

(fraud)


(fraud)





Remediation and


P2-S3-

39

Y Have you discussed the alleged fraudulent

conduct with the person/s alleged to have been

involved?

Radio

buttons

Yes/No

If Yes, show P2-S3-40.

P2-S3-

40

Y Have the person/s alleged to have been

involved admitted to the conduct?

Radio

buttons

Yes/No Show if P2-S3-39 = Yes.

P2-S3-

41

Y Do you have evidence of the alleged fraudulent

conduct?

Radio

buttons

Yes/No


P2-S3-

42

Y List the type of evidence you have (you can

select more than one)


List values:

• Bank account statements

• Financial product

statements

• Documents outlining the

employee/representative’s

scope of authority in

relation to the matter

• Relevant correspondence

between the

employee/representative

and the affected clients

• Any documents

summarising licensee

investigations into the

incident

• Other


P2-S3-

47

-- Act/Rules Section Show if P2-S1-3 includes A

(has breached)

OR if P2-S1-10 includes A

(has breached)


breached)


breached)



breach)


breach).




Remediation and


P2-S3-

48

-- Select the name of the Act/Rules and relevant

section(s)/rule(s) – or regulation(s) – breached

(or likely to be breached)


Item: Act or Rules.

P2-S3-

49

Y Relevant Act/Rules Combobox List values:

14A. Corporations Act

14AA. Credit Act

14B. ASIC Act

14BA. Anti-Money Laundering

and Counter-Terrorism

Financing Act 2006

14C. Banking Act 1959

14D. Financial Sector

(Collection of Data) Act 2001

14E. Financial Sector

(Shareholdings) Act 1998

14F. Financial Sector (Transfer

of Business) Act 1999

14G. Insurance Acquisitions

and Takeovers Act 1991

14H. Insurance Act 1973

14I. Insurance Contracts Act

1984

14J. Life Insurance Act 1995

14JA. Privacy Act 1988

14K. Retirement Savings

Accounts Act 1997

14L. Superannuation Industry

(Supervision) Act 1993

14M. Superannuation

(Resolution of Complaints)

Act 1993

14N. ASIC Market Integrity

Rules – Securities Markets

14NA. ASIC Market Integrity

Rules – Futures Markets

14NB. ASIC Market Integrity

Rules – IMB Market

14O. ASIC Derivative

Transaction Rules (Reporting)

2013

14P. Australian National

Registry of Emissions Units

Act 2011

14Q. Carbon Credits (Carbon

Farming Initiative) Act 2011

14R. Clean Energy Act 2011

14T. Other

If 14T, show P2-S3-50 and P2-

S3-50a.

P2-S3-

50

Y Specify other Act Textbox Alphanumeric.

Two lines.


Show if P2-S3-49 = 14T.

P2-S3-

50a


control

Class: help-text. Show if P2-S3-49 = 14T.

P2-S3-

51

Y Section/s under the Act or regulation/s under

the accompanying regulations – or rule/s


Two lines.


P2-S3-

51a


control

Class: help-text.

P2-S3-

52

-- N/A Repeater

end

Add button: Add another Act

and section(s) or regulation(s)

Repeater limit: 10.

P2-S3-

52a

-- Regulatory/industry body Section Show if P2-S1-2 includes B

(negligence)


(negligence)

OR if P2-S1-15 = A

(negligence)


(fraud)


(fraud)

OR if P2-S1-15 = B (fraud)


breached)


(has breached)


breached)


breached)



breach)


breach).

Always editable.

P2-S3-

53

Y Have you reported – or do you intend to report

– the circumstances of the reportable situation

to any other regulatory/industry body?

Radio

buttons

Yes/No


P2-S3-

54

-- Provide details of regulatory/industry body and

contact person in relation to this matter


Item: Regulatory/industry

body.


P2-S3-

55

Y Name of body Combobox List values:

15A. Australian Prudential

Regulation Authority (APRA)

15B. Australian Securities

Exchange (ASX)

15BA. Chi-X

15C. Australian Transaction

Reports and Analysis Centre

(AUSTRAC)

15D. Australian Taxation

Office (ATO)

15E. Australian Competition

and Consumer Commission

(ACCC)

15F. State fair

trading/commerce agency

15G. Australian Financial

Security Authority (AFSA)

15H. Office of the Australian

Information Commissioner

15I. Police (federal or state)

15J. Overseas regulator

15K. Banking Code

Compliance Committee

15L. Australian Financial

Complaints Authority (AFCA)

15M. Other

If 15F, 15I, 15J or 15M, show

P2-S3-56 and P2-S3-56a.

P2-S3-

56

Y Provide the name of the body Textbox Alphanumeric.

Two lines.


Show if P2-S3-55 = 15F, 15I,

15J or 15M.

P2-S3-

56a


control

Class: help-text. Show if P2-S3-55 = 15F, 15I,

15J or 15M.

P2-S3-

57

Y Do you have a reference number that the

regulatory/industry body has given to this

matter?

Radio

buttons

Yes/No


P2-S3-

58

Y Provide the reference number Textbox Alphanumeric.

Single line.



P2-S3-

59

Y Do you know the contact details for the

regulatory/industry body?

Radio

buttons

Yes/No

If Yes, show P2-S3-60 to P2-S3-

64.

P2-S3-

60

N Given name Textbox Alphanumeric.

Single line.



P2-S3-

61


Single line.



P2-S3-

62

N Family name Textbox Alphanumeric.

Single line.



P2-S3-

63

N Phone number Textbox Standard validation rules for

phone number.


P2-S3-

64

N Email address Textbox Standard validation rules for

email address.


P2-S3-

65

Y Are you aware of any action or proposed action

by the regulatory/industry body in relation to

the reportable situation?

Radio

buttons

Yes/No

P2-S3-

67

-- N/A Repeater

end


regulatory/industry body

Repeater limit: 10.

P2-S3-

67a

-- Root causes Section Show if P2-S1-3 includes A

(has breached) and P2-S1-6

= Yes (investigation

complete initial)


breached) and P2-S1-7b =

Yes (investigation complete

update)


(has breached) and P2-S1-

7b = Yes (investigation

complete update)




update)


breached) and P2-S1-6 = Yes


initial)




update)



breach) and P2-S1-6 = Yes


initial)




initial)


breach) and P2-S1-7b = Yes


update).




Remediation and


P2-S3-

67b

Y Have you taken steps to identify the root

cause/s of the breach - or likely breach?

Radio

buttons

Yes/No


P2-S3-

68

-- What are the root causes of the breach – or

likely breach?


Item: Cause of breach.

Show if P2-S3-67b = Yes.

P2-S3-

69

Y Root cause Combobox List values:

17A. Policy or process

deficiency

17B. System deficiency

17C. Staff – Inadequate

supervision/lack of training

17D. Staff – Negligence/error

17E. Staff –

Fraud/misappropriation

17F. Staff – misconduct

17G. Failure to comply with

breach reporting

requirements to ASIC

17H. Failure to comply with

other statutory reporting


17I. Misunderstanding of

obligation/s

17J. Inadequate management

controls

17K. Inadequate human

resources

17KA. Inadequate financial

resources

17KB. Inadequate

technological resources

17L. Failed change initiative

17M. Inadequate risk

management

17N. Inadequate compliance

measures

17P. Other

If 17E, show P2-S3-74 & P2-S3-

76.

If 17P, show P2-S3-70 & P2-S3-

70a.

P2-S3-

70

Y Specify other root cause Textbox Alphanumeric.

Two lines.


Show if P2-S3-69 = 17P.

P2-S3-

70a


control

Class: help-text. Show if P2-S3-69 = 17P.

P2-S3-

74

Y Have you discussed the alleged

fraud/misappropriation with the person/s

alleged to have been involved?

Radio

buttons

Yes/No


Show if P2-S3-69 = 17E.

Hide if P2-S1-2 includes C

(fraud)


(fraud)


P2-S3-

75



Radio

buttons


P2-S3-

76

Y Do you have evidence of the alleged

fraud/misappropriation?

Radio

buttons

Yes/No


Show if P2-S3-69 = 17E.

Hide if P2-S1-2 includes C

(fraud)


(fraud)


P2-S3-

77




List values:

17.23A Bank account

statements

17.23B Financial product

statements

17.23C Documents outlining

the


scope of authority in relation

to the matter

17.23D Relevant

correspondence between the

employee/representative and

the affected clients

17.23E Any documents



incident

17.24F Other


P2-S3-

83

Y Specify whether this root cause has been the

subject of any internal compliance review or

monitoring in the past three years

Radio

buttons

Yes/No/Not known


P2-S3-

85

Y Specify the date of any written report or

findings (i.e. audit report)

Date DD/MM/YYYY



P2-S3-

88

-- N/A Repeater

end

Add button: Add another root

cause

Repeater limit: 10.

P2B-S3A – Nature

Control

ID


type


control values


P2B-

S3A

-- Nature Sub page Show if P1-S1-0b = Providing


P2B-

S3A-0a

Y To what does the breach/likely breach relate? Radio

buttons

List values:

• Financial service or

product line

• General obligation (e.g.

obligation to maintain

competence, sufficient

financial resources or

professional indemnity

insurance; obligation to

comply with licence

conditions)


If Financial service… or Both,

show P2B-S3A-0aa.




Remediation and


P2B-

S3A-

0aa

-- Financial service or product line Section Show if P2B-S3A-0a =

Financial service… or Both.




Remediation and


P2B-

S3A-0c

-- Financial service or product line Repeater Type: Vertical.

Item text: Financial

service/product line.

P2B-

S3A-1

Y Specify the financial service or product line the

breach/likely breach affected

Radio

buttons

List values:

11A. Credit

11B. Deposit taking

11BA. Financial advice

11C. General insurance

11D. Investments

11E. Life insurance

11F. Payment systems

11G. Superannuation

11GA. Traditional trustee

services

If 11A, show P2B-S3A-3.

If 11B, show P2B-S3A-4.

If 11BA, show P2B-S3A-4b.

If 11C, show P2B-S3A-5.

If 11D, show P2B-S3A-6.

If 11E, show P2B-S3A-7.

If 11F, show P2B-S3A-8.

If 11G, show P2B-S3A-9.

If 11GA, show P2B-S3A-9b.

P2B-

S3A-2b

-- In the question(s) below you can only select

‘Not yet known’ if the investigation is not yet

complete.

Information

callout


at P2B-S3A-1.

P2B-

S3A-3

Y Specify the credit category the breach/likely

breach affected

Radio

buttons

List values:

11.1A Business finance

11.1B Consumer credit

11.1C Guarantees

11.1D Margin loans

Show if P2B-S3A-1 = 11A.

11.1E Not yet known

If 11.1A, show P2B-S3A-10.

If 11.1B, show P2B-S3A-11.

If 11.1C, show P2B-S3A-12.

If 11.1E, P2B-S3A-26ha may

be shown.

P2B-

S3A-4

Y Specify the deposit taking category the


Radio

buttons

List values:

11.11A Current accounts

11.11C Savings account



If 11.11C, show P2B-S3A-15.

If 11.11D, P2B-S3A-26ha may

be shown.

Show if P2B-S3A-1 = 11B.

P2B-

S3A-4b

Y Specify the financial advice category the


Radio

buttons

List values:

A. General advice

B. Personal advice

C. Not yet known

If C, P2B-S3A-26ha may be

shown.

Show if P2B-S3A-1 = 11BA.

P2B-

S3A-5

Y Specify the general insurance category the


Radio

buttons

List values:

11.12A Domestic insurance

11.12B Extended warranty

11.12C Professional

indemnity insurance

11.12D Small business/farm

insurance

11.12DA A general insurance

product that does not fit

Show if P2B-S3A-1 = 11C.

within one of the above

categories



If 11.12DA, show P2B-S3A-

16b and P2B-S3A-16c.


be shown.

P2B-

S3A-6

Y Specify the investments category the


Radio

buttons

List values:

11.13A Derivatives/hedging

11.13B Managed

investments

11.13C Real property

11.13D Securities

11.13E Superannuation –

non-trustee related

11.13EA A financial

investment product type that

does not fit within one of the

above categories




If 11.13D, show P2B-S3A-19.

If 11.13E, show P2B-S3A-20.

If 11.13EA, show P2B-S3A-20b

and P2B-S3A-20c.

If 11.13F, P2B-S3A-26ha may

be shown.

Show if P2B-S3A-1 = 11D.

P2B-

S3A-7

Y Specify the life insurance category the


Radio

buttons

List values:

11.14A Income stream risk

11.14B Non-income stream

risk




If 11.14C, P2B-S3A-26ha may

be shown.

Show if P2B-S3A-1 = 11E.

P2B-

S3A-8

Y Specify the payment systems category the


Radio

buttons

List values:

11.15A Direct transfer

11.15B Non-cash





be shown.

Show if P2B-S3A-1 = 11F.

P2B-

S3A-9

Y Specify the superannuation category the


Radio

buttons

List values:



fund


11.16H Retirement savings

account

11.16I Small Australian



11.16J Superannuation fund



Show if P2B-S3A-1 = 11G.

If 11.16B or 11.16I, show P2B-

S3A-26.

If 11.16E or 11.16J, show P2B-

S3A-26b.

If 11.16H, show P2B-S3A-26d.

If 11.16K, P2B-S3A-26ha may

be shown.

P2B-

S3A-9b

Y Specify the traditional trustee services category

the breach/likely breach affected

Radio

buttons

List values:

A. Estate management

B. Estate planning

C. Trusts

D. Not yet known

If B, show P2B-S3A-26f.

If C, show P2B-S3A-26h.

If D, P2B-S3A-26ha may be

shown.

Show if P2B-S3A-1 = 11GA.

P2B-

S3A-10

Y Specify the business finance product the


Radio

buttons

List values:

11.2A Business credit card

11.2B Business loans

11.2C Commercial bills

11.2D Hire purchase/lease

11.2E Letter of credit

11.2F Line of

credit/overdraft

11.2H Not yet known

If 11.2H, P2B-S3A-26ha may

be shown.

Show if P2B-S3A-3 = 11.1A.

P2B-

S3A-11

Y Specify the consumer credit product the


Radio

buttons

List values:

11.21AA Buy now, pay later

Show if P2B-S3A-3 = 11.1B.

11.21A Consumer lease

(motor vehicles)

11.21AB Consumer lease

(household goods)

11.21AC Continuing credit

(not a credit card)

11.21B Credit cards

11.21C Debt

management/credit repair

11.21D Equity release (not a

reverse mortgage)

11.21E Hire purchase/rent to

buy (not a consumer lease)

11.21F Home loans

11.21H Investment property

loans

11.21HA Limited recourse

borrowing arrangement/loan

to SMSF

11.21I Line of

credit/overdraft

11.21J Low limit credit

contract

11.21JA Medium amount

credit

11.21JB Motor vehicle loan

11.21K Personal loan (other

than motor vehicle)

11.21KA Reverse mortgage

11.21L Short-term credit

11.21M Small amount credit


If 11.21M, P2B-S3A-26ha may

be shown.

P2B-

S3A-12

Y Specify the guarantees product the breach/likely

breach affected

Radio

buttons

List values:

11.22A Bank guarantee

11.22B Business guarantee

11.22C Consumer guarantee


If 11.22D, P2B-S3A-26ha may

be shown.

Show if P2B-S3A-3 = 11.1C.

P2B-

S3A-14

Y Specify the current accounts product the


Radio

buttons

List values:

11.23A Business transaction

accounts

11.23AA Child/student

accounts

11.23AB Fee free accounts

11.23B Foreign currency

accounts

11.23C Mortgage offset

accounts

11.23E Personal transaction

accounts



be shown.

Show if P2B-S3A-4 =11.11A.

P2B-

S3A-15

Y Specify the savings account product the


Radio

buttons

List values:


accounts

11.24D Online accounts

Show if P2B-S3A-4 =11.11C.

11.24E Term deposits



be shown.

P2B-

S3A-16

Y Specify the domestic insurance product the


Radio

buttons

List values:


insurance

11.25B Home building

11.25C Home contents

11.25CA Landlords insurance

11.25D Motor vehicle

11.25E Personal and

domestic property

11.25F Residential strata title

11.25G Sickness and accident

insurance

11.25H Ticket insurance

11.25I Travel

11.25J Trust bond



be shown.


P2B-

S3A-

16b

Y Specify the other general insurance product

type


Two lines.


Show if P2B-S3A-5 =

11.12DA.

P2B-

S3A-16c


control

Class: help-text. Show if P2B-S3A-5 =

11.12DA.

P2B-

S3A-17

Y Specify the derivatives/hedging product the


Radio

buttons

List values:

11.26A Contracts for

difference


11.26B Cryptocurrency

11.26C Foreign exchange

11.26D Forwards

11.26E Futures

11.26F Options

11.26G Swaps



be shown.

P2B-

S3A-18

Y Specify the managed investments product the


Radio

buttons

List values:

11.27A Australian equity

funds


accounts

11.27C

Charitable/educational

schemes

11.27D Crowd-sourced

equity funding

11.27E Film schemes

11.27F Horse schemes

11.27G International equity

funds

11.27H Investor directed

portfolio services

11.27I Managed

discretionary accounts

11.27J Managed strata title

schemes

11.27K Mixed asset fund/s

Show if P2B-S3A-6 =11.13B.

11.27L Mortgage schemes

11.27M Primary production

schemes

11.27N Property funds

11.27O Timeshare schemes

11.27P Trustee common

funds

11.27Q Not yet known

If 11.27Q, P2B-S3A-26ha may

be shown.

P2B-

S3A-19

Y Specify the securities product the breach/likely

breach affected

Radio

buttons

List values:

11.28A Bills of exchange

11.28B Bonds

11.28C Debentures

11.28D Exchange traded

funds

11.28E Promissory notes

11.28F Shares

11.28G Warrants



be shown.

Show if P2B-S3A-6 =11.13D.

P2B-

S3A-20

Y Specify the superannuation (non-trustee

related) product the breach/likely breach

affected

Radio

buttons

List values:



fund

11.29C Corporate fund

11.29D Industry fund


11.29F Pension

Show if P2B-S3A-6 =11.13E.

11.29G Pooled

superannuation trust

11.29H Public sector fund

11.29I Retail fund

11.29J Retirement savings

accounts

11.29K Self-managed

superannuation fund

11.29L Small Australian



11.29M Superannuation

fund


If 11.29N, P2B-S3A-26ha may

be shown.

P2B-

S3A-

20b

Y Specify the other financial investment product

type


Two lines.


Show if P2B-S3A-6 =

11.13EA.

P2B-

S3A-20c


control

Class: help-text. Show if P2B-S3A-6 =

11.13EA.

P2B-

S3A-21

Y Specify the income stream risk product the


Radio

buttons

List values:


insurance




be shown.


P2B-

S3A-22

Y Specify the non-income stream risk product the


Radio

buttons

List values:

11.31A Annuities


11.31B Endowments

11.31C Funeral plans

11.31D Scholarship funds

11.31E Term life

11.31F Total and permanent

disability

11.31G Trauma

11.31H Whole of life

11.31I Not yet known

If 11.31I, P2B-S3A-26ha may

be shown.

P2B-

S3A-23

Y Specify the direct transfer product the


Radio

buttons

List values:

11.32A ATM

11.32B Bank drafts

11.32BA Card-not-present

11.32C Cheques

11.32D Counter transactions

11.32E Direct debits/direct

credits/recurring payments

11.32F EFTPOS

11.32G Electronic banking

11.32H Foreign currency

transfers

11.32I Merchant facilities

11.32IA Person to person

(‘pay anyone’) electronic

fund transfers

11.32J Telegraphic transfers

11.32JA Telephone banking




be shown.

P2B-

S3A-24

Y Specify the non-cash product the breach/likely

breach affected

Radio

buttons

List values:

11.33A Loyalty programs

11.33B Non-cash systems

11.33C Stored value or gift

facilities

11.33D Travellers' cheques



be shown.


P2B-

S3A-25

Y Specify the annuity policy product the


Radio

buttons

List values:


11.34B Pension



be shown.


P2B-

S3A-26

Y Specify the approved deposit fund/small APRA

fund product the breach/likely breach affected

Radio

buttons

List values:



11.35BA Pension

11.35C Superannuation

account

11.35D Terminal illness

11.35E Total and permanent

disability



be shown.

Show if P2B-S3A-9 = 11.16B

or 11.16I.

P2B-

S3A-

26b

Y Specify the life policy fund/superannuation fund

product the breach/likely breach affected

Radio

buttons

List values:

A. Death benefit


C. Superannuation account

D. Terminal illness

E. Total and permanent

disability

F. Not yet known

If F, P2B-S3A-26ha may be

shown.

Show if P2B-S3A-9 = 11.16E

or 11.16J.

P2B-

S3A-

26d

Y Specify the retirement savings account product

the breach/likely breach affected

Radio

buttons

List values:

A. Death benefit


C. Retirement savings

account

D. Superannuation account

E. Terminal illness

F. Total and permanent

disability

G. Not yet known

If F, P2B-S3A-26ha may be

shown.

Show if P2B-S3A-9 = 11.16H.

P2B-

S3A-26f

Y Specify the estate planning product the


Radio

buttons

List values:

A. Enduring powers of

attorney

B. Wills

C. Not yet known


shown.

Show if P2B-S3A-9b = B.

P2B-

S3A-

26h

Y Specify the trusts product the breach/likely

breach affected

Radio

buttons

List values:

A. Beneficiary

B. Specific purpose

C. Not yet known


shown.

Show if P2B-S3A-9b = C.

P2B-

S3A-

26ha





progressing.


(investigation complete) and

any of the below = Not yet

known:

• P2B-S3A-3

• P2B-S3A-4

• P2B-S3A-4b

• P2B-S3A-5

• P2B-S3A-6

• P2B-S3A-7

• P2B-S3A-8

• P2B-S3A-9

• P2B-S3A-9b

• P2B-S3A-10

• P2B-S3A-11

• P2B-S3A-12

• P2B-S3A-14

• P2B-S3A-15

• P2B-S3A-16

• P2B-S3A-17

• P2B-S3A-18

• P2B-S3A-19

• P2B-S3A-20

• P2B-S3A-21

• P2B-S3A-22

• P2B-S3A-23

• P2B-S3A-24

• P2B-S3A-25

• P2B-S3A-26

• P2B-S3A-26b

• P2B-S3A-26d

• P2B-S3A-26f

• P2B-S3A-26h.

P2B-

S3A-26j

-- Repeater

end


financial service/product line

Repeater limit: 10.

P2B-

S3A-

26ja

-- General category Section Read only if form state =



Remediation and


P2B-

S3A-27

-- Specify the general category to which the

breach/likely breach relates


Item: Category.

P2B-

S3A-28

Y Category Radio

buttons

List values:

12A Advice

12B Disclosure

12BA False or misleading

statements

12C Fees and charges or

account administration

12D Financial reporting

12E General obligations

12G Lending

12GA Licence conditions

12H Fraud/misconduct

12I Market

12J Privacy and

confidentiality

If 12A, show P2B-S3A-29.

If 12B, show P2B-S3A-29b.

If 12BA, show P2B-S3A-30.

If 12C, show P2B-S3A-31.

If 12D, show P2B-S3A-32.

If 12E, show P2B-S3A-32a.

If 12G, show P2B-S3A-32aa.

If 12GA, show P2B-S3A-32ab.

If 12H, show P2B-S3A-32b.

If 12I, show P2B-S3A-32d.

If 12J, show P2B-S3A-32f.

P2B-

S3A-

28a

-- In the question below you can only select ‘Not

yet known’ if the investigation is not yet

complete.

Information

callout


at P2B-S3A-28.

P2B-

S3A-29

Y Specify the advice issue to which the


Radio

buttons

List values:

12.1A Act in client’s best

interests

12.1B Conflicted

remuneration

12.1BA Debt management

12.1C Prioritise client’s

interests

12.1D Failure to provide

advice

12.1E Inappropriate advice

12.1F Misclassification of

advice

Show if P2B-S3A-28 = 12A.

12.1G

Unlicensed/unauthorised

advice

12.1H Not yet known

If 12.1H, P2B-S3A-33b may be

shown.

P2B-

S3A-

29b

Y Specify the disclosure issue to which the


Radio

buttons

List values:

• Advertising and related

conduct

• Break costs

• Commission

• Fees

• Hawking (failure to obtain

appropriate consent)

• Inappropriate referral


conduct

• Product/service

information/warning

statement

• Target market



• Not yet known

If Not yet known, P2B-S3A-

33b may be shown.

Show if P2B-S3A-28 = 12B.

P2B-

S3A-30

Y Specify the false or misleading statements issue

to which the breach/likely breach relates

Radio

buttons

List values:

12.1A Commission

12.1B Break costs

Show if P2B-S3A-28 = 12BA.

12.1C Fees

12.1D Product/service

information/warning

statement

12.1DA Hawking (failure to

obtain appropriate consent)

12.1DB Inappropriate

referral selling/introducing

broker conduct

12.1DBA Restricted terms

12.1DBB Returns

12.1DC Target market



12.1E Advertising and related

conduct

12.1F Not yet known

If 12.1F, P2B-S3A-33b may be

shown.

P2B-

S3A-31

Y Specify the fees/charges or account

administration issue to which the breach/likely

breach relates

Radio

buttons

List values:

12.1A Break costs

12.1B Deductible or excess

12.1C Commissions

12.1D Fees/costs

12.1DA Fee consent

12.1E Interest

12.1F Premiums

12.1G Tax

12.1H No claim bonus

12.1J Not yet known

Show if P2B-S3A-28 = 12C.

If 12.1J, P2B-S3A-33b may be

shown.

P2B-

S3A-32

Y Specify the financial reporting issue to which the


Radio

buttons

List values:

12.1B Keep account of client

money

12.1C Financial statement

obligations

12.1E Audit report

12.1F Maintain trust account

12.1G Net tangible asset

requirements

12.1H Solvency concerns

12.1I Not yet known

If 12.1I, P2B-S3A-33b may be

shown.

Show if P2B-S3A-28 = 12D.

P2B-

S3A-

32a

Y Specify the general obligations issue to which

the breach/likely breach relates

Radio

buttons

List values:

• Adequate financial

resources

• Adequate human

resources

• Adequate supervisory

arrangements

• Adequate technological

resources

• Breach of Product

Intervention Order

• Claims handling

• Compensation

arrangements


• Competence/training

• Compliance

arrangements

• Conflict of interest

arrangements

• External dispute

resolution

• Internal dispute

resolution

• Professional indemnity

insurance

• Provide services

efficiently, honestly and

fairly

• Other

• Not yet known


33b may be shown.

P2B-

S3A-

32aa

Y Specify the lending issue to which the


Radio

buttons

List values:

• Consumer lease

provisions

• Debt collection

• Hardship

• Responsible lending

• Small amount credit

contract provisions


• Not yet known

Show if P2B-S3A-28 = 12G.


33b may be shown.

P2B-

S3A-

32ab

Y Specify the licence conditions issue to which the


Radio

buttons

List values:

• Authorisations

• Compliance/independent

review

• Financial requirements

• Key person

• Record

keeping/retention of

materials

• Responsible manager

obligations

• Other

• Not yet known


33b may be shown.

Show if P2B-S3A-28 = 12GA.

P2B-

S3A-

32b

Y Specify the fraud/misconduct issue to which the


Radio

buttons

List values:

• Cloning of AFS licences

• Fraud/forgery

• Maintain trust account

• Pressure selling

• Scams

• Not yet known


33b may be shown.

Show if P2B-S3A-28 = 12H.

P2B-

S3A-

32d

Y Specify the market issue to which the


Radio

buttons

List values: Show if P2B-S3A-28 = 12I.

• Exhorbitant

trading/unfair

pricing/latency concerns

• Front running

• Inappropriate

classification of clients

(onboarding – retail to

wholesale; repapering of

clients)

• Insider trading

• Market manipulation

• Platform failure

• Price gouging (excessive

mark ups)

• Spoofing

• Trading without client

approval

• Transaction reporting


• Use of client information

to detriment of client

(i.e. slow automatic close

outs, trading to hit stop

losses, partial fills and

order preferencing)

• Not yet known


33b may be shown.

P2B-

S3A-32f

Y Specify the privacy and confidentiality issue to

which the breach/likely breach relates

Radio

buttons

List values:

• Cybersecurity

• Inappropriate disclosure

of confidential

information

• Other privacy breaches

• Not yet known


33b may be shown.

Show if P2B-S3A-28 = 12J.

P2B-

S3A-

33b





progressing.


(investigation complete) and

any of the below = Not yet

known:

• P2B-S3A-29

• P2B-S3A-29b

• P2B-S3A-30

• P2B-S3A-31

• P2B-S3A-32

• P2B-S3A-32a

• P2B-S3A-32aa

• P2B-S3A-32ab

• P2B-S3A-32b

• P2B-S3A-32d

• P2B-S3A-32f.

P2B-

S3A-34

-- Repeater

end


category

Repeater limit: 10.

P2B-

S3A-

34a

-- Description Section Always editable.

P2B-

S3A-

34b

-- In the field below, as well as describing the

breach/likely breach, include the following

details:

• describe how the breach/likely breach

was identified

• describe your handling (and addressing)

of the breach/inability to comply.

Information

callout

P2B-

S3A-35

Y Describe the breach – or likely breach Textbox Alphanumeric.

Multi line.


P2B-

S3A-

35a


control

Class: help-text.

P2B-

S3A-47

-- Act/Rules Section Read only if form state =



Remediation and


P2B-

S3A-48

-- Select the name of the Act/Rules and relevant

section(s)/rule(s) – or regulation(s) – breached

(or likely to be breached)


Item: Act or Rules.

P2B-

S3A-49

Y Relevant Act/Rules Combobox List values:

14A. Corporations Act

14AA. Credit Act

14B. ASIC Act

14BA. Anti-Money

Laundering and Counter-

Terrorism Financing Act 2006

14C. Banking Act 1959

14D. Financial Sector

(Collection of Data) Act 2001

14E. Financial Sector

(Shareholdings) Act 1998

14F. Financial Sector

(Transfer of Business) Act

1999

14G. Insurance Acquisitions

and Takeovers Act 1991

14H. Insurance Act 1973

14I. Insurance Contracts Act

1984

14J. Life Insurance Act 1995

14JA. Privacy Act 1988

14K. Retirement Savings

Accounts Act 1997

14L. Superannuation

Industry (Supervision) Act

1993

14M. Superannuation

(Resolution of Complaints)

Act 1993

14N. ASIC Market Integrity

Rules – Securities Markets

14NA. ASIC Market Integrity

Rules – Futures Markets

14NB. ASIC Market Integrity

Rules – IMB Market

14O. ASIC Derivative

Transaction Rules

(Reporting) 2013

14P. Australian National

Registry of Emissions Units

Act 2011

14Q. Carbon Credits (Carbon

Farming Initiative) Act 2011

14R. Clean Energy Act 2011

14T. Other

If 14T, show P2B-S3A-50 and

P2B-S3A-50a.

P2B-

S3A-50

Y Specify other Act Textbox Alphanumeric.

Two lines.


Show if P2B-S3A-49 = 14T.

P2B-

S3A-

50a


control

Class: help-text. Show if P2B-S3A-49 = 14T.

P2B-

S3A-51

Y Section/s under the Act or regulation/s under

the accompanying regulations – or rule/s


Two lines.


P2B-

S3A-

51a


control

Class: help-text.

P2B-

S3A-52

-- Repeater

end

Add button: Add another Act

and section(s) or regulation(s)

Repeater limit: 10.

P2B-

S3A-

52a

-- Regulatory/industry body Section Always editable.

P2B-

S3A-53

Y Have you reported the circumstances of the

breach/likely breach to any other


Radio

buttons

Yes/No

If Yes, show P2B-S3A-54.

P2B-

S3A-54

-- Provide details of regulatory/industry body and

contact person in relation to this matter


Item: Regulatory/industry

body.

Show if P2B-S3A-53 = Yes.

P2B-

S3A-55

Y Name of body Combobox List values:

15A. Australian Prudential

Regulation Authority (APRA)

15B. Australian Securities

Exchange (ASX)

15BA. Chi-X

15C. Australian Transaction

Reports and Analysis Centre

(AUSTRAC)

15D. Australian Taxation

Office (ATO)

15E. Australian Competition

and Consumer Commission

(ACCC)

15F. State fair

trading/commerce agency

15G. Australian Financial

Security Authority (AFSA)

15H. Office of the Australian

Information Commissioner

15I. Police (federal or state)

15J. Overseas regulator

15K. Banking Code

Compliance Committee

15L. Australian Financial

Complaints Authority (AFCA)

15M. Other

If 15F, 15I, 15J or 15M, show

P2B-S3A-56 and P2B-S3A-56a.

P2B-

S3A-56

Y Provide the name of the body Textbox Alphanumeric.

Two lines.


Show if P2B-S3A-55 = 15F,

15I, 15J or 15M.

P2B-

S3A-

56a


control

Class: help-text. Show if P2B-S3A-55 = 15F,

15I, 15J or 15M.

P2B-

S3A-57

Y Do you have a reference number that the

regulatory/industry body has given to this

matter?

Radio

buttons

Yes/No


P2B-

S3A-58

Y Provide the reference number Textbox Alphanumeric.

Single line.



P2B-

S3A-59

Y Do you know the contact details for the


Radio

buttons

Yes/No

If Yes, show P2B-S3A-60 to

P2-S3-64.

P2B-

S3A-60

N Given name Textbox Alphanumeric.

Single line.



P2B-

S3A-61


Single line.



P2B-

S3A-62

N Family name Textbox Alphanumeric.

Single line.



P2B-

S3A-63

N Phone number Textbox Standard validation rules for

phone number.


P2B-

S3A-64

N Email address Textbox Standard validation rules for

email address.


P2B-

S3A-65

Y Are you aware of any action or proposed action

by the regulatory/industry body in relation to

the breach/likely breach?

Radio

buttons

Yes/No

P2B-

S3A-67

-- Repeater

end


regulatory/industry body

Repeater limit: 10.

P2B-

S3A-

67a

-- Root causes Section Show if P2-S1A-9 = Yes





Remediation and


P2B-

S3A-

67b

Y Have you taken steps to identify the root

cause/s of the breach - or likely breach?

Radio

buttons

Yes/No


P2B-

S3A-68

-- What are the root causes of the breach – or

likely breach?


Item: Cause of breach.

Show if P2B-S3A-67b = Yes.

P2B-

S3A-69

Y Root cause Combobox List values:

17A. Policy or process

deficiency

17B. System deficiency

17C. Staff – Inadequate

supervision/lack of training

17D. Staff – Negligence/error

17E. Staff –

Fraud/misappropriation

17F. Staff – misconduct

17G. Failure to comply with

breach reporting


17H. Failure to comply with

other statutory reporting


17I. Misunderstanding of

obligation/s

17J. Inadequate

management controls

17K. Inadequate human

resources

17KA. Inadequate financial

resources

17KB. Inadequate

technological resources

17L. Failed change initiative

17M. Inadequate risk

management

17N. Inadequate compliance

measures

17P. Other

If 17E, show P2B-S3A-74 &

P2B-S3A-76.

If 17P, show P2B-S3A-70 &

P2B-S3A-70a.

P2B-

S3A-70

Y Specify other root cause Textbox Alphanumeric.

Two lines.


Show if P2B-S3A-69 = 17P.

P2B-

S3A-

70a


control

Class: help-text. Show if P2B-S3A-69 = 17P.

P2B-

S3A-74

Y Have you discussed the alleged

fraud/misappropriation with the person/s

alleged to have been involved?

Radio

buttons

Yes/No



P2B-

S3A-75



Radio

buttons

Yes/No Show if P2B-S3A-74 = Yes.

P2B-

S3A-76

Y Do you have evidence of the alleged

fraud/misappropriation?

Radio

buttons

Yes/No



P2B-

S3A-77




List values:

17.23A Bank account

statements

17.23B Financial product

statements

17.23C Documents outlining

the


scope of authority in relation

to the matter

17.23D Relevant

correspondence between


the employee/representative

and the affected clients

17.23E Any documents



incident

17.24F Other

P2B-

S3A-83

Y Specify whether this root cause has been the

subject of any internal compliance review or

monitoring in the past three years

Radio

buttons

Yes/No/Not known


P2B-

S3A-85

Y Specify the date of any written report or

findings (i.e. audit report)

Date DD/MM/YYYY



P2B-

S3A-88

-- Repeater

end

Add button: Add another root

cause

Repeater limit: 10.

P2B-S4 – Extent/impact

Control

ID


type


control values


P2B-S4 -- Extent/impact Sub page Show if P2-S1-2 includes B

(negligence)


(negligence)

OR if P2-S1-15 = A

(negligence)


(fraud)


(fraud)



breached)


breached)


breached)


breached)



breach)


breach).

P2-S4-0 -- Number of instances Section Show if P2-S1-2 includes B

(negligence)


(negligence)

OR if P2-S1-15 = A

(negligence)


(fraud)


(fraud)



breached)


breached)


breached)


breached).

Always editable.

P2-S4-1 -- We understand at the time of reporting to ASIC

your investigation may be ongoing. We

encourage you to provide best estimates where

actual numbers or timeframes are unknown.

You can provide an update once more

information is known.

Information

callout





update).

P2-S4-3 -- If 100 customers were each charged an

erroneous fee, then the total number of

instances of the event is 100. If 100 customers

Information

callout

were each charged two erroneous fees, then the

total number of instances of the event is 200.

P2-S4-2 Y Specify the total number of instances of the

event that relate to the reportable situation

Textbox Numeric.



P2-S4-

2a

-- Previous similar reportable situations Section Read only if form state =




incomplete.

P2-S4-4 Y Have any similar reportable situations (that do

not form part of this report) previously

occurred?

Radio

buttons

Yes/No

If Yes, show P2-S4-6 and P2-

S4-7.

P2-S4-6 Y Specify the number of previous similar

reportable situations

Textbox Numeric.




P2-S4-7 Y Were any of these reportable situations

reported to ASIC?

Radio

buttons


P2-S4-

11

-- Client impact Section Read only if form state =




incomplete.

P2-S4-

18

Y Has the reportable situation affected any clients

– or (where relevant) are there likely to be any

clients affected if the breach does occur?

Radio

buttons

Yes/No/Not known

If Yes, show P2-S4-19, P2-S4-

20, P2-S4-28b and P2-S5-

10da – and may show P2-S4-

18b.

If Not known, show P2-S4-

18aa or P2-S4-25.

P2-S4-

18aa

-- You cannot select ‘Not known’ if the




progressing.

Show if P2-S4-18 = Not

known and P2-S1-6 = Yes


initial)

OR if P2-S4-18 = Not known

and P2-S1-7b = Yes


update).

P2-S4-

18b

-- If you are unsure about the number of affected

clients, provide a best estimate.

Information

callout

Show if P2-S4-18 = Yes and

P2-S1-3 includes B and P2-S1-

17 = NOT Yes (likely breach)

and P2-S1-2 = A (re core

obligation) only

OR if P2-S4-18 = Yes and P2-

S1-10 = B only and P2-S1-17 =

No (likely breach).

P2-S4-

19

Y Specify the total number of clients the

reportable situation affects – or will likely affect

if the breach does occur (if the investigation is

not yet complete this can be an estimate)

Textbox Numeric.




P2-S4-

20

Y Is this number an estimate? Radio

buttons

Yes/No


S4-22.



incomplete initial) and P2-S1-

7b = NOT Yes (investigation

incomplete update).

Hide if P2-S1-3 includes B and


breach) and P2-S1-2 = A (re

core obligation) only

OR if P2-S1-10 = B only and

P2-S1-17 = No (likely breach).

P2-S4-

21

Y Are you taking steps to identify the total

number of clients affected – or the number of

clients that will likely be affected if the breach

does occur?

Radio

buttons

Yes/No



P2-S4-

22

-- We understand at the time of reporting to ASIC






Information

callout


P2-S4-

23

Y Provide an approximate date for when you will

be able to identify the total number of clients

affected

Date DD/MM/YYYY.





date.


P2-S4-

23a



corrected.


progressing.


fails.

P2-S4-

25

Y Are you taking steps to identify if the reportable

situation has affected any clients – or will likely

affect clients if the breach does occur?

Radio

buttons

Yes/No


S4-27.


known and P2-S1-6 = No




update).

P2-S4-

26







Information

callout


P2-S4-

27



affected

Date DD/MM/YYYY.





date.


P2-S4-

27a



corrected.


progressing.


fails.

P2-S4-

28b

-- Client loss Section Show if P2-S4-18 = Yes.

P2-S4-

33

Y Have any clients suffered a financial loss

because of the reportable situation – or are any

clients likely to suffer financial loss if the breach

does occur?

Radio

buttons

Yes/No/Not known


35 and P2-S5-0.

If Not known, show P2-S4-

33aa or P2-S4-39.





incomplete.

P2-S4-

33aa





progressing.


known and P2-S1-6 = Yes


initial)

OR if P2-S4-33 = Not known

and P2-S1-7b = Yes


update).

P2-S4-

34

Y Specify the total financial loss to affected clients

(A$ – if the investigation is not yet complete this

can be an estimate)

Textbox Numeric – currency.





Rectification incomplete.

P2-S4-

35


buttons

Yes/No






incomplete update).









P2-S4-

36


financial loss to affected clients?

Radio

buttons

Yes/No


S4-38.


Always editable.

P2-S4-

37







Information

callout


P2-S4-

38


know the total loss

Date DD/MM/YYYY.



Always editable.




date.

P2-S4-

38a



corrected.


progressing.


fails.

P2-S4-

39

Y Are you taking steps to identify if any clients

have suffered a financial loss because of the

reportable situation – or are likely to suffer a

financial loss if the breach occurs?

Radio

buttons

Yes/No


S4-41.


known and P2-S1-6 = No




update).

Always editable.

P2-S4-

40







Information

callout


P2-S4-

41


be able to identify the total amount of financial

loss clients suffered

Date DD/MM/YYYY.





date.


Always editable.

P2-S4-

41a



corrected.


progressing.


fails.

P2-S4-

42a

-- Licensee impact Section

P2-S4-

48

Y Have you suffered any financial loss because of

the reportable situation – or are you likely to

suffer any financial loss if the breach does

occur?

Radio

buttons

Yes/No/Unknown/Not

material


S4-51.

If Unknown, show P2-S4-

48aa.





incomplete.

P2-S4-

48aa

-- You cannot select ‘Unknown’ if the investigation

is complete. To proceed with this transaction

you must select another option.


progressing.

Show if P2-S4-48 = Unknown

and P2-S1-6 = Yes


initial)

OR if P2-S4-48 = Unknown

and P2-S1-7b = Yes


update).

P2-S4-

49

-- Examples of financial loss you could suffer

include you:

• being entitled to fees and/or charges that

were not collected/received

• paying out on invalid claims or over paying

these claims.

Information

callout

P2-S4-

50

Y Specify your financial loss (A$ – if the

investigation is not yet complete this can be an

estimate)





Always editable.

P2-S4-

51


buttons

Yes/No






incomplete update).







Always editable.

P2-S4-

52

Y Are you taking steps to identify your total

financial loss?

Radio

buttons

Yes/No


S4-53.

Show if P2-S4-51= Yes.

Always editable.

P2-S4-

54



encourage you to provide a best estimate where

the timeframe is unknown. You can provide an

update once more information is known.

Information

callout


P2-S4-

53


know the total loss

Date DD/MM/YYYY.





date.


Always editable.

P2-S4-

53a



corrected.


progressing.


fails.

P2-S4-

59

Y Has the reportable situation impacted your

ability to continue to (as relevant) provide the

financial services you provide generally under

Radio

buttons

Yes/No Read only if form state =



your AFS licence and/or engage in the credit

activities you engage in generally under your

credit licence – or will it if the breach occurs?


incomplete.

P2B-S4A – Extent/impact

Control

ID


type


control values


P2B-

S4A

-- Extent/impact Sub page Show if P1-S1-0b = Providing


P2B-

S4A-0

-- Number of instances Section Show if P2-S1A-6 = A (has

breached)


breached).

Always editable.

P2B-

S4A-1







Information

callout

Show if P2-S1A-9 = No


P2B-

S4A-3

-- If 100 customers were each charged an

erroneous fee, then the total number of

instances of the event is 100. If 100 customers

were each charged two erroneous fees, then the

total number of instances of the event is 200.

Information

callout

P2B-

S4A-2

Y Specify the total number of instances of the

event that relate to the breach

Textbox Numeric.



P2B-

S4A-2a

-- Previous similar breach events/likely breach

events

Section Read only if form state =




incomplete.

P2B-

S4A-4

Y Have any similar events (that do not form part

of this report) previously occurred?

Radio

buttons

Yes/No

If Yes, show P2B-S4A-6 and

P2B-S4A-7.

P2B-

S4A-6

Y Specify the number of previous similar events Textbox Numeric.




P2B-

S4A-7

Y Were any of these events reported to ASIC? Radio

buttons

Yes/No Show if P2B-S4A-4 = Yes.

P2B-

S4A-11

-- Client impact Section Read only if form state =




incomplete.

P2B-

S4A-18

Y Has the breach affected any clients – or (where

relevant) are there likely to be any clients

affected if the breach does occur?

Radio

buttons

Yes/No/Not known

If Yes, show P2B-S4A-19,

P2B-S4A-20, P2B-S4A-28b

and P2B-S5A-10da – and may

show P2B-S4A-18b.

If Not known, show P2B-S4A-

18aa or P2B-S4A-25.

P2B-

S4A-

18aa





progressing.

Show if P2B-S4A-18 = Not

known and P2-S1A-9 = Yes


P2B-

S4A-

18b

-- If you are unsure about the number of affected

clients, provide a best estimate.

Information

callout

Show if P2B-S4A-18 = Yes and

P2-S1A-7 = No (likely breach).

P2B-

S4A-19

Y Specify the total number of clients the breach

affects – or will likely affect if the breach does

occur (if the investigation is not yet complete

this can be an estimate)

Textbox Numeric.




P2B-

S4A-20


buttons

Yes/No


P2B-S4A-22.


P2-S1A-9 = No (investigation

incomplete).

Hide if P2-S1A-7 = No (likely

breach).

P2B-

S4A-21


number of clients affected – or the number of

clients that will likely be affected if the breach

does occur?

Radio

buttons

Yes/No



P2B-

S4A-22







Information

callout


P2B-

S4A-23



affected

Date DD/MM/YYYY.





date.


P2B-

S4A-

23a



corrected.


progressing.

Show if validation at P2B-

S4A-23 fails.

P2B-

S4A-25

Y Are you taking steps to identify if the breach has

affected any clients – or will likely affect clients

if the breach does occur?

Radio

buttons

Yes/No


P2B-S4A-27.


known and P2-S1A-9 = No


P2B-

S4A-26







Information

callout


P2B-

S4A-27



affected

Date DD/MM/YYYY.





date.


P2B-

S4A-

27a



corrected.


progressing.


S4A-27 fails.

P2B-

S4A-

28b

-- Client loss Section Show if P2B-S4A-18 = Yes.

P2B-

S4A-33

Y Have any clients suffered a financial loss

because of the breach – or are any clients likely

to suffer financial loss if the breach does occur?

Radio

buttons

Yes/No/Not known

If Yes, show P2B-S4A-34,

P2B-S4A-35 and P2B-S5A-0.

If Not known, show P2B-S4A-

33aa or P2B-S4A-39.





incomplete.

P2B-

S4A-

33aa





progressing.


known and P2-S1A-9 = Yes


P2B-

S4A-34

Y Specify the total financial loss to affected clients

(A$ – if the investigation is not yet complete this

can be an estimate)







P2B-

S4A-35


buttons

Yes/No




incomplete).


breach).



P2B-

S4A-36


financial loss to affected clients?

Radio

buttons

Yes/No


P2B-S4A-38.


Always editable.

P2B-

S4A-37







Information

callout


P2B-

S4A-38


know the total loss

Date DD/MM/YYYY.





date.


Always editable.

P2B-

S4A-

38a



corrected.


progressing.


S4A-38 fails.

P2B-

S4A-39

Y Are you taking steps to identify if any clients

have suffered a financial loss because of the

breach – or are likely to suffer a financial loss if

the breach occurs?

Radio

buttons

Yes/No


P2B-S4A-41.


known and P2-S1A-9 = No


Always editable.

P2B-

S4A-40







Information

callout


P2B-

S4A-41


be able to identify the total amount of financial

loss clients suffered

Date DD/MM/YYYY.





date.


Always editable.

P2B-

S4A-

41a



corrected.


progressing.


S4A-41 fails.

P2B-

S4A-

42a

-- Licensee impact Section

P2B-

S4A-48

Y Have you suffered any financial loss because of

the breach – or are you likely to suffer any

financial loss if the breach does occur?

Radio

buttons

Yes/No/Unknown/Not

material


P2B-S4A-51.

If Unknown, may show P2B-

S4A-48aa.





incomplete.

P2B-

S4A-

48aa

-- You cannot select ‘Unknown’ if the investigation

is complete. To proceed with this transaction

you must select another option.


progressing.

Show if P2B-S4A-48 =

Unknown and P2-S1A-9 = Yes


P2B-

S4A-49

-- Examples of financial loss you could suffer

include you:

• being entitled to fees and/or charges that

were not collected/received

• paying out on invalid claims or over paying

these claims.

Information

callout

P2B-

S4A-50

Y Specify your financial loss (A$ – if the

investigation is not yet complete this can be an

estimate)





Always editable.

P2B-

S4A-51


buttons

Yes/No




incomplete).


breach).

Always editable.

P2B-

S4A-52

Y Are you taking steps to identify your total

financial loss?

Radio

buttons

Yes/No


P2B-S4A-54.

Show if P2B-S4A-51= Yes.

Always editable.

P2B-

S4A-54



encourage you to provide a best estimate where

the timeframe is unknown. You can provide an


Information

callout


P2B-

S4A-53


know the total loss

Date DD/MM/YYYY.



Always editable.




date.

P2B-

S4A-

53a



corrected.


progressing.


S4A-53 fails.

P2B-

S4A-57

Y Has the breach impacted your ability to

continue to provide the financial services you

provide generally under your AFS licence – or

will it if the breach occurs?

Radio

buttons

Yes/No Read only if form state =




incomplete.

P2B-S5 – Remediation/rectification

Control

ID


type


control values


P2B-S5 -- Remediation/rectification Sub page Show if P2-S4-33 is populated

(client loss/no known client

loss but client impact) and any

of the following apply:

• P2-S1-3 includes A (has

breached)


breached)

• P2-S1-14 = A (has

breached)

• P2-S1-17 = Yes (has

breached)

• P2-S1-2 includes B

(negligence)

• P2-S1-10 includes C

(negligence)

• P2-S1-15 includes A

(negligence)

• P2-S1-2 includes C (fraud)

• P2-S1-10 includes D

(fraud)


(fraud)

OR if P2-S4-18 = Yes (client

impact) and any of the

following apply:

• P2-S1-3 includes B (likely

breach) and P2-S1-17 =

NOT Yes

• P2-S1-17 = No (likely

breach)

OR if P2-S1-6 = Yes

(investigation complete initial)

and any of the following apply:


breached)

• P2-S1-17 = Yes (has

breached)

• P2-S1-3 includes B (likely

breach) and P2-S1-17 =

NOT Yes


(negligence)





following apply:


breached)


breached)

• P2-S1-14 = A (has

breached)

• P2-S1-17 = Yes (has

breached)

• P2-S1-17 = No (likely

breach)


(negligence)

• P2-S1-10 includes C

(negligence)

• P2-S1-15 includes A

(negligence)


• P2-S1-10 includes D

(fraud)


(fraud).

P2-S5-0 -- Compensation Section Show if P2-S4-33 = Yes (client

loss).





OR if P2-S1-10 = B only and P2-

S1-17 = No (likely breach).

Always editable.

P2-S5-1 Y Have you compensated – or attempted to

compensate – all clients who have suffered a

loss?

Radio

buttons

Yes/No







update).

P2-S5-2 Y When did you finalise your compensation to

clients?

Date DD/MM/YYYY.



P2-S5-3 Y Have you started your compensation to

clients?

Radio

buttons

Yes/No


4a and P2-S5-5.



OR if P2-S1-6 = No


initial) and P2-S1-7b = NOT Yes


update).

P2-S5-4 Y When did you start your compensation to

clients?

Date DD/MM/YYYY.



P2-S5-

4a


your remediation process may be ongoing. We

encourage you to provide best estimates

where actual numbers or timeframes are

unknown. You can provide an update once

more information is known.

Information

callout


P2-S5-5 Y When do you expect to finalise compensating

clients?

Date DD/MM/YYYY.


Validation: When user tries

to submit transaction check

this date is later than the

current date.


P2-S5-

5a

-- The date you provide must be in the future.


this is corrected.


progressing.


fails.

P2-S5-6 Y Do you intend to compensate clients? Radio

buttons

Yes/No

If Yes, show P2-S5-8, P2-S5-7

and P2-S5-9.


P2-S5-8 -- If no exact date is known at this time, provide

us with a date by which you expect to

commence and finalise compensating clients.

Information

callout


P2-S5-7 Y When do you expect to start compensating

clients?

Date DD/MM/YYYY.





current date.


P2-S5-

7a



this is corrected.


progressing.


fails.

P2-S5-9 Y When do you expect to finalise compensating

clients?

Date DD/MM/YYYY.





current date.


P2-S5-

9a



this is corrected.


progressing.


fails.

P2-S5-

10a

Y Specify the total dollar amount you have paid

in compensation to clients to date (A$)




P2-S5-

10b

Y Specify the total dollar amount you paid in

compensation to clients (A$)




P2-S5-

10c

Y Specify the number of clients you have

compensated to date

Textbox Numeric.



P2-S5-

10d

Y Specify the number of clients you compensated Textbox Numeric.



P2-S5-

10da

-- Remediation Section Show if P2-S4-18 = Yes (client

impact).

Always editable.

P2-S5-

10e

Y Have you provided any of the following to

clients – or arranged for any of these to be

provided (you can select more than one)?


List values:

• Apology

• Full/partial waiver of

debt/interest/fees

• Financial compensation

• Removal of credit report

notification

• Ceased court action

• Gifted goods the subject

of a lease or mortgage

• Capitalisation of arrears

• Repayment arrangement

• Hardship relief

• Timeframe for refinance

• Timeframe for

sale/surrender of asset

• Hardship

superannuation release

• Policy/contract

altered/voided/cancelled

• Other product, service or

resolution

• None of the above

provided/arranged

P2-S5-

10f

-- Rectification Section Show if P2-S1-3 includes A (has




breached) and P2-S1-7b = Yes


update)




update)




update)







update).


Remediation incomplete.

P2-S5-

12

-- We do not consider a breach is ‘rectified’ until

you have completely rectified the breach. If

Information

callout

you have rectified some, but not all of the

components that caused the breach, then you

should answer ‘No’ to this question.

P2-S5-

11

Y Have you rectified the breach? Radio

buttons

Yes/No

If Yes, show P2-S5-13 and

P2-S5-20.


P2-S5-

13

Y Date you rectified the breach Date DD/MM/YYYY.


Show if P2-S5-11= Yes.

P2-S5-

14

Y Is there a plan for rectifying the breach? Radio

buttons

Yes/No


P2-S5-20.



P2-S5-

15

Y When do you expect to complete the

rectification?

Date DD/MM/YYYY.





current date.


P2-S5-

15a



this is corrected.


progressing.


fails.

P2-S5-

16

Y Are you/will you be preparing a plan for

rectifying the breach?

Radio

buttons

Yes/No


P2-S5-17.


P2-S5-

18


your rectification process may be ongoing. We



Information

callout




P2-S5-

17

Y When do you expect to complete the plan for


Date DD/MM/YYYY.





current date.


P2-S5-

17a



this is corrected.


progressing.


fails.

P2-S5-

20

Y How was the rectification achieved or how do

you intend to achieve the rectification?

Combobox Allow multi-select.

List values:

27A. Staff training –

regulatory

27B.Staff training – internal

policy and procedures

27C.Staff consequence

management (i.e. adverse

performance ratings,

additional mandatory

training or supervision,

official warning, transfer,

termination)

27CA. Management changes

27D.Process change

27E.System change

27F.Product change

27G.Product

withdrawn/closed


OR P2-S5-14 = Yes.

27H.Updated disclosure

27I.Communication to clients

27J.Communication to staff

27K.Financial compensation

to clients

27L.Engagement of external

consultants or change in

external consultants

27M.No changes

recommended

27N.Changes recommended

but not yet completed

27O.Changes recommended

but not yet commenced

27P.Other

If Other, show P2-S5-21 and

P2-S5-21aa.

P2-S5-

21

Y Provide further details Textbox Alphanumeric.

Two lines.


Show if P2-S5-20 = Other.

P2-S5-

21aa


control

Class: help-text. Show if P2-S5-20 = Other.

P2-S5-

23a

-- Preventative measures Section Show if P2-S1-6 = Yes




update).





OR if P2-S1-10 = B only and P2-

S1-17 = No (likely breach).

Always editable.

P2-S5-

24

Y Have you undertaken preventative measures

to prevent future similar reportable situations

from occurring?

Radio

buttons

Yes/No/Not relevant


P2-S5-

26

Y Do you intend to undertake preventative

measures?

Radio

buttons

Yes/No


P2-S5-28.


P2-S5-

29


your process for taking preventative measures

may be ongoing. We encourage you to provide

best estimates where actual numbers or

timeframes are unknown. You can provide an


Information

callout


P2-S5-

28

Y When do you expect to implement the

preventative measures?

Date DD/MM/YYYY.





current date.


P2-S5-

28a



this is corrected.


progressing.


fails.

P2-S5-

31aaa

-- Addressed inability to comply Section Show if P2-S1-3 includes B and








update)







update).



P2-S5-

31aa

Y Have you completely addressed your inability

to comply with the core obligation?

Radio

buttons

Yes/No

If No, show P2-S5-31a.

P2-S5-

31a

Y Are you taking measures to address your

inability to comply with the core obligation?

Radio

buttons

Yes/No

If Yes, show P2-S5-31e and

P2-S5-31f.

If No, show P2-S5-31c.

Show if P2-S5-31aa = No.

P2-S5-

31c

Y Do you intend to take measures to address

this?

Radio

buttons

Yes/No

If Yes, show P2-S5-31e and

P2-S5-31f.

Show if P2-S5-31a = No.

P2-S5-

31e




where timeframes are unknown. You can

Information

callout

Show if P2-S5-31a = Yes

OR if P2-S5-31c = Yes.

provide an update once more information is

known.

P2-S5-

31f

Y When do you expect to have completed

addressing your inability to comply with the

core obligation?

Date DD/MM/YYYY.





current date.

Show if P2-S5-31a = Yes

OR if P2-S5-31c = Yes.

P2-S5-

31fa



this is corrected.


progressing.

Show if validation at P2-S5-31f

fails.

P2B-S5A – Remediation/rectification

Control

ID


type


control values


P2B-

S5A

-- Remediation/rectification Sub page Show if P2B-S4A-33 is

populated (client loss/no client

loss but client impact) and any

of the following apply:

• P2-S1A-6 = A (has

breached)

• P2-S1A-7 = Yes (has

breached)

OR if P2B-S4A-18= Yes (client

impact) and P2-S1A-7 = No

(likely breach)

OR if P2-S1A-9 = Yes


P2B-

S5A-0

-- Compensation Section Show if P2B-S4A-33 = Yes

(client loss).


breach).



P2B-

S5A-1

Y Have you compensated all clients who have

suffered a loss?

Radio

buttons

Yes/No





P2B-

S5A-2

Y When did you finalise your compensation to

clients?

Date DD/MM/YYYY.



P2B-

S5A-3

Y Have you started your compensation to

clients?

Radio

buttons

Yes/No

If Yes, show P2B-S5A-4, P2B-

S5A-4a and P2B-S5A-5.


Show if P2B-S5A-1 = No

OR if P2-S1A-9 = No


P2B-

S5A-4

Y When did you start your compensation to

clients?

Date DD/MM/YYYY.



P2B-

S5A-4a


your remediation process may be ongoing. We





Information

callout


P2B-

S5A-5

Y When do you expect to finalise compensating

clients?

Date DD/MM/YYYY.





current date.


P2B-

S5A-5a



this is corrected.


progressing.


31f fails.

P2B-

S5A-6

Y Do you intend to compensate clients? Radio

buttons

Yes/No

If Yes, show P2B-S5A-8, P2B-

S5A-7 and P2B-S5A-9.


P2B-

S5A-8

-- If no exact date is known at this time, provide

us with a date by which you expect to

commence and finalise compensating clients.

Information

callout


P2B-

S5A-7

Y When do you expect to start compensating

clients?

Date DD/MM/YYYY.






current date.

P2B-

S5A-9

Y When do you expect to finalise compensating

clients?

Date DD/MM/YYYY.





current date.


P2B-

S5A-9a



this is corrected.


progressing.

Show if validation at P2B-S5A-7

or P2B-S5A-9 fails.

P2B-

S5A-

10a

Y Specify the total dollar amount you have paid

in compensation to clients to date (A$)




P2B-

S5A-

10b

Y Specify the total dollar amount you paid in

compensation to clients (A$)




P2B-

S5A-10c

Y Specify the number of clients you have

compensated to date

Textbox Numeric.



P2B-

S5A-

10d

Y Specify the number of clients you compensated Textbox Numeric.



P2B-

S5A-

10da

-- Remediation Section Show if P2B-S4A-18 = Yes

(client impact).

Always editable.

P2B-

S5A-

10e

Y Have you provided any of the following to

clients – or arranged for any of these to be

provided (you can select more than one)?


List values:

• Apology

• Full/partial waiver of

debt/interest/fees

• Financial compensation

• Removal of credit report

notification

• Ceased court action

• Gifted goods the subject

of a lease or mortgage

• Capitalisation of arrears

• Repayment arrangement

• Hardship relief

• Timeframe for refinance

• Timeframe for

sale/surrender of asset

• Hardship

superannuation release

• Policy/contract

altered/voided/cancelled

• Other product, service or

resolution

• None of the above

provided/arranged

P2B-

S5A-10f

-- Rectification Section Show if P2-S1A-6 = A (has

breached) and P2-S1A-9 = Yes

(investigation complete)


breached) and P2-S1A-9 = Yes




P2B-

S5A-12

-- We do not consider a breach is ‘rectified’ until

you have completely rectified the breach. If

you have rectified some, but not all of the

components that caused the breach, then you

should answer ‘No’ to this question.

Information

callout

P2B-

S5A-11

Y Have you rectified the breach? Radio

buttons

Yes/No


P2B-S5A-20.


P2B-

S5A-13

Y Date you rectified the breach Date DD/MM/YYYY.


Show if P2B-S5A-11= Yes.

P2B-

S5A-14

Y Is there a plan for rectifying the breach? Radio

buttons

Yes/No


P2B-S5A-20.



P2B-

S5A-15

Y When do you expect to complete the

rectification?

Date DD/MM/YYYY.





current date.


P2B-

S5A-

15a



this is corrected.


progressing.


15 fails.

P2B-

S5A-16

Y Are you/will you be preparing a plan for


Radio

buttons

Yes/No


P2B-S5A-17.


P2B-

S5A-18







Information

callout


P2B-

S5A-17

Y When do you expect to complete the plan for


Date DD/MM/YYYY.





current date.


P2B-

S5A-

17a



this is corrected.


progressing.


17 fails.

P2B-

S5A-20

Y How was the rectification achieved or how do

you intend to achieve the rectification?

Combobox Allow multi-select.

List values:

27A. Staff training –

regulatory

27B.Staff training – internal

policy and procedures

27C.Staff consequence

management (i.e. adverse

performance ratings,

additional mandatory

training or supervision,

Show if P2B-S5A-11 = Yes

OR P2B-S5A-14 = Yes.

official warning, transfer,

termination)

27CA. Management changes

27D.Process change

27E.System change

27F.Product change

27G.Product

withdrawn/closed

27H.Updated disclosure

27I.Communication to clients

27J.Communication to staff

27K.Financial compensation

to clients

27L.Engagement of external

consultants or change in

external consultants

27M.No changes

recommended

27N.Changes recommended

but not yet completed

27O.Changes recommended

but not yet commenced

27P.Other

If Other, show P2B-S5A-21

and P2B-S5A-21aa.

P2B-

S5A-21

Y Provide further details Textbox Alphanumeric.

Two lines.


Show if P2B-S5A-20 = Other.

P2B-

S5A-

21aa


control

Class: help-text. Show if P2B-S5A-20 = Other.

P2B-

S5A-

23a

-- Preventative measures Section Show if P2-S1A-9 = Yes



breach).

Always editable.

P2B-

S5A-24

Y Have you undertaken preventative measures

to prevent future similar breaches from

occurring?

Radio

buttons

Yes/No/Not relevant


P2B-

S5A-26

Y Do you intend to undertake preventative

measures?

Radio

buttons

Yes/No


P2B-S5A-29.


P2B-

S5A-29


your process for taking preventative measures

may be ongoing. We encourage you to provide

best estimates where actual numbers or

timeframes are unknown. You can provide an


Information

callout


P2B-

S5A-28

Y When do you expect to implement the

preventative measures?

Date DD/MM/YYYY.





current date.


P2B-

S5A-

28a



this is corrected.


progressing.


28 fails.

P2B-

S5A-

31aaa

-- Addressed inability to comply Section Show if P2-S1A-7 = No (likely

breach) and P2-S1A-9 = Yes




P2B-

S5A-

31aa

Y Have you completely addressed your inability

to comply with the core obligation?

Radio

buttons

Yes/No

If No, show P2B-S5A-31a.

P2B-

S5A-

31a

Y Are you taking measures to address your

inability to comply with the core obligation?

Radio

buttons

Yes/No

If Yes, show P2B-S5A-31e

and P2B-S5A-31f.

If No, show P2B-S5A-31c.

Show if P2B-S5A-31aa = No.

P2B-

S5A-31c

Y Do you intend to take measures to address

this?

Radio

buttons

Yes/No

If Yes, show P2B-S5A-31e

and P2B-S5A-31f.

Show if P2B-S5A-31a = No.

P2B-

S5A-

31e




where timeframes are unknown. You can

provide an update once more information is

known.

Information

callout

Show if P2B-S5A-31a = Yes

OR if P2B-S5A-31c = Yes.

P2B-

S5A-31f

Y When do you expect to have completed

addressing your inability to comply with the

core obligation?

Date DD/MM/YYYY.





current date.

Show if P2B-S5A-31a = Yes

OR if P2B-S5A-31c = Yes.

P2B-

S5A-

31fa



this is corrected.


progressing.


31f fails.

P2B-S6 – Status of reportable situation event

Control

ID


type


control values


P2B-S6 -- Status of reportable situation event Sub page Hide.

P2-S6-1 -- Status of reportable situation event Hidden

field

Calculate the status based on

the responses in the form

(see instructions against

individual controls or the

summary in section 3.2 of this

document).

List values:

• Complete

• Investigation

incomplete

• Remediation

incomplete

• Rectification

incomplete

• Remediation and

rectification incomplete

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