RG 20 Disclosure of convictions and proceedings
Issued 18 May 1992
This guide provides guidance on the scope of certain items relating to disclosure of legal or disciplinary proceedings to the following:
- applicants required to complete Corporations Regulations Form 701 for a dealer’s licence or an investment adviser’s licence under s782(1), or a futures broker’s licence or a futures adviser’s licence under s1144(1);
- holders of a dealer’s licence or an investment adviser’s licence required to complete Form 704 to notify a change in particulars under s790;
- holders and former holders of dealers’ licences and investment advisers’ licences required to make an annual statement under s791 by completion of Forms 705 or 706;
- holders of a futures brokers’ licence or a futures advisers’ licence required to complete Form 802A to notify a change in particulars under s1156;
- holders and former holders of futures brokers’ licences and futures advisers’ licences required to make an annual statement under s1157(1) by completion of Forms 803A or 803B;
- applicants for registration as auditors or liquidators under s1279(2) required to complete Forms 903A or 903B respectively; and
- registered auditors and liquidators required to lodge triennial statements under s1288 by completion of Forms 907 and 908 respectively.
It is not intended to be a comprehensive interpretation of the requirements of the Corporations Regulations.