Information to be provided or relating to a person applying for enrollment

Part A – Enrolment details – the information to be provided by a person applying for enrolment pursuant to section 51E of the AML/CTF Act

  1. The name of the person;
  2. The business name(s) under which the person is carrying on a business, or proposes to carry on a business, of providing a designated service;
  3. A description of whether the person is operating as an individual, company, partnership, trust or through any other legal structure;
  4. A description of whether the person:

(a)       provides a designated service at or through a permanent establishment in Australia;

(b)       is a resident of Australia and the designated service is provided at or through a permanent establishment of the person in a foreign country; or

(c)       is a subsidiary of a company that is a resident of Australia and the designated service is provided at or through a permanent establishment of the person in a foreign country;

  1. The designated service or services which the person provides or proposes to provide;
  2. The date on which the person commenced to provide or proposes to provide, designated services;
  3. A description of the business carried on by the person;
  4. The address of the registered office of the person (if applicable);
  5. The full street address of the person’s principal place of business at which the person provides or proposes to provide a designated service, not being a branch of that person;
  6. The postal address of the person (if applicable);
  7. In regard to the registration of a business carrying on a business, or proposing to carry on a business, of providing a designated service, the following, if applicable:

(a)       the ACN;

(b)       the ARBN;

(c)       the ABN;

(d)       the Australian financial services licence number;

(e)       the Australian credit licence number;

(f)        the foreign equivalent of the ACN, ABN, ARBN, AFSL or Australian credit licence number, together with the country in which the number was issued;

  1. The person’s telephone number at its principal place of business;
  2. The person’s facsimile number at its principal place of business (if applicable);
  3. The person’s email address at its principal place of business (if applicable);
  4. The person’s website address (if applicable);
  5. The full name and business address (not being a post box address), and, where applicable, any business registration number(s) of:

(a)        if the person is an individual – that individual;

(b)       if the person comprises a partnership –the full name and address (not being a post box address) of each partner of the partnership; or

(c)       if the person is a trust –the name of each trustee;

  1. If the person provides the item 31, 32 and 32A designated services in table 1 of subsection 6(2) of the AML/CTF Act, whether the person provides those designated services as a:

(a)        remittance network provider;

(b)       an independent remittance dealer; or

(c)        a remittance affiliate of a registered remittance network provider;

  1. Whether the person has any obligations under the Financial Transaction Reports Act 1988, and if so, the details of those obligations;
  2. Whether the person is a related body corporate to a reporting entity;
  3. If applicable, in respect of the ultimate holding company of the group of related bodies corporate of which the person is a member:

(a)       the name of the ultimate holding company;

(b)       the ACN;

(c)       the ARBN;

(d)       the ABN;

(e)       the Australian financial services licence number;

(f)        the Australian credit licence number;

(g)       the foreign equivalent of the ACN, ABN, ARBN, AFSL or Australian credit licence number, together with the country in which the number was issued;

(h)       the address (not being a post box address);

  1. The earnings of the person for a year ending in the financial year immediately preceding the census day, if the circumstances described below apply:

Note:   If an earnings figure is required to be provided it may need to be updated each year as required by the AML/CTF Rules made under section 51F of the AML/CTF Act which deal with the requirement to update ‘enrolment details’.

When earnings details have to be provided

(a)      that entity is not part of a group of leviable entities and has earnings equal to or greater than $100,000,000; or

(b)      that entity is part of a group of leviable entities where the total earnings of the group of leviable entities is equal to or greater than $100,000,000; or

(c)      that entity is a foreign company or a subsidiary of a foreign company and is not part of a group of leviable entities and the earnings of the entity derived from operations in Australia is equal to or greater than $100,000,000; or

(d)      that entity is part of a group of leviable entities where one or more entities is a foreign company or a subsidiary of a foreign company (‘foreign leviable entity’) and the total earnings of all of the foreign leviable entities from operations in Australia is:

(i)         equal to or greater than $100,000,000;

or

(ii)          (A)       less than $100,000,000; and

(B)       the total earnings of the foreign leviable entity or entities from operation in Australia and the total earnings of all other leviable entities in the group is equal to or greater than $100,000,000;

comprising:

(e)        where the person is an ADI or a Registered Financial Corporation, and is not a foreign company:

(i)        the total profit before tax, depreciation and amortisation (PBTDA), not adjusted for significant items; or

(f)        where the person is a member of a group of leviable entities and any member of that group is an ADI or a Registered Financial Corporation, and the person is not a foreign company:

(i)        the PBTDA, not adjusted for significant items; or

(g)        where the person is an ADI or a Registered Financial Corporation, and the person is a foreign company:

(i)        the PBTDA, not adjusted for significant items derived from its operations in Australia; or

(h)       where the person is a member of a group of leviable entities and any member of that group is an ADI or a Registered Financial Corporation, and the person is a foreign company:

(i)        the PBTDA, not adjusted for significant items derived from its operations in Australia; or

(i)        where the person is not an ADI or a Registered Financial Corporation, and is not a foreign company:

(i)        the total earnings before tax, interest, depreciation and amortisation (EBITDA), not adjusted for significant items; or

(j)        where the person is a member of a group of leviable entities and none of the members is an ADI or a Registered Financial Corporation, and the person is not a foreign company:

(i)        the EBITDA, not adjusted for significant items; or

(k)       where the person is not an ADI or a Registered Financial Corporation, and is a foreign company:

(i)        the EBITDA, not adjusted for significant items derived from its operations in Australia; or

(l)        where the person is a member of a group of leviable entities and none of the members is an ADI or a Registered Financial Corporation, and the person is a foreign company:

(i)        the EBITDA, not adjusted for significant items derived from its operations in Australia;

  1. The billing address of the person;
  2. The business contact details of the AML/CTF Compliance Officer of the person, comprising:

(a)        full name;

(b)       position or title;

(c)        date of birth (optional);

(d)       telephone number;

(e)        facsimile number (if applicable);

(f)        email address; and

(g)        postal address;

  1. The business contact details of the individual completing the application for enrolment, comprising:

(a)        full name;

(b)       position or title;

(c)        date of birth (optional);

(d)       telephone number;

(e)        facsimile number (if applicable);

(f)        email address; and

(g)        postal address;

  1. The business contact details of the individual, if different from the AML/CTF Compliance Officer, relevant to matters relating to the levy, comprising:

(a)        full name;

(b)       position or title;

(c)        date of birth (optional);

(d)       telephone number;

(e)        facsimile number (if applicable);

(f)        email address; and

(g)        postal address;

  1. Whether the person is exempt from Part 7 of the AML/CTF Act in full;
  2. Whether the person has fewer than 5 employees.
  3. Where the person is a remittance affiliate; and,

(a)        provided a designated service or services only in the capacity of a remittance affiliate; and

(b)       did not provide a designated service in any other capacity;

that person is not required to provide the information in regard to an application for enrolment specified at,

(c)        paragraphs 19, 20, 21, 22, 25, 26 and 27.

  1. Where the person is exempt from Part 7 of the AML/CTF Act in full, that person is not required to provide the information in regard to an application for enrolment specified at,

(a)        paragraphs 19, 20, 21, 22, 25, and 27.

Part B – Information to be obtained and retained by a person applying for the enrolment pursuant to subsection 51C(4) of the AML/CTF Act

  1. The annual financial statements of the person relating to the most recent financial year before the census day, unless the person is:

(a)        a remittance affiliate that provided a designated service or services only in the capacity of a remittance affiliate and did not provide a designated service in any other capacity;

or

(b)       a person exempt from Part 7 of the AML/CTF Act in full.

If the person is a company

  1. domestic company:

(a)        if the company is registered as a proprietary company, the name of each director of the company;

  1. registered foreign company:

(a)        the country in which the company was formed, incorporated or registered;

(b)       whether the company is registered by the relevant foreign registration body; and

(c)        the name of each director of the company;

  1. unregistered foreign company:

(a)        the country in which the company was formed, incorporated or registered;

(b)       whether the company is registered by the relevant foreign registration body; and if so:

(i)        the full address of the company in its country of formation, incorporation or registration as registered; and

(ii)       the name of each director of the company;

(c)        if the company is not registered by the relevant foreign registration body, the full address of the principal place of business of the company in its country of formation or incorporation;

If the person is an association (incorporated)

  1.      (a) the full names of the office holders, including the chairman, secretary and treasurer or equivalent officer in each case of the association; and

(b)       the full names of any members of the governing committee (howsoever described);

If the person is an association (unincorporated)

  1.      (a) the full names of the office holders, including the chairman, secretary and treasurer or equivalent officer in each case of the association; and

(b)       the full names of any members of the governing committee (howsoever described);

If the person is a registered co-operative

  1. the full names of the office holders, including the chairman, secretary or treasurer or equivalent officer in each case of the co-operative;

If the person is a government body

  1. whether the government body is an Australian government entity;
  2. whether the government body is established under legislation of a foreign country and the name of that country;

For applications for enrolment made by an agent of the person

  1. the original or certified copy of the agreement or authority between the agent and the person for the duration of that agreement or authority.
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