| ARF_550_0: Banking Executive Accountability Regime - Registration Form | ||||||||||||||
| Effective date: 1 July 2018 | ||||||||||||||
| Australian Business Number | Institution Name | |||||||||||||
| Reporting Period | Scale Factor | |||||||||||||
| Reporting Consolidation | ||||||||||||||
| Solo Books | ||||||||||||||
| 1. Registration of accountable person under section 37HA of the Banking Act 1959 (the Act) and amendment of information or accountability statement for an accountable person | ||||||||||||||
| Activity date | Activity flag | Title | Given name(s) | Family name | Date of birth | Former name(s) | Position title | Employer name | Business phone number | Business email address | General principle and / or particular responsibilities | Ever disqualified under s.21 or s.37J, or subject of a direction under s.11CA or s.23? | If column 13 equals yes - provide details | Additional information |
| (1) | (2) | (3) | (4) | (5) | (6) | (7) | (8) | (9) | (10) | (11) | (12) | (13) | (14) | (15) |
| Registration | General principle | Yes | ||||||||||||
| Existing | Oversight of the ADI as a member of the ADI Board | No | ||||||||||||
| Amended details only | Management of the overall business activities of the ADI or ADI group | |||||||||||||
| Amended accountability statement only | Management of the financial resources of the ADI | |||||||||||||
| Amended details and accountability statement | Management of the overall risk controls and risk management of the ADI | |||||||||||||
| Cessation | Management of the operations of the ADI | |||||||||||||
| Withdrawn | Management of the information management of the ADI, including IT systems | |||||||||||||
| Management of the internal audit function of the ADI | ||||||||||||||
| Management of the compliance function of the ADI | ||||||||||||||
| Management of the human resources function of the ADI | ||||||||||||||
| Management of the anti-money laundering function of the ADI | ||||||||||||||
| Senior executive responsible for an Australian branch of a foreign ADI | ||||||||||||||
| 2. Amendment of accountability map and additional information | ||||||||||||||
| Accountability map provided? | ||||||||||||||
| 2.1. Is this registration form accompanied by an accountability map? | ||||||||||||||
| Yes | ||||||||||||||
| No | ||||||||||||||
| 2.1.1. Description of changes to accountability map | ||||||||||||||
| 2.1.2. Date of changes to accountability map | ||||||||||||||
| Any other documentation provided? | ||||||||||||||
| 2.2. Is this registration form accompanied by any other documentation? | ||||||||||||||
| Yes | ||||||||||||||
| No | ||||||||||||||
| 2.2.1. Description of any other documentation provided | ||||||||||||||
| Name of signee | Position title | |||||||||||||
| (1) | (2) | |||||||||||||
| 3. For the purposes of meeting the requirements of subsection 37HA(2)(c) of the Act, the ADI hereby declares that it is satisfied that the person is suitable to be an accountable person for the ADI | ||||||||||||||
| DECLARATION: | ||||||||||||||
| I declare I am authorised to provide this return and the information in this return is true and correct. | ||||||||||||||
