Real Estate and Business Agents (General) Regulations 1979 (WA)
Western Australia
Real Estate and Business Agents Act 1978
Western Australia
Real Estate and Business Agents Act 1978
These regulations may be cited as the
(1) In these regulations, unless the contrary intention appears —
(a) the successful completion of the modules under regulation 6A(3)(a); or
(b) in 2021 — the successful completion of the modules under regulation 6A(3)(b); or
(c) an approved CPD activity;
(a) means an activity that relates to a CPD subject that is —
(i) delivered in person, electronically or by audio or audiovisual means; or
(ii) a recording;
and
(b) includes —
(i) a course of study; and
(ii) the successful completion of any assessment required by the activity;
(a) for an approved CPD activity — the point value approved by the Commissioner for the activity under regulation 4AC(1) or (2); or
(b) in any other case — 7 points;
(2) In these regulations a reference to the examinations required to be passed for the conferral of a particular degree or qualification is a reference to the examinations that are or were required to be passed for the conferral of that degree or qualification at any time when it is or was conferred.
(3) In these regulations a reference to a registered qualification, a training package or a module of a training package is a reference to a registered qualification, training package or module of a training package that is —
(a) recorded on the National Register on Vocational Education and Training managed by the Department of Education, Skills and Employment of the Commonwealth; and
(b) provided by a registered training provider.
For the purposes of section 4(4)(d) of the Act the prescribed duty is collecting a payment on behalf of the owner of premises from a person in respect of the right of that person to occupy the premises.
(1) The fees set out in Schedule 1 shall be payable in respect of the matters prescribed in that Schedule.
(2) If a certificate of registration is renewed in accordance with section 49 of the Act after the day on which the certificate expired, a late fee equal to one quarter of the fee specified in item 9 of Schedule 1 for the renewal of the certificate is payable in addition to that specified fee.
[(3) deleted]
(1) In this regulation —
(2) The holding fee is payable —
(a) on or before the day that is 60 days after the day on which a licensee ceases to hold a current triennial certificate in respect of their licence; and
(b) subsequently at 3‑year intervals on or before the day in that year that is 30 days after the anniversary of the day on which the licensee pays the holding fee under paragraph (a).
(3) The Commissioner may refund to a licensee —
(a) two‑thirds of the holding fee paid by the licensee if the licensee is granted a triennial certificate less than one year after paying the holding fee; or
(b) one‑third of the holding fee paid by the licensee if the licensee is granted a triennial certificate one year or more, but less than 2 years, after paying the holding fee.
(1) For the purposes of sections 40B and 50C of the Act, the prescribed educational requirements for a regulated person for a calendar year are that the person complete continuing professional development activities that —
(a) have a combined point value of at least 10 points; and
(b) include any mandatory CPD activities for the regulated person for the calendar year.
(2) A regulated person is taken to have complied with subregulation (1) for a calendar year if the person is —
(a) a licensee to whom both of the following apply —
(i) the licensee’s licence is granted between 1 October and 31 December of the calendar year;
(ii) the licensee completed a prescribed examination for the grant of the licence in the 12 months immediately before the day on which the licence is granted;
or
(b) a sales representative whose certificate of registration was granted between 1 October and 31 December of the calendar year; or
(c) a regulated person —
(i) to whom the Commissioner grants an exemption under regulation 4AB from all or part of the education requirements for the calendar year; and
(ii) who complies with the requirements of the exemption.
(3) If a regulated person commences an educational activity in a calendar year before the Commissioner’s approval of the activity as an approved CPD activity takes effect under regulation 4AC, the regulated person is taken not to have completed the activity for the purposes of subregulation (1).
(1) A regulated person (the
applicant ) may apply to the Commissioner for a total or partial exemption from the education requirements under regulation 4AA(1) for a calendar year.(2) The application for the exemption must —
(a) be made in the calendar year to which the application relates; and
(b) set out in sufficient detail —
(i) the exemption applied for, including whether the application is for a total or partial exemption; and
(ii) the basis upon which the exemption is being sought;
and
(c) otherwise be in the approved form.
(3) The Commissioner may grant the applicant the exemption if the Commissioner considers it appropriate to do so.
(4) Without limiting subregulation (3), the Commissioner may grant the applicant the exemption if, during the calendar year to which the application relates, the applicant —
(a) has a disability or is affected by illness or injury; or
(b) has undertaken other educational or professional activities; or
(c) would suffer undue hardship if required to comply with the educational requirements.
(5) The Commissioner may grant the exemption subject to conditions.
(6) The Commissioner must give the applicant a notice in writing setting out —
(a) the Commissioner’s decision on the application; and
(b) if the decision is to grant the exemption —
(i) whether the exemption is a total or partial exemption; and
(ii) if the exemption is a partial exemption — the educational requirements the applicant must comply with; and
(iii) any conditions to which the exemption is subject.
(1) Before 1 January of a calendar year, the Commissioner must —
(a) by written notice, approve educational activities as approved CPD activities for the year for —
(i) all regulated persons; or
(ii) particular regulated persons or classes of regulated persons;
and
(b) approve a point value for undertaking each approved CPD activity; and
(c) ensure that the approved CPD activities for each regulated person have a combined point value of at least 10 points.
(2) After 1 January of a calendar year, the Commissioner —
(a) may, by written notice, approve an educational activity as an approved CPD activity for the year for —
(i) all regulated persons; or
(ii) particular regulated persons or classes of regulated persons;
and
(b) must approve a point value for undertaking the approved CPD activity.
(3) The Commissioner may approve —
(a) an approved CPD activity for particular regulated persons or classes of regulated persons; and
(b) a different point value for an approved CPD activity for particular regulated persons or classes of regulated persons.
(4) The Commissioner may specify, by written notice, an approved CPD activity as a mandatory CPD activity for a calendar year for —
(a) all regulated persons; or
(b) particular regulated persons or classes of regulated persons.
(5) A written notice made under this regulation must —
(a) if the notice is made under subregulation (1) or (2) — set out the point value for undertaking each activity; and
(b) be published on a website maintained by the Commissioner; and
(c) specify the date on which the notice takes effect (which must not be a date earlier than the day on which the notice is published).
The Commissioner must maintain a list of continuing professional development activities on a website maintained by the Commissioner, including —
(a) the approved CPD activities for a calendar year for regulated persons; and
(b) the CPD subject to which each approved CPD activity relates; and
(c) any mandatory CPD activities approved for regulated persons for the calendar year; and
(d) the point value for each continuing professional development activity for regulated persons.
(1) For the purposes of section 48(1) and (2) of the Act, the prescribed period is 3 years.
(2) For the purposes of section 49(2) of the Act, the prescribed period is 3 years.
(1) The prescribed examinations for the purposes of Schedule 1 clause 1(a) of the Act are —
(a) the examinations required to be passed for the conferral by Curtin University of any of the following degrees or diplomas —
(i) Bachelor of Commerce (Property and Marketing);
(ii) Bachelor of Commerce (Property);
(iii) Bachelor of Commerce (Property and Finance);
(iv) Bachelor of Commerce (Property Development and Valuation);
(iva) Bachelor of Commerce (Property Development and Valuation Extension Major);
(v) Bachelor of Commerce (Property Valuation);
(vi) Master of Property;
(vii) Graduate Diploma in Property;
or
(b) the examinations required to be passed for the conferral of a Diploma of Property Services (Agency Management) registered qualification CPP50307; or
(c) the examinations required to be passed for the conferral of a Diploma of Property (Agency Management) registered qualification CPP51119, together with any additional examinations prescribed for the applicant under subregulation (2); or
(ca) the examinations required to be passed for the conferral of a Diploma of Property (Agency Management) registered qualification CPP51122, together with any additional examinations prescribed for the applicant under subregulation (2); or
(d) for an applicant who was a licensee and who ceased to be licensed under section 30(2a) of the Act, the examinations which were prescribed under regulation 6 of these regulations immediately before the commencement of the
Real Estate and Business Agents (General) Amendment Regulations 2003 .
(2) Additional examinations are prescribed for an applicant mentioned in subregulation (1)(c) or (ca) as shown in the Tables to this regulation according to the certificate of registration that the applicant holds.
Unrestricted certificate acquired by completing the qualification prescribed in regulation 6A(3)(a) | No additional examinations |
Any other unrestricted certificate | Either: 1. the examinations required to be passed for successful completion of modules from the CPP Property Services Training Package listed in Table 2 to this regulation as follows — (a) each of the modules indicated as mandatory in Column 1; (b) any 3 of the modules indicated as elective in Column 1; or 2. the examinations required to be passed for the conferral of a Certificate IV in Property Services (Real Estate) registered qualification CPP40307. |
Restricted certificate (property management) | Either: 1. the examinations required to be passed for successful completion of modules from the CPP Property Services Training Package listed in Table 2 to this regulation as follows — (a) each of the modules indicated as mandatory in Column 2; (b) any 3 of the modules indicated as elective in Column 2; or 2. the examinations required to be passed for the conferral of a Certificate IV in Property Services (Real Estate) registered qualification CPP40307. |
Restricted certificate (sales) | Either: 1. the examinations required to be passed for successful completion of modules from the CPP Property Services Training Package which would be the prescribed qualification under regulation 6A(3)(a) if the applicant were applying for an unrestricted certificate; or 2. the examinations required to be passed for the conferral of a Certificate IV in Property Services (Real Estate) registered qualification CPP40307. |
No certificate of registration | The examinations required to be passed for successful completion of modules from the CPP Property Services Training Package which would be the prescribed qualification under regulation 6A(3)(a) if the applicant were applying for an unrestricted certificate. |
CPPREP4005 | Mandatory | Mandatory |
CPPREP4103 | Not accepted | Mandatory |
CPPREP4104 | Not accepted | Mandatory |
CPPREP4105 | Not accepted | Mandatory |
CPPREP4121 | Mandatory | Not accepted |
CPPREP4122 | Mandatory | Not accepted |
CPPREP4123 | Mandatory | Not accepted |
CPPREP4124 | Mandatory | Not accepted |
CPPREP4125 | Mandatory | Mandatory |
CPPREP4102 | Elective | Elective |
CPPREP4201 | Elective | Elective |
CPPREP4202 | Elective | Elective |
CPPREP4203 | Elective | Elective |
CPPREP4204 | Elective | Elective |
CPPREP5201 | Elective | Elective |
(1) For a person who applies for a restricted certificate (property management), the prescribed qualification for the purposes of section 47(2) of the Act is —
(a) if the application is made on or before 30 September 2021, the successful completion of each of the modules from the CPP07 Property Services Training Package indicated as mandatory in Column 1 of Table 1 to this regulation; or
(b) the successful completion of each of the modules from the CPP Property Services Training Package indicated as mandatory in Column 2 of Table 2 to this regulation.
(2) For a person who applies for a restricted certificate (sales), the prescribed qualification for the purposes of section 47(2) of the Act is the successful completion of modules from the CPP Property Services Training Package listed in Table 2 to this regulation as follows —
(a) each of the modules indicated as mandatory in Column 1;
(b) any 3 of the modules indicated as elective in Column 1.
(3) For a person who applies for an unrestricted certificate, the prescribed qualification for the purposes of section 47(2) of the Act is the successful completion of —
(a) modules from the CPP Property Services Training Package listed in Table 2 to this regulation as follows —
(i) each of the modules indicated as mandatory in Column 3;
(ii) any 3 of the modules indicated as elective in Column 3;
or
(b) if the application is made on or before 30 September 2021 — each of the modules from the CPP07 Property Services Training Package indicated as mandatory in Column 2 of Table 1 to this regulation.
Applicants for restricted certificate (property management) | Applicants for unrestricted certificate | |
CPPDSM4003A | Not accepted | Mandatory |
CPPDSM4007A | Mandatory | Mandatory |
CPPDSM4008A | Not accepted | Mandatory |
CPPDSM4010A | Mandatory | Not accepted |
CPPDSM4011A | Mandatory | Not accepted |
CPPDSM4012A | Not accepted | Mandatory |
CPPDSM4013A | Mandatory | Not accepted |
CPPDSM4014A | Not accepted | Mandatory |
CPPDSM4016A | Mandatory | Not accepted |
CPPDSM4022A | Not accepted | Mandatory |
CPPDSM4080A | Mandatory | Mandatory |
Applicants for restricted certificate (sales) | Applicants for restricted certificate (property management) | Applicants for unrestricted certificate | |
CPPREP4001 | Mandatory | Mandatory | Mandatory |
CPPREP4002 | Mandatory | Mandatory | Mandatory |
CPPREP4003 | Mandatory | Mandatory | Mandatory |
CPPREP4004 | Mandatory | Mandatory | Mandatory |
CPPREP4005 | Mandatory | Mandatory | Mandatory |
CPPREP4101 | Mandatory | Mandatory | Mandatory |
CPPREP4102 | Mandatory | Mandatory | Mandatory |
CPPREP4103 | Mandatory | Not accepted | Mandatory |
CPPREP4104 | Mandatory | Not accepted | Mandatory |
CPPREP4105 | Mandatory | Not accepted | Mandatory |
CPPREP4121 | Not accepted | Mandatory | Mandatory |
CPPREP4122 | Not accepted | Mandatory | Mandatory |
CPPREP4123 | Not accepted | Mandatory | Mandatory |
CPPREP4124 | Not accepted | Mandatory | Mandatory |
CPPREP4125 | Not accepted | Mandatory | Mandatory |
CPPREP4201 | Elective | Not accepted | Elective |
CPPREP4202 | Elective | Not accepted | Elective |
CPPREP4203 | Elective | Not accepted | Elective |
CPPREP4204 | Elective | Not accepted | Elective |
CPPREP5201 | Elective | Not accepted | Elective |
The Commissioner may grant a certificate of registration under section 47 of the Act to an applicant —
(a) who applies within 3 years of successfully completing a qualification prescribed in regulation 6A; or
(b) who has held a certificate of registration for at least 3 of the 5 years immediately preceding the making of the application; or
(c) who has passed the examinations prescribed by regulation 6 to qualify for the grant of a licence; or
(d) who has held a triennial certificate during the 3 years immediately preceding the making of the application.
(1) If an amount is not fixed under section 61(1) of the Act, an appointment to act as an agent —
(a) where the commission, reward or other valuable consideration to be received by the agent for the services rendered by the agent is expressed as a percentage, is to clearly set out the basis (e.g. selling price, gross rental) on which the percentage is to be calculated; and
(b) where —
(i) the appointment is to act as an agent in a transaction as defined in section 61(4a) of the Act; and
(ii) the commission, reward or other valuable consideration to be received by the agent for the services rendered is expressed as an hourly, weekly or other periodic rate,
is to specify the maximum amount to be received by the agent, expressed as a monetary amount; and
(c) where the consideration to be received by the agent for the services rendered by the agent is based on the use by a person of certain services provided by the agent, is to provide a full explanation of the nature of the services so provided; and
(d) where any expenses (in addition to the commission, reward or other valuable consideration) are to be received by the agent, is to —
(i) specify the nature of those expenses; and
(ii) clearly set out the method by which the expenses will be calculated.
(2) If an amount is not fixed under section 61(1) of the Act, an appointment to act as an agent by a person for whom services are to be rendered is to contain, immediately before the statement of the commission, reward or other valuable consideration to be received by the agent, a statement that the commission, reward or consideration is not to be received pursuant to a scale fixed by law but is to be agreed upon between the person and the agent.
(3) An appointment to act as an agent is to include a statement in clear, concise and plain English to the effect that the person for whom the services are to be rendered by the agent (e.g. the vendor or landlord) may seek assistance from the Commissioner in relation to disputes as to the commission, reward or other valuable consideration to be received by the agent.
For the purposes of the definition of
For the purposes of the definition of
(a) the class that consists of all banks; and
(b) the class that consists of all societies.
(1) For the purposes of section 68(1) of the Act, a trust account is to be designated in the manner provided for in this regulation.
(2) The designation of a trust account, other than a separate account, is to include —
(a) the description “REBA Trust Account”; and
(b) the name of the holder of the triennial certificate, and any business name of that holder, recorded in the register; and
(c) the letters “TC” followed by the triennial certificate number recorded in the register.
(3) The designation of a separate account is to include —
(a) the description “REBA Trust Account — IB”; and
(b) the name of the holder of the triennial certificate, and any business name of that holder, recorded in the register; and
(c) the words “in trust for” followed by the name of the person who requested the separate account; and
(d) the letters “TC” followed by the triennial certificate number recorded in the register.
(1) For the purposes of section 68A(4) of the Act, where the transaction in respect of which moneys are paid relates to the sale of real estate or a business, an agent shall only comply with the request for a separate account if the agent is satisfied that —
(a) the amount of moneys paid to the agent exceeds $20 000; or
(b) the transaction is not to be settled within 60 days.
(2) In subregulation (1) —
(1) For the purposes of section 68B(1) of the Act, interest on the balance of a trust account is to be paid —
(a) at the rate that is 70% of the relevant bank accepted bills rate calculated on a daily basis; and
(b) within 5 working days of the end of each month.
(2) In subregulation (1)(a) —
Note for this subregulation:
For example, the relevant bank accepted bills rate for May is the 30 day bank accepted bills rate for March.
A receipt given under section 69(1)(a) of the Act shall contain the following information —
(aa) the heading “Trust Account Receipt”; and
(a) the name of the holder of the triennial certificate, and any business name of that holder, recorded in the register; and
(b) a number or letter, or a combination of both, in consecutive order that allows the receipt to be uniquely identified; and
(c) the date on which the money is received; and
(d) the name of the person paying the money; and
(e) the amount of money received; and
(f) a brief description of the purpose of the payment; and
(g) if the receipt is hand‑written, the name of the person receiving the money evidenced by the signature of that person.
(1) A record shall be —
(a) kept in written form; and
(b) kept for a period of not less than 6 years from the date on which the money was received; and
(c) readily accessible.
(2) Where a receipt has been given for money received, a record shall contain the information contained in the receipt and may take the form of a duplicate copy of the receipt.
(3) Where money has been received by electronic transfer, a record shall contain the information specified in regulation 6G(b), (c), (d), (e) and (f) and, for that purpose, the reference in regulation 6G(b) to “receipt” is to be read as a reference to “record”.
The prescribed particulars to be recorded, pursuant to section 133(2) of the Act, by the Commissioner —
(a) in the register of licensees are, in respect of each licensee —
(i) the name and address of the licensee;
(ii) where the licensee is a firm, the name, address, and, where applicable, licence number of each partner constituting the firm;
(iii) where the licensee is a body corporate, the name, address, and, where applicable, licence number of each director of the licensee;
(iv) the licence number and the date on which the licence held by the licensee was granted;
(v) any special condition to which the licence held by the licensee is subject;
(vi) where a claim has been made or sustained against the Fidelity Account in respect of the licensee, a reference to that claim;
(b) in the register of holders of current triennial certificates are, in respect of each holder —
(i) the name and address of the holder;
(ii) any business name under which the holder carries on business as an agent;
(iii) the situation of the registered office of the holder;
(iv) where the holder is a firm, the name, address, and, where applicable, licence number of each partner constituting the firm;
(v) where the holder is a body corporate, the name, address and, where applicable, licence number of each director of the holder;
(vi) where the holder is a firm or body corporate, the name and address of the person in
bona fide control of the business of the holder;(vii) the licence number, and the date on which the licence held by the holder of the certificate was granted;
(viii) the certificate number, and the date on which the certificate currently held by the holder was granted or renewed, as the case may be;
(ix) the name and address of the auditor appointed by the holder;
(x) the amount of any payment made under section 113 of the Act by the holder;
(c) in the register of holders of current certificates of registration are, in respect of each holder —
(i) the name and address of the holder;
(ii) the certificate number and the date on which the certificate currently held by the holder was granted or renewed, as the case may be;
(iii) any special condition to which the certificate held by the holder is subject;
(iv) the amount of any payment made under section 113 of the Act by the holder;
(v) the name and address of the licensee or developer for and on behalf of whom the holder acts or by whom the holder is employed;
(vi) the date upon which a holder commenced in that capacity to act for and on behalf of, or be employed by, the licensee or developer referred to in subparagraph (v);
(vii) the name and address of every other licensee or developer for and on behalf of whom the holder has acted, or by whom the holder has been employed in that capacity, and the dates on which the holder commenced and ceased to so act or be employed by each of them, respectively.
For the purposes of the definition of
For the purposes of section 131M(3) the prescribed maximum amount is $2 000.
A licensee shall give to the Commissioner notice in writing —
(a) where the licensee is a body corporate, of any change in the directors of the body corporate;
(b) where the licensee is a firm and any of the persons by whom or by which it is constituted is a body corporate, of any change in the directors of any such body corporate;
(c) where the licensee is a firm or body corporate, of any change in the person in
bona fide control of the business operated under the licence held by the licensee,
within one month of the change.
Penalty: a fine of $1 000.
(1) The amount of —
(a) any fees prescribed by these regulations;
[(b) deleted] (c) any costs ordered by a court or tribunal to be paid to the Commissioner upon the determination of any proceedings,
may be sued for and recovered by the Commissioner on behalf of the Crown in any court of competent jurisdiction.
(2) Where, upon the determination of any proceedings, a court or tribunal makes an order for costs in favour of a person other than the Commissioner, the amount of those costs may be sued for by that person and recovered from the person against whom the order is made, in any court of competent jurisdiction.
An amount paid to the chief executive officer under section 113 of the Act in respect of an application referred to in that section shall, where that application does not result in the grant or renewal of a licence, triennial certificate, or certificate of registration, be refunded to the applicant from the Fidelity Account.
For the purposes of section 127 of the Act —
(a) moneys standing to the credit of the Real Estate and Business Agents Interest Account are to be applied monthly before the end of each month; and
(b) the following proportions are prescribed —
(i) 4.5% to the Fidelity Account; and
(ii) 57% to the General Purpose Account; and
(iii) 38.5% to the Assistance Account.
A claim against the Fidelity Guarantee Account shall be made in writing and be verified by a statutory declaration made by a person who deposes to the facts therein set out of his own knowledge.
Any code of conduct that the Commissioner may from time to time prescribe pursuant to section 101 of the Act shall be published in the
(1) The offences specified in Schedule 3 are offences for which an infringement notice may be issued under Part 2 of the
Criminal Procedure Act 2004 .(2) The modified penalty specified opposite an offence in Schedule 3 is the modified penalty for that offence for the purposes of the
Criminal Procedure Act 2004 section 5(3).(3) The Commissioner may, in writing, appoint persons or classes of persons to be authorised officers or approved officers for the purposes of the
Criminal Procedure Act 2004 Part 2.(4) The Commissioner is to issue to each authorised officer a certificate, badge or identity card identifying the officer as a person authorised to issue infringement notices.
The forms set out in Schedule 2 are prescribed in relation to the matters specified in those forms.
(1) In this regulation —
(2) An approval of a CPD activity, and a point value for the activity, for 2020 made under former regulation 4AA is taken, on and from commencement day, to be an approval made under regulation 4AC for 2020.
(3) If the Commissioner specified a CPD activity as a mandatory CPD activity under former regulation 4AA for 2020 and the specification is in force immediately before commencement day, the mandatory CPD activity is taken, on and from commencement day, to have been specified under regulation 4AC(4) for 2020.
An amendment made to regulation 6 by the
[r. 4 and 4A]
1. | Application for licence under section 24 of the Act | 99.00 |
2. | Grant of licence to individual under section 27 of the Act | 1 060.00 |
3. | Grant of licence to firm under section 28 of the Act | 1 390.00 |
4. | Grant of licence to body corporate under section 29 of the Act | 1 390.00 |
5. | Holding fee for the purposes of section 30(2a)(b) of the Act | 271.00 |
6. | Renewal of triennial certificate under section 31 of the Act | 885.00 |
7. | Issue of duplicate licence, duplicate certificate of registration or duplicate triennial certificate under section 40A of the Act | 35.00 |
8. | Grant of certificate of registration under section 47 of the Act | 270.00 |
9. | Renewal of certificate of registration under section 48 of the Act | 223.00 |
[r. 2]
1. Agency agreements
2. Auctions
3. Business broking
4. Business management practices
5. Buyer’s agents
6. Communication
6A. Community titles management
7. Conflict of interest and disclosure
8. Customer service skills
9. Disciplinary proceedings
10. Law of contracts
11. Legislation regulating the carrying on of business as an agent in Western Australia
12. Managing agency risk
13. Property management
14. Sale and lease of commercial property
15. Sale process
16. Strata management
17. Trust accounting
18. Understanding real estate documents
19. Valid appointment to act
[r. 15]
Infringement notice no. | ||
Name: Family name | ||
Given names | ||
or Company name_______________________________ ACN | ||
Address __________________________________________ Postcode | ||
Description of offence_______________________________ | ||
Date / /20 Time a.m./p.m. | ||
Modified penalty $ | ||
Name | ||
Signature | ||
Office | ||
| ||
It is alleged that you have committed the above offence. If you do not want to be prosecuted in court for the offence, pay the modified penalty within 28 days after the date of this notice. | ||
Approved Officer Department of Mines, Industry Regulation and Safety — Consumer Protection Division [ Department of Mines, Industry Regulation and Safety — Consumer Protection Division [ | ||
Withdrawal no. | ||
Name: Family name | ||
Given names | ||
or Company name_______________________________ ACN | ||
Address __________________________________________ Postcode | ||
Infringement notice no. | ||
| ||
Description of offence _______________________________ | ||
Date / /20 Time a.m./p.m. | ||
Name | ||
Signature | ||
Office | ||
| ||
[* | The above infringement notice issued against you has been withdrawn. If you have already paid the modified penalty for the alleged offence you are entitled to a refund. * Your refund is enclosed. * If you have paid the modified penalty but a refund is not enclosed, to claim your refund sign this notice and post it to: Approved Officer — Department of Mines, Industry Regulation and Safety — Consumer Protection Division [ Signature / /20 | |
[r. 14]
s. 36(1) | Failing to have registered office in the State | $200 |
s. 37(1) | Failing to register a branch office | $200 |
s. 37(2) | Failing to have qualified manager at branch office | $200 |
s. 40B | Licensee failing to comply with educational requirements | $1 000 |
s. 40(1)(a) | Carrying on business under a name not endorsed on triennial certificate | $200 |
s. 40(1)(b) | Failing to include surname and initials of licensee on all business correspondence | $200 |
s. 40(3) | Failing to notify Commissioner of alteration of business name | $200 |
s. 50C | Sales representative failing to comply with educational requirements | $1 000 |
s. 84(1) | Failing to cause audit of trust account under section 70(1) | $2 000 |
s. 84(1) | Failing to deliver audit report to the Commissioner under section 70(3) | $2 000 |
s. 84(1) | Failing to deliver a termination audit report under section 70(8) | $600 |
s. 142 | Failing to notify Commissioner of commencing or ceasing business under section 35 | $400 |
s. 142 | Branch manager acting for more than one licensee or as an agent on own account under section 37(3) | $400 |
s. 142 | Failing to display official details at registered office under section 41(1)(a) | $400 |
s. 142 | Failing to display official details at branch office under section 41(1)(b) | $400 |
s. 142 | Failing to display official details on all correspondence and documents from registered office under section 41(2)(a) | $400 |
s. 142 | Failing to display official details on all correspondence and documents from branch office under section 41(2)(b) | $400 |
s. 142 | Failing to notify Commissioner of commencing or ceasing employment, or acting, as a sales representative under section 51(1) | $400 |
r. 8 | Failing to notify Commissioner of change in particulars | $200 |
This is a compilation of the
31 Aug 1979 p. 2616‑18 | 1 Sep 1979 | |
26 Sep 1980 p. 3312 | 26 Sep 1980 | |
26 Jun 1981 p. 2293 | 26 Jun 1981 | |
6 Nov 1981 p. 4526 | 1 Dec 1981 (see r. 2) | |
2 Jul 1982 p. 2334‑6 | 2 Jul 1982 | |
21 Oct 1983 p. 4298 | 1 Jan 1984 (see r. 2) | |
30 Dec 1983 p. 5121‑2 | 30 Dec 1983 | |
21 Dec 1984 p. 4191 | 21 Dec 1984 | |
21 Jun 1985 p. 2262 | 21 Jun 1985 | |
28 Feb 1986 p. 668 | 28 Feb 1986 | |
13 Jun 1986 p. 1997‑8 | 1 Jul 1986 (see r. 2) | |
8 Aug 1986 p. 2870‑1 | 1 Feb 1987 (see r. 2) | |
24 Dec 1986 p. 4998 | 24 Dec 1986 | |
8 May 1987 p. 2103 | 8 May 1987 | |
4 Sep 1987 p. 3519 | 4 Sep 1987 | |
30 Oct 1987 p. 4047 | 30 Oct 1987 | |
18 Dec 1987 p. 4516 | 18 Dec 1987 | |
12 Aug 1988 p. 2770 | 12 Aug 1988 | |
2 Sep 1988 p. 3466 | 2 Sep 1988 | |
20 Jan 1989 p. 132 | 20 Jan 1989 | |
3 Feb 1989 p. 360 | 3 Feb 1989 | |
30 Jun 1989 p. 1979 | 1 Jul 1989 (see r. 2) | |
15 Jun 1990 p. 2723 (erratum 22 Jun 1990 p. 3034) | 15 Jun 1990 | |
20 Jul 1990 p. 3461 | 20 Jul 1990 | |
1 Aug 1990 p. 3652‑3 | 1 Aug 1990 | |
26 Oct 1990 p. 5370 | 26 Oct 1990 | |
28 Jun 1991 p. 3119 | 28 Jun 1991 | |
13 Dec 1991 p. 6160 | 13 Dec 1991 | |
14 Aug 1992 p. 4011‑12 | 14 Aug 1992 | |
30 Nov 1993 p. 6411‑12 | 30 Nov 1993 | |
30 Sep 1994 p. 4969‑72 | 6 Oct 1994 (see r. 2) | |
9 Dec 1994 p. 6661‑2 | 9 Dec 1994 | |
7 Jun 1996 p. 2392 | 7 Jun 1996 | |
25 Jun 1996 p. 2917‑22 | 1 Jul 1996 (see r. 2 and | |
25 Jun 1996 p. 2923‑5 | 1 Jul 1996 (see r. 2 and | |
27 Jun 1997 p. 3099‑101 | 1 Jul 1997 (see r. 2) | |
16 Oct 1998 p. 5733‑5 | 1 Nov 1998 (see r. 2 and | |
8 Oct 1999 p. 4782‑3 | 8 Oct 1999 | |
18 Feb 2000 p. 913‑14 | 18 Feb 2000 | |
6 Nov 2001 p. 5837 | 6 Nov 2001 | |
8 Feb 2002 p. 599‑602 | 8 Feb 2002 | |
7 Feb 2003 p. 384‑7 (as amended 13 Jan 2004 p. 145‑6) | 7 Feb 2003 | |
13 Jan 2004 p. 145‑6 | 13 Jan 2004 | |
30 Dec 2004 p. 6924 | 1 Jan 2005 (see r. 2 and | |
27 Jun 2006 p. 2269‑70 | 1 Jul 2006 (see r. 2) | |
17 Nov 2006 p. 4759‑60 | 17 Nov 2006 | |
6 Feb 2007 p. 307‑10 | 6 Feb 2007 | |
9 Mar 2007 p. 847‑8 | 9 Mar 2007 | |
24 Jul 2007 p. 3659‑60 | r. 1 and 2: 24 Jul 2007 (see r. 2(a)); Regulations other than r. 1 and 2: 25 Jul 2007 (see r. 2(b) and | |
28 Dec 2007 p. 6403‑7 | r. 1 and 2: 28 Dec 2007 (see r. 2(a)); Regulations other than r. 1 and 2: 29 Dec 2007 (see r. 2(b)) | |
17 Jun 2008 p. 2557‑8 | r. 1 and 2: 17 Jun 2008 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2008 (see r. 2(b)) | |
24 Jun 2008 p. 2886‑7 | r. 1 and 2: 24 Jun 2008 (see r. 2(a)); Regulations other than r. 1 and 2: 25 Jun 2008 (see r. 2(b)) | |
23 Dec 2008 p. 5465‑7 | r. 1 and 2: 23 Dec 2008 (see r. 2(a)); Regulations other than r. 1 and 2: 24 Dec 2008 (see r. 2(b)) | |
17 Apr 2009 p. 1319‑23 | r. 1 and 2: 17 Apr 2009 (see r. 2(a)); Regulations other than r. 1 and 2: 18 Apr 2009 (see r. 2(b)) | |
8 May 2009 p. 1491‑2 | r. 1 and 2: 8 May 2009 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2009 (see r. 2(b)) | |
23 Jun 2009 p. 2453‑4 | r. 1 and 2: 23 Jun 2009 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2009 (see r. 2(b)) | |
28 Aug 2009 p. 3347‑52 | r. 1 and 2: 28 Aug 2009 (see r. 2(a)); Regulations other than r. 1 and 2: 29 Aug 2009 (see r. 2(b)) | |
10 Nov 2009 p. 4495‑6 | r. 1 and 2: 10 Nov 2009 (see r. 2(a)); Regulations other than r. 1 and 2: 11 Nov 2009 (see r. 2(b)) | |
28 May 2010 p. 2297-8 | r. 1 and 2: 28 May 2010 (see r. 2(a)); Regulations other than r. 1 and 2: 29 May 2010 (see r. 2(b)) | |
25 Jun 2010 p. 2851‑2 | r. 1 and 2: 25 Jun 2010 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2010 (see r. 2(b)) | |
22 Jun 2011 p. 2367-8 | r. 1 and 2: 22 Jun 2011 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2011 (see r. 2(b)) | |
30 Jun 2011 p. 2669-72 | r. 1 and 2: 30 Jun 2011 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2011 (see r. 2(b)) | |
15 Jun 2012 p. 2599-600 | r. 1 and 2: 15 Jun 2012 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2012 (see r. 2(b)) | |
23 Oct 2012 p. 5049‑55 | r. 1 and 2: 23 Oct 2012 (see r. 2(a)); Regulations other than r. 1 and 2: 24 Oct 2012 (see r. 2(b)) | |
27 Jun 2013 p. 2691-2 | r. 1 and 2: 27 Jun 2013 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2013 (see r. 2(b)) | |
20 Aug 2013 p. 3839 | r. 1 and 2: 20 Aug 2013 (see r. 2(a)); Regulations other than r. 1 and 2: 21 Aug 2013 (see r. 2(b) and | |
17 Jun 2014 p. 1977‑8 | r. 1 and 2: 17 Jun 2014 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2014 (see r. 2(b)) | |
18 Nov 2014 p. 4324-5 | r. 1 and 2: 18 Nov 2014 (see r. 2(a)); Regulations other than r. 1 and 2: 19 Nov 2014 (see r. 2(b) and | |
15 May 2015 p. 1717‑18 | r. 1 and 2: 15 May 2015 (see r. 2(a)); Regulations other than r. 1 and 2: 16 May 2015 (see r. 2(b)) | |
23 Jun 2015 p. 2184‑5 | r. 1 and 2: 23 Jun 2015 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2015 (see r. 2(b)) | |
3 Jun 2016 p. 1745-73 | 1 Jul 2016 (see r. 2(b)) | |
23 Jun 2017 p. 3213‑52 | 1 Jul 2017 (see r. 2(b)) | |
30 Jun 2017 p. 3553‑4 | r. 1 and 2: 30 Jun 2017 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jul 2017 (see r. 2(b)) | |
25 Jun 2018 p. 2325‑53 | 1 Jul 2018 (see r. 2(b)) | |
18 Jun 2019 p. 2077‑115 | 1 Jul 2019 (see r. 2(b)) | |
24 Dec 2019 p. 4416‑20 | 1 Jan 2020 (see r. 2(b) and | |
SL 2020/163 25 Sep 2020 | 29 Sep 2020 (see r. 2(b) and SL 2020/159 cl. 2(a)) | |
SL 2020/196 27 Oct 2020 | 28 Oct 2020 (see r. 2(b)) | |
SL 2020/209 30 Oct 2020 | r. 1 and 2: 30 Oct 2020 (see r. 2(a)); Regulations other than r. 1 and 2: 31 Oct 2020 (see r. 2(b)) | |
SL 2020/257 24 Dec 2020 | r. 1 and 2: 24 Dec 2020 (see r. 2(a)); Regulations other than r. 1 and 2: 1 Jan 2021 (see r. 2(b)) | |
SL 2021/71 18 Jun 2021 | 30 Jun 2021 (see r. 2(b) and SL 2021/69 cl. 2) | |
SL 2021/86 21 Jun 2021 | 1 Jul 2021 (see r. 2(b)) | |
SL 2022/59 20 May 2022 | 1 Jul 2022 (see r. 2(b)) | |
SL 2023/35 5 May 2023 | 1 Jul 2023 (see r. 2(b)) | |
SL 2023/131 9 Aug 2023 | 10 Aug 2023 (see r. 2(b)) | |
SL 2024/96 12 Jun 2024 | 1 Jul 2024 (see r. 2(c)) | |
SL 2024/152 24 Jul 2024 | r. 1 and 2: 24 Jul 2024 (see r. 2(a)); Regulations other than r. 1 and 2: 2 Sep 2024 (see r. 2(b)) | |
SL 2025/89 11 Jun 2025 | 1 Jul 2025 (see r. 2(b)) | |
activity.......................................................................................................................... 2(1)
applicant................................................................................................................. 4AB(1)
approved CPD activity............................................................................................... 2(1)
authorised financial institution................................................................................... 6C
business...................................................................................................................... 6E(2)
calendar year................................................................................................................ 2(1)
commencement day.................................................................................................. 16(1)
continuing professional development...................................................................... 2(1)
CPD subject................................................................................................................. 2(1)
educational activity..................................................................................................... 2(1)
former regulation 4AA............................................................................................ 16(1)
holding fee................................................................................................................. 4A(1)
mandatory CPD activity............................................................................................ 2(1)
point value.................................................................................................................... 2(1)
record............................................................................................................................ 2(1)
register.......................................................................................................................... 2(1)
registered training provider....................................................................................... 2(1)
regulated person.......................................................................................................... 2(1)
relevant bank accepted bills rate............................................................................ 6F(2)
restricted certificate (property management)......................................................... 2(1)
restricted certificate (sales)....................................................................................... 2(1)
unrestricted certificate................................................................................................ 2(1)
working day................................................................................................................. 2(1)
|
0
0
0