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Broker Registration Frequently Asked Questions

What does a broker registration allow me to do?

Once you are registered as a broker, you will be eligible to apply for and hold a permit to broker DSGL goods, software or technology. You will still need to apply for permits to undertake brokering activities.

Can my application for broker registration be refused?

Yes, if the Minister for Defence (or an authorised delegate) is not satisfied that an individual or manager of the body corporate is a fit and proper person, the broker registration application will be refused.

Can a broker registration be cancelled?

Yes, the Minister for Defence may cancel a broker registration:

  • if the Minister determines that the broker has breached a condition of the registration; or
  • if the Minister determines that the broker has breached a condition of a permit; or
  • if the broker is convicted of an offence against a law of the Commonwealth, a State, a Territory or foreign country punishable by imprisonment for 12 months or longer; or
  • if the Minister determines that the broker registration application or an application to renew the registration contained information that was false or misleading; or
  • in any other circumstances that the Minister considers appropriate.
How do I de-register as a broker?

Request this via an email to DEC. You will then receive advice that your broker registration has been cancelled and it will be removed from the Register of Brokers. All permits issued to the registered broker will also be cancelled.

If it is a body corporate who are a registered broker, any permits issued to that registration can continue to be used by the body corporate until they expire or are otherwise revoked by the Minister for Defence as long as the body corporate nominates a new manager within 28 days of the previous manager's departure.

If I own my own company, should I apply as an individual or a body corporate?

DEC recommends you apply as a body corporate. This will enable you to authorise other employees to apply for brokering arrangement permits on your behalf.

What is a civil penalty order or infringement notice?

Civil penalties and infringement notices are fines or orders imposed by a court or government agency to enforce laws. DEC only requires information regarding civil penalty orders and infringement notices made against you or the body corporate by the Australian Border Force and the Australian Securities Investment Commission.

What does the Broker Registration application form question regarding non-compliance with export controls mean?

Non-compliance is when an individual or body corporate fails to comply with an Australian or foreign export control law. You may have been non-compliant if you have received a warning letter, infringement notice or have been convicted of an offence.

The following is a list of relevant Australian export control legislation:

What is a National Police Certificate?

The National Police Certificate is a police record check provided by the Australian Federal Police and will display all releasable court outcomes from all states and territories of Australia based on respective policies/legislations. This includes any convictions, findings of guilt or pending court proceedings relating to the applicant, including in relation to any traffic offences. Only unspent convictions or findings of guilt are required to be listed for the purposes of applying for registration as a Broker under the Defence Trade Controls Act 2012.

How do I obtain a National Police Certificate?

You must apply to the Australian Federal Police for a National Police Certificate. Further information is available at: www.afp.gov.au/what-we-do/police-checks/national-police-checks.aspx

There is no requirement to obtain a National Police Certificate if you hold a current security clearance level of Negative Vetting Level 1 or higher.

When selecting the 'purpose type' on the national police check online application form, select 'Commonwealth purpose/Employment' for the 'Purpose of Check' select 'pre employment/standard disclosure'.

How do I submit the National Police Certificate with the application?

A National Police Certificate in the name of the individual or manager of the body corporate must be submitted with the broker registration application. There is no requirement for an original or certified copy unless requested by DEC. The National Police Certificate must have been issued within three months of the date of the broker registration application.

What details will be made public once I register as a broker?

If your application to register as a broker is approved, you will be added to a Register of Brokers.The Register contains the following details:

  • the name of the broker (individual or name of body corporate and manager of body corporate),
  • the day on which the broker's registration is due to end, and
  • a statement as to whether the broker's registration is subject to conditions.
Who is considered to be a manager of a body corporate?

A manager of a body corporate means an individual who makes, or participates in making, decisions that affect the whole, or a substantial part, of the body's affairs. For a body corporate to be registered, the application must include a manager of a body corporate.

Once a body corporate is registered as a broker, who in that body corporate can apply for a brokering arrangement permit?

The manager of the body corporate listed on the broker registration is authorised to apply for brokering permits. Only one manager can be listed on the broker registration. If the manager of the body corporate wants to enable other employees to apply on behalf of the body corporate, the manager can provide a list of these employees to deco@defence.gov.au.

What happens if the registered manager of the body corporate leaves their position?

The body corporate must notify DEC and apply to amend the registration with the details of the new manager within 28 days in order to continue to apply for and use broker arrangement permits.

All brokering permits applied for under the broker registration remain valid until they expire and can continue to be used by the body corporate. The body corporate will be responsible for any non-compliance with the registration and brokering permits (including record keeping and complying with any conditions). Brokering permits will be revoked if the broker registration ceases to be in force.