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Brokering of Export Controlled Goods and Technologies

What is Brokering?

Brokering is when a person or organisation acts as an agent or intermediary in arranging the 'supply' of DSGL goods, software and technology between two people and places located outside of Australia. For the activity to be considered brokering, the 'person' must receive money or a non-cash benefit or advance their political, religious or ideological cause for arranging the 'supply'.

You must get a permit from us before brokering goods, software or technology that appears in the Munitions List, which is Part 1 of the Defence and Strategic Goods List (DSGL). You must get a permit before brokering goods, software and technology that appear in Part 2 (Dual-Use List) of the DSGL, if you know, or it would be reckless or negligent for you not to know that the goods, software or technology being brokered are for a 'military end use' or a Weapons of Mass Destruction (WMD) program. The Minister for Defence, or an authorised delegate, can also require you to get a permit for brokering Part 2 (Dual-Use List) DSGL goods, software and technology — if this happens, you will receive a notice from us telling you of your obligations.

Activities such as freight forwarding, providing financial services, insurance, reinsurance, promotion or advertising are not captured under the Act's brokering controls, and do not require a permit.

Brokering controls apply to anyone (person or organisation) located in Australia, and to Australian citizens or residents located outside 'Australia' if they are brokering as an individual. The brokering controls apply worldwide to a company incorporated under Australian law.

An Australian citizen or resident who is an employee of a foreign company, and who is brokering at the direction of that foreign company while located outside of Australia, is not captured by Australian brokering controls; as they are brokering as an employee of that foreign company. If they were brokering as an individual, Australia's brokering controls would apply to them globally.

We have answers to Frequently Asked Questions about Brokering here.

Registering as a Broker

You can submit a broker registration application to DEC. The application form is available at the Forms Page on this website

To be registered as a broker, you must pass a fit and proper person test. Matters taken into consideration in assessing broker registration include:

  • criminal history;
  • history of insolvency, bankruptcy or debt relief; and
  • history of non-compliance with export control laws.

A national police check must be submitted with your broker registration application unless you hold a current security clearance level of Negative Vetting 1 or higher.

Registration as a broker is valid for 5 years and generally takes 15 working days to assess (this may be extended to 35 working days, and sometimes longer, if the application needs to be referred to other agencies).

All registered brokers are added to the public Register of Brokers, which is available on the Register of Brokers Page.

We have answers to Frequently Asked Questions about Brokering Registration here.

Brokering Arrangement Permits

You should apply for a permit as early as possible. You will need a permit before you arrange the 'supply'. The Application to Make a Brokering Arrangement form is available from our Forms page.

We have answers to Frequently Asked Questions about Brokering Arrangements here.

What are my rights to review and DEC's privacy and information handling policy?

Information on rights to review and DEC's privacy and information handling policy can be found on the Export Controls and Your Rights Page on this website.