Finance brokers forms
The documents on this list are provided in Adobe Portable Document (PDF) format. Acrobat PDF files require the free Acrobat Reader plug-in, which is available from Adobe.
Print copies
Some of these documents are also on the Commerce Publications List. Copies can be ordered from the publications officer on 9327 8721.
Application forms
- Finance Broker's Licence (Body Corporate) (184262 bytes)
- Finance Broker's Licence (Firm) (182079 bytes)
- Finance Broker's Licence (Individual) - 'A' Class (154524 bytes)
- Finance Broker's Licence (Individual) - 'B' and 'C' Class (162074 bytes)
- Finance Broker's Licence (Individual) - 'D' Class (142772 bytes)
Renewal forms
- Renewal of a Finance Brokers Licence (Body Corporate) (171435 bytes)
- Renewal of a Finance Brokers Licence (Firm) (169396 bytes)
- Renewal of a Finance Brokers Licence (Individual) (121901 bytes)
Supplementary forms, templates and proforma documents
- Directors Statutory Declaration - Support of Licence Application (77707 bytes)
- Form 1 - Notice of details of parties to the loan (190620 bytes)
- Licence Application Business Reference Template (32935 bytes)
- Notification of application: Body Corporate (50833 bytes)
- Notification of application: Individual (37450 bytes)
- Proforma Bank Guarantee - Finance brokers (12345 bytes)
- Proforma Bond Guarantee - Finance brokers (12566 bytes)
- Statement of Responsibility in Support of an Application C Class (20638 bytes)
- Statutory Declaration Confirming Employment (10818 bytes)
Audit forms
- Consent to Act as Auditor pro-forma (15086 bytes)
- Declaration of no receipt of trust monies (89256 bytes)
- Guidelines for auditors of finance brokers (51378 bytes)
Professional indemnity insurance
- Certificate of Currency - 'A' Class Licencees (27114 bytes)
- Certificate of Currency - 'B' and 'C' Class Licencees (86259 bytes)
- PI Insurance Policy Guidelines - 'A' Class Licensees (143847 bytes)
- PI Insurance Policy Guidelines - 'B' and 'C' Class Licensees (137489 bytes)