Form 2 Application for Eligibility Certificate by a Corporation (PDF ...

Form 2 Application for Eligibility Certificate by a Corporation (PDF ... Form 2 Application for Eligibility Certificate by a Corporation (PDF ...

olgr.qld.gov.au
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Form 2 August 2008 CONFIDENTIAL Racing Act 2002 (Section 207) Application For Eligibility Certificate By A Corporation ___________________________________________________________________________ (Name of Applicant Corporation) hereby makes application for an eligibility certificate under Section 207 of the Racing Act 2002. The application form has been completed in full and the applicable application fee is attached. Signature of Authorised Executive Officer: __________________ Date: ____ /____ /____ Office of Liquor, Gaming and Racing

<strong>Form</strong> 2<br />

August 2008<br />

CONFIDENTIAL<br />

Racing Act 2002<br />

(Section 207)<br />

<strong>Application</strong> For <strong>Eligibility</strong> <strong>Certificate</strong><br />

By A <strong>Corporation</strong><br />

___________________________________________________________________________<br />

(Name of Applicant <strong>Corporation</strong>)<br />

here<strong>by</strong> makes application <strong>for</strong> an eligibility certificate under Section 207 of the Racing Act<br />

2002.<br />

The application <strong>for</strong>m has been completed in full and the applicable application fee is attached.<br />

Signature of Authorised Executive Officer: __________________ Date: ____ /____ /____<br />

Office of Liquor, Gaming and Racing


Version:<br />

August 2008<br />

COMPANY PROBITY FORM<br />

This <strong>for</strong>m is used to assist the completion of suitability checks per<strong>for</strong>med on certain<br />

companies that are or are associated with a Gaming Applicant/Licensee in Queensland<br />

CONFIDENTIAL<br />

Company to which this <strong>for</strong>m relates:<br />

This <strong>for</strong>m has been submitted <strong>for</strong> the purpose of:<br />

(e.g. “<strong>Application</strong> <strong>for</strong> Suppliers Licence under the Gaming Machine Act 1991”)<br />

Name of Gaming Applicant/Licensee:<br />

Note: This <strong>for</strong>m should be completed in every particular. Incomplete <strong>for</strong>ms may be returned<br />

<strong>for</strong> completion. This may result in delays in the probity process and, if applicable, the<br />

consideration of any licence application.<br />

Queensland Office of Liquor, Gaming and Racing<br />

Locked Bag 180<br />

CITY EAST QLD 4002<br />

AUSTRALIA<br />

Telephone: (07) 3872 0852; Fax: (07) 3872 0951


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

IMPORTANT<br />

WARNING<br />

ABOUT FALSE OR MISLEADING INFORMATION<br />

OR INCOMPLETE DISCLOSURE<br />

Applicants and other persons completing this <strong>for</strong>m should be aware<br />

that action may be taken should in<strong>for</strong>mation be supplied that is<br />

false, misleading or incomplete in a material particular.<br />

Persons who submit false or misleading in<strong>for</strong>mation may be<br />

prosecuted and fined.<br />

Where a licence is issued and it is subsequently found that full<br />

disclosures had not been made in relation to the licensee or its<br />

associates or that false or misleading in<strong>for</strong>mation had been<br />

provided, show cause action may be taken. That action would<br />

determine whether the licence should be cancelled or suspended.<br />

INSTRUCTIONS TO BE READ<br />

It is critical that the Instructions <strong>for</strong> Completion contained on pages<br />

4 and 5 are read fully be<strong>for</strong>e this <strong>for</strong>m is completed.<br />

Signature: ___________________________________ 3


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

INSTRUCTIONS FOR COMPLETION<br />

1. The Company Probity <strong>Form</strong> must be completed <strong>by</strong>:<br />

• the Principal Executive Officer; or<br />

• if the Principal Executive Officer does not have knowledge of the relevant facts,<br />

another person who has the knowledge and is authorised <strong>by</strong> the company to<br />

complete this <strong>for</strong>m and which authority has been minuted.<br />

2. Type or print in BLOCK LETTERS an answer to every question.<br />

3. If an electronic version of this <strong>for</strong>m is being completed, in<strong>for</strong>mation supplied in<br />

response to a question may be inserted but no question, or the order of questions, is to<br />

be altered.<br />

4. If a question does not apply to the company state “N/A” in response to that question.<br />

5. If there is nothing to disclose in reply to a particular question state “Nil” in response to<br />

that question.<br />

6. If there is insufficient space on a printed <strong>for</strong>m in which to answer a question, additional<br />

in<strong>for</strong>mation may be provided on an attachment page. When required to use an<br />

attachment page precede each answer thereon with the title applicable to that question<br />

and PRINT the company name on the page.<br />

7. All dates should be completed in the <strong>for</strong>m: Day / Month / Year.<br />

8. Each page of this <strong>for</strong>m and each attached page should be signed <strong>by</strong> the person<br />

completing the <strong>for</strong>m in the space provided.<br />

9. This <strong>for</strong>m is to be completed in the English language. Any documents required to be<br />

provided are to have a certified English translation appended.<br />

10. Documents or other in<strong>for</strong>mation sought from authorities in Australia may not be<br />

applicable to a company which has been incorporated in another country or which<br />

originates from a company located overseas. In such cases the documents or equivalent<br />

in<strong>for</strong>mation should be obtained from the relevant authority of that country.<br />

11. An asterisk (*) signifies “Delete whichever is not applicable”.<br />

Signature: ___________________________________ 4


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

12. The completed <strong>for</strong>m should be <strong>for</strong>warded to:<br />

The Executive Director<br />

Office of Liquor, Gaming and Racing<br />

Locked Bag 180<br />

CITY EAST QLD 4002<br />

AUSTRALIA<br />

13. This <strong>for</strong>m should be sealed in an envelope and marked:<br />

“Private and Confidential<br />

Attention: Executive Director, Office of Liquor, Gaming and Racing”.<br />

14. Any further inquiries should be directed to the Probity Section, Office of Liquor,<br />

Gaming and Racing, telephone (07) 3872 0852. (For calls outside Australia, the number<br />

is 61 7 3872 0852.)<br />

15. Note: A reference to a corporation includes a person.<br />

16. Persons completing this <strong>for</strong>m may require to be interviewed <strong>by</strong> officers of the<br />

Office of Liquor, Gaming and Racing on one or more occasions. If you are required<br />

to be interviewed the place and <strong>for</strong>m of the interview will be at the discretion of the<br />

Office of Liquor, Gaming and Racing. All persons to be interviewed are required to<br />

bear their own cost of travel and accommodation, if applicable.<br />

17. Persons completing this <strong>for</strong>m should be aware that probity investigations will not be<br />

commenced until required in<strong>for</strong>mation is provided. In addition, a probity investigation<br />

may be halted where additional in<strong>for</strong>mation sought is not provided in a timely manner.<br />

Acts administered <strong>by</strong> the Office of Liquor, Gaming and Racing also allow <strong>for</strong><br />

penalties to be imposed <strong>for</strong> the failure to supply in<strong>for</strong>mation.<br />

Signature: ___________________________________ 5


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

CERTIFICATE<br />

I, ________________________________________________________________________________________<br />

here<strong>by</strong> declare as follows:<br />

(a)<br />

I hold the position of __________________________________________________________________<br />

in _________________________________________________________________________________<br />

(name of corporation)<br />

and am duly authorised to complete this <strong>for</strong>m (authority to complete should be minuted).<br />

(b)<br />

I certify that the particulars contained herein are true and correct in every detail and fully disclose the<br />

in<strong>for</strong>mation required to complete this <strong>for</strong>m.<br />

SIGNED at _____________________this___________________ day of _______________________20 ____<br />

______________________________<br />

(Signature)<br />

In the presence of:<br />

______________________________<br />

(Signature of Witness)<br />

Name of Witness:<br />

Address of Witness:<br />

_______________________________________________________________________<br />

_______________________________________________________________________<br />

Telephone Number of Witness: ( ___ ) _____________________<br />

ACKNOWLEDGEMENT AND UNDERTAKING<br />

The company undertakes to supply the following in<strong>for</strong>mation if requested to do so:<br />

(a) copies of income tax returns and tax assessments;<br />

(b) copies of minutes of shareholder and director meetings;<br />

(c) explanations relevant to the published financial statements;<br />

(d) copies of the company’s shareholder register.<br />

The company notes and acknowledges that the in<strong>for</strong>mation requested in this Company Probity <strong>Form</strong> may not<br />

satisfy the probity requirements of the Office of Liquor, Gaming and Racing and that further in<strong>for</strong>mation<br />

may be requested.<br />

Signature: ___________________________________ 6


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

AUTHORITY FOR RELEASE OF INFORMATION BY A CORPORATION<br />

__________________________________________________________________________________<br />

(name of corporation)<br />

of ______________________________________________________________________________<br />

(address)<br />

hereinafter referred to as “the <strong>Corporation</strong>”:<br />

1. acknowledges that the Casino Control Act 1982, the Gaming Machine Act 1991, the Keno Act<br />

1996, the Lotteries Act 1997, the Interactive Gambling (Player Protection) Act 1998 Racing<br />

Act 2002 and/or the Wagering Act 1998 (“the Acts”) authorises the Treasurer and/or Under<br />

Treasurer of the State of Queensland (a State of Australia) to cause to be made investigations<br />

about the <strong>Corporation</strong> <strong>for</strong> the purposes of determining the <strong>Corporation</strong>’s suitability <strong>for</strong> the<br />

purposes of the Acts;<br />

2. authorises the Treasurer, Under Treasurer and any person conducting any investigations or<br />

enquires on behalf of the Treasurer or Under Treasurer <strong>for</strong> the purposes of the Acts, including<br />

any officer of the Office of Liquor Gaming and Racing (“Authorised Person”), to obtain<br />

any in<strong>for</strong>mation and make any investigations or enquiries which relate to the <strong>Corporation</strong> and<br />

may be relevant to any of the purposes of the Act, in any jurisdiction;<br />

3. authorises an officer of the Australian Taxation Office, the manager or other principal officer of<br />

any branch or office of a bank or financial institution in any jurisdiction to whom a copy of this<br />

authority is presented to allow any Authorised Person to inspect and obtain copies of, or to<br />

release to any Authorised Person, any record, document or other in<strong>for</strong>mation of any kind in<br />

written, electronic or any other <strong>for</strong>m, which relates to the <strong>Corporation</strong> and is held <strong>by</strong> the<br />

Australian Taxation Office, bank or financial institution; and<br />

4. authorises any officer of any police service, law en<strong>for</strong>cement agency or regulatory body in any<br />

jurisdiction to whom a copy of this authority is presented to release to any Authorised Person<br />

any in<strong>for</strong>mation or official record of any kind in written, electronic or any other <strong>for</strong>m, which<br />

relates to the <strong>Corporation</strong> and is held <strong>by</strong> the police service, agency or body, including any<br />

in<strong>for</strong>mation relating to the criminal history of the <strong>Corporation</strong>.<br />

The <strong>Corporation</strong> undertakes that it will at all times sufficiently indemnify those officers referred to in<br />

“3” and “4” above and the Authorised Person and keep those officers referred to in “3” and “4” above<br />

and the Authorised Person indemnified against all liability in respect of the supply or disclosure in<br />

accordance with the Acts, of the in<strong>for</strong>mation, and against all actions, suits, proceedings, claims,<br />

demands, costs and expenses whatsoever which may be taken against those officers referred to in “3”<br />

and “4” above and the Authorised Person or incurred or become payable <strong>by</strong> those officers referred to<br />

in “3” and “4” above or the Authorised Person in respect thereof.<br />

SIGNED under the Common Seal this ________________ day of _____________________ 20 _____<br />

Seal affixed <strong>by</strong>:<br />

_____________________________<br />

(Signature of authorised person)<br />

_____________________________<br />

(Name and position)<br />

_____________________________<br />

(Signature of authorised person)<br />

_____________________________<br />

(Name and position)<br />

Signature: ___________________________________ 7


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

COMPANYETAILS – PART ONE<br />

In<strong>for</strong>mation to be provided <strong>by</strong> way of attachments<br />

The following attachments must accompany this <strong>for</strong>m:<br />

A. A brief history of the company (not required if a current licensee).<br />

(This should include details of the original purpose and business of the company, the<br />

names of the founders and what funds were initially injected and <strong>by</strong> whom.)<br />

B. A “Statement of Company Records” to be prepared and signed <strong>by</strong> a Certified Practising<br />

Accountant (CPA) or a qualified company auditor.<br />

(This statement should –<br />

(i)<br />

(ii)<br />

certify that the company’s records are up to date and, where applicable, in<br />

agreement with Australian Securities and Investments Commission (ASIC)<br />

records [or equivalent]. Company records include such records as share<br />

registers, Company Constitution or equivalent, register of directors, secretaries<br />

and managers, minutes of company meetings, financial reports, annual returns;<br />

and<br />

identify tax returns due and outstanding.)<br />

C. A flow-chart supported <strong>by</strong> written text explaining the corporate structure in which the<br />

company exists.<br />

(Details should include the shareholding, the principal business and the names and<br />

addresses of the directors of each company within the corporate structure.)<br />

D. A list of companies in which any company identified in the corporate structure flowchart<br />

holds greater or is able to exert influence over greater than 15% of the issued share<br />

capital (if none, advise accordingly).<br />

E. A description of the largest 20 shareholders of the company.<br />

(Details should show the full name of each shareholder and the relevant number and<br />

percentage of shares held.)<br />

F. A copy of the current Company Constitution or equivalent.<br />

G. Copies of the <strong>Certificate</strong> of Incorporation and each <strong>Certificate</strong> of Change of Name of<br />

Company.<br />

H. Copies of the financial statements <strong>for</strong> the company and any holding company, <strong>for</strong> the<br />

last five (5) years. Copies of audited accounts should be provided, if applicable.<br />

Signature: ___________________________________ 8


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

I. A copy of the Annual Reports of the company <strong>for</strong> the last five (5) years, if applicable.<br />

If not applicable, provide reasons.<br />

J. A copy of the company’s Chart of Accounts.<br />

Signature: ___________________________________ 9


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

A. COMPANY DETAILS<br />

PART TWO<br />

In<strong>for</strong>mation to be provided <strong>by</strong> written answer<br />

(i)<br />

Full name of company as currently incorporated:<br />

________________________________________________________________<br />

(ii)<br />

Other names the company has been known <strong>by</strong>:<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(iii)<br />

Registered office: _________________________________________________<br />

________________________________________________________________<br />

(iv)<br />

Address of principal place of business:<br />

________________________________________________________________<br />

________________________________________________________________<br />

Number of years at this address: ___________<br />

(v)<br />

Postal address: ___________________________________________________<br />

________________________________________________________________<br />

(vi)<br />

Contact Details:<br />

Telephones – Business: ( ____ ) __________________<br />

After Hours: ( ____ ) __________________<br />

Mobile:<br />

_________________________<br />

Email:<br />

_____________________________________<br />

(vii)<br />

Preferred contact person: ___________________________________________<br />

(viii) Date of incorporation: _____ / _____ / _____<br />

Signature: ___________________________________ 10


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

(ix)<br />

(x)<br />

Place of incorporation: _____________________________________________<br />

Australian Company Number (ACN): _________________________________<br />

(or equivalent – please specify).<br />

(xi)<br />

(xii)<br />

Paid Up Capital: $ ________________<br />

Name of the ultimate holding entity of the company:<br />

________________________________________________________________<br />

(xiii) List the following details <strong>for</strong> each current director, company secretary and any<br />

other officeholder (including members of the management board, supervisory<br />

board or any other body, <strong>by</strong> whatever name called) as well as the Chief<br />

Executive Officer:<br />

Name Position Residential Address<br />

Place and<br />

Date of Birth<br />

(xiv) List the following details <strong>for</strong> each director and other officeholder who has<br />

ceased to hold office during the last five (5) years:<br />

Name<br />

Last known residential address<br />

Date of<br />

Cessation<br />

Signature: ___________________________________ 11


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

(xv)<br />

Apart from those identified in Questions (xiii) and (xiv) above and the 20 largest<br />

shareholders (as advised <strong>by</strong> attachment – see Part One, item “E”), does any<br />

person or organisation either directly or indirectly have a controlling interest or<br />

significant influence in the company? (This may include but is not limited to a<br />

finance provider.)<br />

* YES / NO<br />

If YES, please provide details:<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(xvi) Does the company have any other company or person acting on its behalf in<br />

Australia or overseas?<br />

* YES / NO<br />

If YES, provide full details:<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(xvii) List all trading names and trademarks under which the company, its holding<br />

company and subsidiaries of the holding company operate.<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

Signature: ___________________________________ 12


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

(xviii) Is the company a trustee of any trust?<br />

* YES / NO<br />

If YES, provide full details:<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(xix) Is the company or the ultimate holding entity of the company listed on the<br />

Australian Stock Exchange (or overseas equivalent)?<br />

* YES / NO<br />

If YES, has the listed company every been fined, suspended or reprimanded <strong>for</strong><br />

breaches of the Australian Stock Exchange (or overseas equivalent) listing rules?<br />

If YES, provide full details:<br />

* YES / NO<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(xx)<br />

List the following details <strong>for</strong> each company auditor and external accountant<br />

engaged over the last five (5) years:<br />

Firm/Company<br />

Address<br />

Period of<br />

Engagement<br />

Signature: ___________________________________ 13


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

(xxi) To your knowledge while engaged <strong>by</strong> the company did such auditors or external<br />

accountants become subject to investigation <strong>for</strong> any reason?<br />

* YES / NO<br />

If YES, provide full details:<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(xxii) List the following details of any legal advisers, solicitors and/or consultants<br />

engaged over the last five (5) years:<br />

Firm/Company<br />

Address<br />

Period and Capacity<br />

of Engagement<br />

(xxiii) Commencing with the current state and country and working backwards, list all<br />

the states and countries in which the company has conducted business over the<br />

last 20 years.<br />

State and Country<br />

Dates Business Conducted<br />

From<br />

To<br />

Signature: ___________________________________ 14


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

B. ARRESTS, DETENTIONS AND LITIGATION<br />

Please note that disclosure of these matters in respect to a conviction or charge under<br />

a Queensland law <strong>for</strong> both the company and the individual is not limited <strong>by</strong> any time<br />

frame.<br />

(i)<br />

Has the company, or any holding or subsidiary company, in Australia or<br />

elsewhere:<br />

(a) been convicted of an offence? * YES / NO<br />

(b) been investigated <strong>by</strong> a law en<strong>for</strong>cement agency? * YES / NO<br />

(c) been summoned be<strong>for</strong>e a court to answer any offence? * YES / NO<br />

If YES, provide full details:<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(ii)<br />

Has any office holder or employee of the company, acting in that capacity, in<br />

Australia or elsewhere:<br />

(a) been convicted of an offence? * YES / NO<br />

(b) been investigated <strong>by</strong> a law en<strong>for</strong>cement agency? * YES / NO<br />

(c) been charged <strong>by</strong> a law en<strong>for</strong>cement agency? * YES / NO<br />

(d)<br />

(e)<br />

been summoned be<strong>for</strong>e a court to answer any offence whatsoever?<br />

* YES / NO<br />

had any charge proven without the recording of a conviction? * YES / NO<br />

(f) had civil proceedings instituted against them? * YES / NO<br />

If YES, provide full details: _________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

Signature: ___________________________________ 15


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

The Criminal Law (Rehabilitation of Offenders) Act 1986 of Queensland<br />

does not apply as Acts administered <strong>by</strong> OLGR are exempt. However, you may<br />

be entitled to claim a right of non-disclosure of matters arising under federal<br />

law or laws in other jurisdictions other than Queensland.<br />

If you have any concerns in that regard you should contact either:<br />

• the Privacy Commissioner (Federal) on the Privacy Hotline 1300 363 992;<br />

or<br />

• the equivalent body in your State; or<br />

• your solicitor.<br />

Note: “Law en<strong>for</strong>cement agency” includes but is not limited to State, Federal and Overseas<br />

Agencies such as Police Services, Crime Authorities, Crime Commissions, Commissions against<br />

Corruption, Securities and Investments Commissions, Customs Services, Taxation Offices,<br />

Competition and Consumer Commissions and Gaming Authorities.<br />

Note: If you are seeking entitlement to non-disclosure and will not be<br />

answering the above questions please place a cross in the box. An attachment<br />

setting out the reasons <strong>for</strong> non-disclosure including copies of the relevant<br />

legislation should accompany this <strong>for</strong>m. <br />

(iii)<br />

Has the company or any holding or subsidiary company been the subject of any<br />

investigation <strong>by</strong> any government authority, i.e. <strong>by</strong> any State or Commonwealth<br />

authority or department (or <strong>by</strong> any overseas equivalent)?<br />

* YES / NO<br />

If YES, please provide details: ______________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(iv)<br />

Has the company or any holding or subsidiary company had civil proceedings<br />

against it and is there any significant litigation currently in progress or pending?<br />

* YES / NO<br />

If YES, please provide details: ______________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

Signature: ___________________________________ 16


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

(v)<br />

Has the company or any holding or subsidiary company ever had any licence,<br />

certificate, authority or approval issued <strong>by</strong> a government agency in Australia or<br />

elsewhere relating to the conduct of gaming or any other business terminated,<br />

denied, suspended or revoked?<br />

* YES / NO<br />

If YES, please provide details: ______________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

C. FINANCIAL<br />

(i)<br />

List the following details of any persons, companies or institutions from which<br />

the company has current loans or has obtained funds on loan during the last<br />

five (5) years.<br />

(All amounts to be shown in Australian dollars)<br />

Name of Lender<br />

Amount<br />

borrowed<br />

(A$)<br />

Purpose of<br />

Loan<br />

Date of<br />

Commencement<br />

Expected<br />

Final<br />

Repayment<br />

Date<br />

Secured/<br />

Unsecured<br />

(ii) Is there any relationship between the company and the lender? * YES / NO<br />

If YES, provide full details: _________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

Signature: ___________________________________ 17


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

(iii)<br />

Has there been any material change to the financial situation of the company or<br />

its holding company since the last accounts <strong>for</strong> the company were made up<br />

which could impact upon the company’s operations?<br />

* YES / NO<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(iv)<br />

List the following details of all bank accounts operated <strong>by</strong> the company:<br />

Account Name<br />

Purpose of Loan<br />

Bank, Branch and<br />

Country<br />

Account<br />

Number<br />

(v)<br />

List the following details <strong>for</strong> each investment which currently represents greater<br />

than 5% of the company’s total assets:<br />

Description of Investment<br />

Percentage of<br />

Total Assets<br />

Signature: ___________________________________ 18


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

(vi)<br />

Has the company or any holding or subsidiary company:<br />

(a)<br />

(b)<br />

(c)<br />

been placed into liquidation, receivership, scheme of arrangement or under<br />

other <strong>for</strong>mal insolvency administration;<br />

had an agent <strong>for</strong> the mortgagee appointed; or<br />

had an investigation into the affairs of the company authorised under the<br />

Australian Securities and Investments Commission, its predecessors or<br />

equivalent overseas body?<br />

* YES / NO<br />

If YES, complete the following:<br />

Type of proceedings: _________________________________________<br />

Commencement date: _____ / _____ / _____<br />

Company name: _____________________________________________<br />

Name of Trustee, Administrator, Liquidator or Receiver/Manager:<br />

___________________________________________________________<br />

Telephone: ( ___ ) _______________________<br />

Details of circumstances leading to proceedings (including details of any<br />

pending arrangements) and a copy of the external administrator’s report<br />

should be attached if available:<br />

___________________________________________________________<br />

___________________________________________________________<br />

___________________________________________________________<br />

(vii)<br />

Are there any outstanding claims or litigation which could adversely affect the<br />

financial viability of the company?<br />

* YES / NO<br />

If YES, please provide details: ______________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(viii) If applying <strong>for</strong> a licence, advise whether the licence will be placed as collateral<br />

against any indebtedness.<br />

Signature: ___________________________________ 19


Office of Liquor, Gaming and Racing<br />

MPANY PROBITY FORM<br />

* YES / NO<br />

If YES, please provide details:<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(ix)<br />

Is the company and any holding or subsidiary company up to date with taxation<br />

lodgements?<br />

* YES / NO<br />

If NO, please provide reasons: _______________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(x)<br />

Is the company or any holding or subsidiary company, or a director of the<br />

company or any holding or subsidiary company, being investigated <strong>by</strong> any<br />

taxation authority in any country?<br />

* YES / NO<br />

If YES, please provide details: ______________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(xi)<br />

Has the company or any holding or subsidiary company, or a director of the<br />

company or any holding or subsidiary company, been investigated <strong>by</strong> any<br />

taxation authority in any country?<br />

* YES / NO<br />

If YES, please provide details: ______________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

Signature: ___________________________________ 20


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

D. INVOLVEMENT IN GAMING<br />

(i)<br />

Prior to this date has the company, any holding company or other related body<br />

corporate, been associated with the ownership, administration or management<br />

of:<br />

(a) a casino;<br />

(b) keno or lottery operations;<br />

(c) interactive gambling;<br />

(d) race wagering or sports wagering operations (including bookmaking);<br />

(e)<br />

(f)<br />

(g)<br />

club, hotel or tavern;<br />

the manufacture, assembling, selling, distributing, importing, supplying,<br />

repairing or operation of gaming machines, in-line machines, lucky<br />

envelope machines or other amusement devices;<br />

a licensed monitoring operator.<br />

* YES / NO<br />

If YES, please provide details: ______________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

Signature: ___________________________________ 21


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

(ii)<br />

Has the company, any holding company or other related body corporate had any<br />

interest, financial or otherwise, in any other company or with any person or<br />

business that is involved with the ownership, administration or management of:<br />

(a) casino;<br />

(b) keno or lottery operations;<br />

(c) interactive gambling;<br />

(d) race wagering or sports wagering operations (including bookmaking);<br />

(e)<br />

(f)<br />

(g)<br />

club, hotel or tavern;<br />

the manufacture, assembling, selling, distributing, importing, supplying,<br />

repairing or operation of gaming machine, in-line machines, lucky<br />

envelope machines or other amusement devices;<br />

a licensed monitoring operator.<br />

* YES / NO<br />

If YES, please provide details: ______________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

(iii)<br />

Has the company, any holding company or other related body corporate been<br />

subject to a probity investigation <strong>by</strong> any law en<strong>for</strong>cement authority or<br />

government regulator?<br />

* YES / NO<br />

If YES, please provide details including name of investigating authority,<br />

purpose of probity investigation and date of investigation:<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

Signature: ___________________________________ 22


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

(iv)<br />

Has the company, any holding company or other related body corporate ever<br />

provided any financial assistance or other support to any other organisation or<br />

person involved with the ownership, administration or management of:<br />

(a) casino;<br />

(b) keno or lottery operations;<br />

(c) interactive gambling;<br />

(d) race wagering or sports wagering operations (including bookmaking);<br />

(e)<br />

(f)<br />

(g)<br />

club, hotel or tavern;<br />

the manufacture, assembling, selling, distributing, importing, supplying,<br />

repairing or operation of gaming machine, in-line machines, lucky<br />

envelope machines or other amusement devices;<br />

a licensed monitoring operator.<br />

* YES / NO<br />

If YES, please provide details: ______________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

________________________________________________________________<br />

Signature: ___________________________________ 23


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

E. INFLUENCES, CONFLICT OF INTEREST AND DISQUALIFIED PERSONS<br />

The Office of Liquor, Gaming and Racing must be advised of any matter which<br />

could be seen as having a potential undue or improper influence on the conduct or<br />

outcome of a probity investigation or an application <strong>for</strong> a licence. Disclosures must also<br />

be made of persons with a potential conflict of interest or who may be classified as<br />

disqualified persons.<br />

(i) Are you aware of any person or shareholder associated with the company who is,<br />

or who is the spouse or child of:<br />

(a) a Member of the Legislative Assembly (Queensland); or<br />

(b) a staff member of a Member of the Legislative Assembly (Queensland); or<br />

(c) a councillor of a local government in Queensland?<br />

* YES / NO<br />

If YES, please supply details: ________________________________________<br />

_________________________________________________________________<br />

_________________________________________________________________<br />

_________________________________________________________________<br />

_________________________________________________________________<br />

_________________________________________________________________<br />

(ii) Has the company, a director, employee or shareholder of the company, or any<br />

other person or organisation acting on behalf of the company, been involved in<br />

any lob<strong>by</strong>ing, meetings, discussions or negotiations with any government official<br />

in regard to this probity investigation or, if applicable, this or any other<br />

application <strong>for</strong> a gaming licence?<br />

* YES / NO<br />

If YES, please provide details of the official’s name, name of persons acting on<br />

behalf of the company and the date and nature of any lob<strong>by</strong>ing, meetings,<br />

discussion or negotiations held:<br />

_________________________________________________________________<br />

_________________________________________________________________<br />

_________________________________________________________________<br />

_________________________________________________________________<br />

Signature: ___________________________________ 24


Office of Liquor, Gaming and Racing<br />

COMPANY PROBITY FORM<br />

CHECKLIST<br />

Be<strong>for</strong>e submitting this <strong>for</strong>m please complete the following checklist. If you are unable to<br />

complete the checklist you are advised that delays in processing the application or conducting<br />

the probity investigation may be experienced. You should advise when the outstanding<br />

matters are to be submitted.<br />

I here<strong>by</strong> certify I have:<br />

<br />

<br />

<br />

<br />

<br />

read the Instructions <strong>for</strong> Completion;<br />

signed each page of the <strong>for</strong>m;<br />

answered all questions in writing;<br />

answered all questions completely;<br />

completed and signed the <strong>Certificate</strong> of Acknowledgment and Undertaking<br />

(page 6) and Authority <strong>for</strong> Release of In<strong>for</strong>mation (page 7).<br />

and attached the following:<br />

<br />

<br />

<br />

<br />

<br />

<br />

<br />

<br />

<br />

a brief history of the company;<br />

a Statement of Company Records;<br />

a corporate structure flow-chart with explanatory text;<br />

a description of the largest 20 shareholders;<br />

a copy of the company’s Constitution or equivalent;<br />

a copy of the <strong>Certificate</strong> of Incorporation and any <strong>Certificate</strong> of Change of Name;<br />

copies of the financial statements <strong>for</strong> the last five (5) years;<br />

copies of the Annual Reports <strong>for</strong> the last five (5) years; and<br />

a copy of the Chart of Accounts.<br />

_________________________<br />

(Signature)<br />

_________________________<br />

(Name)<br />

(End)<br />

Signature: ___________________________________ 25


Office of Liquor, Gaming and Racing<br />

IMPORTANT<br />

PRIVACY STATEMENT<br />

The Office of Liquor, Gaming and Racing (OLGR)<br />

is collecting the in<strong>for</strong>mation on this <strong>for</strong>m so that it can<br />

meet its responsibilities as authorised in legislation<br />

which governs the use of this <strong>for</strong>m. OLGR may need to<br />

give some or all of this in<strong>for</strong>mation to other<br />

organisations or individuals as provided <strong>for</strong> in the<br />

legislation. OLGR may publish summary in<strong>for</strong>mation<br />

on our website (www.olgr.qld.gov.au).<br />

OLGR is committed to protecting your privacy and will<br />

comply with the Queensland Treasury Privacy Plan.<br />

If you require any clarification of this Privacy Statement<br />

and its application <strong>for</strong> this <strong>for</strong>m, please contact OLGR<br />

<strong>for</strong> further advice.

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