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Conduct Background Check Protocol

22 January 2021

The Banking Industry Conduct Background Check Protocol is intended to promote good conduct and ethical behaviour by formalising obligations for protocol Subscribers to ask a series of fact-based questions as part of the hiring process about whether the individual is subject to an ongoing Misconduct Investigation, or was dismissed or resigned in specific circumstances relating to Misconduct, so they can make their own informed recruitment decisions.

The protocol complements the ASIC Reference Checking and Information Protocol,1 which superseded the ABA Financial Adviser Reference Checking & Information Sharing Protocol from
1 October 2021.

This protocol sets minimum standards for Subscribers regarding:
• A reciprocal obligation for Subscribers to request the Conduct Background Check for prospective Employees, and to respond to those requests for current Employees and former Employees who worked for the Subscriber at any time within the Request Period
• Standard format, process and timeframes for requesting and responding to Conduct Background Checks
• Fact-based, Conduct Background Check questions, and
• Related record keeping and confidentiality obligations.

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