Corporations Regulations 2001
CHAPTER 7
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FINANCIAL SERVICES AND MARKETS
PART 7.7
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FINANCIAL SERVICE DISCLOSURE
Division 3
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Statement of Advice
REGULATION 7.7.11A
7.7.11A
STATEMENT OF ADVICE GIVEN BY AUTHORISED REPRESENTATIVE OF FINANCIAL SERVICES LICENSEE
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LICENCE NUMBER
For paragraph 947C(2) (h) of the Act, a providing entity that is an authorised representative of a financial services licensee must include the licensee's licence number in a Statement of Advice given to a client.
View history note
Hide history note[ CCH Note: Pursuant to the Corporations Amendment Regulations 2001 (No 4) (SR 2001 No 319) effective 11 March 2002, Chapter 7 (Securities) comprising reg 7.1.01 - 7.15.01 and Chapter 8 (The futures industry) comprising reg 8.1.01 - 8.7.03 are replaced by a new Chapter 7 (Financial services and markets) comprising reg 7.1.01 - 7.12.01. As the subject matter of the new Chapter 7 relates to the new financial services reform regime, " inserted " has been used in the history notes for each provision, and all references to the former provisions have been removed.]
For paragraph 947C(2) (h) of the Act, a providing entity that is an authorised representative of a financial services licensee must include the licensee's licence number in a Statement of Advice given to a client.
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