Corporations Regulations 2001
CHAPTER 7
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FINANCIAL SERVICES AND MARKETS
PART 7.8
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OTHER PROVISIONS RELATING TO CONDUCT ETC CONNECTED WITH FINANCIAL PRODUCTS AND FINANCIAL SERVICES, OTHER THAN FINANCIAL PRODUCT DISCLOSURE
Division 6
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Financial records, statements and audit
Subdivision B
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Financial records of financial services licensees
REGULATION 7.8.11
7.8.11
PARTICULAR CATEGORIES OF INFORMATION TO BE SHOWN IN RECORDS
For paragraph 988E (g) of the Act, the following matters are specified:
(a) all underwriting transactions entered into by the financial services licensee;
(b) all financial products dealt with by the licensee under instructions from another person;
(c) each person who gave instructions to deal with financial products;
(d) all property:
(e) each person by whom, or for whom, property mentioned in paragraph (d) is held;
(f) the extent to which property mentioned in paragraph (d) is:
(g) all transactions in relation to insurance products entered into with, or on behalf of, foreign insurers.
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 988E (g) of the Act, the following matters are specified:
(a) all underwriting transactions entered into by the financial services licensee;
(b) all financial products dealt with by the licensee under instructions from another person;
(c) each person who gave instructions to deal with financial products;
(d) all property:
(i) that is not the property of the financial services licensee; and
(ii) for which the financial services licensee, or a nominee controlled by the financial services licensee, is accountable;
(e) each person by whom, or for whom, property mentioned in paragraph (d) is held;
(f) the extent to which property mentioned in paragraph (d) is:
(i) held in safe custody; or
(ii) deposited with a third party as security for a loan or advance made to the financial services licensee;
(g) all transactions in relation to insurance products entered into with, or on behalf of, foreign insurers.
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