Corporations Regulations 2001
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 854A(1) (b) of the Act, a CS facility licensee must keep the following records:
(a) a list of names and contact details of the directors, secretaries and executive officers of the CS facility licensee;
(b) a list of names and contact details of individuals who hold more than 15% of the voting power in the CS facility licensee, prepared in accordance with the information given under regulation 7.4.04 . 7.4.03(2) [ Retention for at least five years]
The CS facility licensee must keep the records for at least 5 years.
This information is provided by CCH Australia Limited Link opens in new window. View the disclaimer and notice of copyright.