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 913A (a) of the Act, the following information is required as part of an application by [ sic ] person for an Australian financial services licence:
(a) if the person is a body corporate:
(i) the person's name (including the person's principal business name, if any); and
(ii) the name and address of each director; and
(iii) the name and address of each secretary;
(b) if the person is applying on behalf of a partnership - the partnership's name and address, and the name of each partner;
(c) if paragraphs (a) and (b) do not apply - the person's name (including the person's principal business name, if any);
(d) the person's principal business address;
(e) if the person has an ABN - the ABN;
(f) a description of the financial services that the person proposes to provide;
(g) the arrangements (including a description of systems) by which the person will comply with its general obligations set out in section 912A of the Act;
(h) any other information that ASIC requires for the purpose of considering the application.
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