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 subsection 922A(2) of the Act, ASIC must include the following details for each financial services licensee in the register of financial service licensees:
(a) the financial services licensee's name (including the financial services licensee's principal business name, if any);
(b) the principal business address of the financial services licensee;
(c) the date on which the financial services licensee's licence was granted;
(d) the number of the financial services licence of the financial services licensee;
(e) if the financial services licensee has an ABN - the ABN;
(f) details of any conditions on the financial services licensee's licence, including details of the financial service, or class of financial services, that the financial services licensee is authorised to provide;
(g) any other information that ASIC believes should be included in the register. 7.6.05(2) [ Register of authorised representatives of financial services licensees]
For subsection 922A(2) of the Act, ASIC must include the following details for each authorised representative of a financial services licensee in the register of authorised representatives of financial services licensees:
(a) the authorised representative's name (including the authorised representative's principal business name, if any);
(b) the authorised representative's principal business address;
(c) if the authorised representative is a body corporate - the name of each director and secretary;
(d) the number allocated to the authorised representative by ASIC;
(e) the name of each financial services licensee for which the authorised representative is an authorised representative;
(f) the number of the financial services licence of each financial services licensee for which the authorised representative is an authorised representative;
(g) if the authorised representative has an ABN - the ABN;
(h) the date of the authorised person's authorisation, and any other information about the authorisation that ASIC believes should be included in the register;
(i) any other information that ASIC believes should be included in the register.
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