Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.44A

Obligation to cite licence number in documents

             (1)  This regulation applies if:

                     (a)  a person who has not been granted a financial services licence prepares any document in connection with the provision of financial services or the business of providing financial services; and

                     (b)  the document does not include a licence number for the person; and

                     (c)  the person is granted a licence after preparing the document.

             (2)  For section 1444 of the Act, section 912F of the Act does not apply to the document.

             (3)  If the document is a periodic statement under section 1017D of the Act, subregulation (2) ceases to apply at the end of 3 years after the FSR commencement.

             (4)  If the document is not a periodic statement under section 1017D of the Act, subregulation (2) ceases to apply at the end of 2 years after the FSR commencement.



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