Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 7.6.05

Register of financial services licensees and register of authorised representatives of financial services licensees

             (1)  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.

             (2)  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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