Commonwealth Consolidated Regulations

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Particular categories of information to be shown in records

                   For paragraph 988E(g) of the Act, the following matters are specified:

                     (a)  all underwriting transactions entered into by the financial services licensee;

                     (b)  all financial products dealt with by the licensee under instructions from another person;

                     (c)  each person who gave instructions to deal with financial products;

                     (d)  all property:

                              (i)  that is not the property of the financial services licensee; and

                             (ii)  for which the financial services licensee, or a nominee controlled by the financial services licensee, is accountable;

                     (e)  each person by whom, or for whom, property mentioned in paragraph (d) is held;

                      (f)  the extent to which property mentioned in paragraph (d) is:

                              (i)  held in safe custody; or

                             (ii)  deposited with a third party as security for a loan or advance made to the financial services licensee;

                     (g)  all transactions in relation to insurance products entered into with, or on behalf of, foreign insurers.

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