Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 7.8.13A

Compliance certificate with profit and loss statement and balance sheet

                   For paragraph 989B(3)(a) and subparagraph 989B(3)(b)(i) of the Act, a compliance certificate lodged by a licensee with a true and fair profit and loss statement and balance sheet in respect of a financial year must:

                     (a)  be lodged with ASIC in the prescribed form; and

                     (b)  be signed by:

                              (i)  if the licensee is an individual--the licensee; or

                             (ii)  if the licensee is a corporation--an officer of the corporation; or

                            (iii)  if the licensee is a partnership or the trustees of a trust--a partner or trustee who performs duties in relation to financial services.



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