Corporations Regulations 2001
CHAPTER 7
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FINANCIAL SERVICES AND MARKETS
PART 7.6
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LICENSING OF PROVIDERS OF FINANCIAL SERVICES
REGULATION 7.6.03
7.6.03
APPLYING FOR AUSTRALIAN FINANCIAL SERVICES LICENCE
For paragraph 913A (a) of the Act, the following information is required as part of an application by [ sic ] person for an Australian financial services licence:
(a) if the person is a body corporate:
(b) if the person is applying on behalf of a partnership - the partnership's name and address, and the name of each partner;
(c) if paragraphs (a) and (b) do not apply - the person's name (including the person's principal business name, if any);
(d) the person's principal business address;
(e) if the person has an ABN - the ABN;
(f) a description of the financial services that the person proposes to provide;
(g) the arrangements (including a description of systems) by which the person will comply with its general obligations set out in section 912A of the Act;
(h) any other information that ASIC requires for the purpose of considering the application.
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 paragraph 913A (a) of the Act, the following information is required as part of an application by [ sic ] person for an Australian financial services licence:
(a) if the person is a body corporate:
(i) the person's name (including the person's principal business name, if any); and
(ii) the name and address of each director; and
(iii) the name and address of each secretary;
(b) if the person is applying on behalf of a partnership - the partnership's name and address, and the name of each partner;
(c) if paragraphs (a) and (b) do not apply - the person's name (including the person's principal business name, if any);
(d) the person's principal business address;
(e) if the person has an ABN - the ABN;
(f) a description of the financial services that the person proposes to provide;
(g) the arrangements (including a description of systems) by which the person will comply with its general obligations set out in section 912A of the Act;
(h) any other information that ASIC requires for the purpose of considering the application.
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