THE CORPORATIONS LAW

CHAPTER 8 - THE FUTURES INDUSTRY

PART 8.3 - PARTICIPANTS IN THE FUTURES INDUSTRY

Division 1 - Futures brokers and futures advisers

SECTION 1155   REGISTER OF FUTURES LICENSEES  

1155(1)  [Commission to keep Register]  

The Commission shall keep a Register of Futures Licensees for the purposes of this Part.

1155(2)  [Register to include copy of licence etc]  

The Commission shall include in the Register, in relation to each licence, a copy of:

(a)  the licence; and

(b)  each instrument that imposes conditions on the licence, or revokes or varies conditions of the licence, after the licence is granted.

1155(3)  [Contents of Register]  

The Commission shall enter in the Register, in relation to each licence:

(a)  the name of the licensee;

(b)  if the licensee is a body corporate - the name of each director, and of each secretary, of the licensee;

(c)  the day on which the licence was granted;

(d)  in relation to each business to which the licence relates:

(i) the address of the principal place of business at which the business is carried on;

(ii) the addresses of the other places (if any) at which the business is carried on; and

(iii) if the business is carried on under a name or style other than the name of the licensee - that name or style;

(e)  in the case of a futures brokers licence - the name, and the address of the principal place of business, of each futures organisation of which the licensee is a member;

(f)  particulars of any suspension of the licence; and

(g)  such other matters (if any) as are prescribed.

1155(4)  [Removal from Register]  

Where a person ceases to hold a particular licence, the Commission shall remove from the Register the documents included in it, and the particulars entered in it, in relation to that licence.

1155(5)  [Register may be inspected]  

A person may inspect, and may make copies of, or take extracts from, the Register.