THE CORPORATIONS LAW

CHAPTER 7 - SECURITIES

PART 7.3 - PARTICIPANTS IN THE SECURITIES INDUSTRY

Division 1 - Dealers and investment advisers and operators of managed investment schemes

SECTION 789   REGISTER OF LICENCE HOLDERS  

789(1)  [Commission to keep Register]  

The Commission shall keep a Register of Licence Holders for the purposes of this Chapter.

789(2)  [Documents to be included in Register]  

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.

789(3)  [Information to be included]  

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 body;

(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 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 holder of the licence - that name or style;

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

(f)  any other prescribed matters.

789(4)  [Removal of documents and particulars]  

Where a person no longer holds 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.

789(5)  [Access to Register]  

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