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 790   NOTIFYING CHANGE IN PARTICULARS  

790    The holder of a licence must, within 21 days after:

(a)  in the case of a dealers licence - the licensee ceases to carry on the business to which the licence relates;

(b)  in the case of an investment advisers licence - the licensee ceases to act as, or to hold himself, herself or itself out to be, an investment adviser; or

(c)  there is a change in a matter particulars of which are required by virtue of paragraph 789(3)(a), (b), (d) or (f) to be entered, in relation to the licence, in the Register of Licence Holders;

lodge written particulars, in the prescribed form, of that fact, or of that change, as the case may be.




This information is provided by CCH Australia Limited Link opens in new window. View the disclaimer and notice of copyright.