THE CORPORATIONS LAW

CHAPTER 7 - SECURITIES

PART 7.3 - PARTICIPANTS IN THE SECURITIES INDUSTRY

Division 5 - Excluding persons from the securities industry

SECTION 839   EFFECT OF ORDERS UNDER SECTION 838  

839(1)  [When Commission not to grant licence]  

The Commission shall not grant a dealers licence or an investment advisers licence to a person whom an order in force under section 838 disqualifies from holding a dealers licence or an investment advisers licence, as the case may be.

839(2)  [Prohibition on contravention]  

A person shall not contravene an order that:

(a)  is of a kind referred to in paragraph 838(2)(b);

(b)  is in force under section 838; and

(c)  relates to the person.




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