Corporations Regulations 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

PART 7.6 - LICENSING OF PROVIDERS OF FINANCIAL SERVICES  

REGULATION 7.6.01C   OBLIGATION TO CITE LICENCE NUMBER IN DOCUMENTS  

7.6.01C(1)    
For subsection 912F(1) of the Act, the following documents are specified:

(a)    

a Financial Services Guide;

(b)    

a Supplementary Financial Services Guide;

(c)    a Product Disclosure Statement;

(d)    

a Supplementary Product Disclosure Statement;

(e)    

a Statement of Advice;

(f)    an application form for an application under section 1016A of the Act;

(g)    a document containing information required by regulations made under section 1017DA of the Act;

(h)    

a document prepared for section 1017B of the Act, notifying a person of changes and events;

(i)    

a Replacement Product Disclosure Statement.

7.6.01C(2)    
On and after 1 July 2004, for subsection 912F(1) of the Act, a periodic statement under section 1017D of the Act is specified.