Corporations Regulations 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

PART 7.6 - LICENSING OF PROVIDERS OF FINANCIAL SERVICES  

REGULATION 7.6.06   ASIC REGISTER RELATING TO PERSONS AGAINST WHOM BANNING ORDER OR DISQUALIFICATION ORDER IS MADE  

7.6.06(1)   [ Register of banned persons]  

For subsection 922A(2) of the Act, ASIC must include the following details for each person against whom a banning order is made in the register of persons against whom a banning order under Division 8 of Part 7.6 of the Act is made:


(a) the person's name;


(b) the day on which the banning order took effect;


(c) whether the banning order is permanent or for a fixed period;


(d) if the banning order is for a fixed period - the period;


(e) the terms of the banning order;


(f) whether the banning order has been varied or cancelled;


(g) if the banning order has been varied:


(i) the date of the variation; and

(ii) the terms of the variation;


(h) if the banning order has been cancelled - the date of the cancellation;


(i) any other information that ASIC believes should be included in the register.

7.6.06(2)   [ Register of disqualified persons]  

For subsection 922A(2) of the Act, ASIC must include the following details for each person against whom a disqualification order is made in the register of persons against whom a disqualification order under Division 8 of Part 7.6 of the Act is made:


(a) the person's name;


(b) the day on which the disqualification order took effect;


(c) whether the disqualification order is permanent or for a fixed period;


(d) if the disqualification order is for a fixed period - the period;


(e) the terms of the disqualification order;


(f) whether the disqualification order has been varied or revoked;


(g) if the disqualification order has been varied:


(i) the date of the variation; and

(ii) the terms of the variation;


(h) if the disqualification order has been revoked - the date of the revocation;


(i) any other information that ASIC believes should be included in the register.




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