Corporations Regulations 2001
CHAPTER 7
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FINANCIAL SERVICES AND MARKETS
PART 7.7
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FINANCIAL SERVICE DISCLOSURE
Division 2
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Financial Services Guide
REGULATION 7.7.06B
FINANCIAL SERVICES GUIDE GIVEN BY AUTHORISED REPRESENTATIVE OF FINANCIAL SERVICES LICENSEE: ARRANGEMENTS FOR COMPENSATION
7.7.06B(1)
For paragraph 942C(2)(m) of the Act, the Financial Services Guide given by the authorised representative of a financial services licensee must include a statement about: (a) the kind of arrangements for compensation that the licensee has in place; and (b) whether those arrangements satisfy the requirements under section 912B of the Act for arrangements for compensation.
7.7.06B(2)
This regulation commences, for a particular authorised representative, on the date that subregulations 7.6.02AAA(1) , (2) and (3) take effect for the financial services licensee for whom he or she is a representative.
View history note
Hide history note[ CCH Note: Pursuant to the Corporations Amendment Regulations 2001 (No 4) (SR 2001 No 319) effective 11 March 2002, Chapter 7 (Securities) comprising reg 7.1.01 - 7.15.01 and Chapter 8 (The futures industry) comprising reg 8.1.01 - 8.7.03 are replaced by a new Chapter 7 (Financial services and markets) comprising reg 7.1.01 - 7.12.01. As the subject matter of the new Chapter 7 relates to the new financial services reform regime, " inserted " has been used in the history notes for each provision, and all references to the former provisions have been removed.]
For paragraph 942C(2)(m) of the Act, the Financial Services Guide given by the authorised representative of a financial services licensee must include a statement about: (a) the kind of arrangements for compensation that the licensee has in place; and (b) whether those arrangements satisfy the requirements under section 912B of the Act for arrangements for compensation.
7.7.06B(2)
This regulation commences, for a particular authorised representative, on the date that subregulations 7.6.02AAA(1) , (2) and (3) take effect for the financial services licensee for whom he or she is a representative.
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