Corporations Regulations 2001

CHAPTER 10 - REPEALS, TRANSITIONAL MATTERS AND APPLICATION PROVISIONS  

PART 10.2 - TRANSITIONAL ARRANGEMENTS RELATING TO FINANCIAL SERVICES REFORM LEGISLATION  

Division 13 - Regulated principals  

REGULATION 10.2.44A   OBLIGATION TO CITE LICENCE NUMBER IN DOCUMENTS  

10.2.44A(1)    

This regulation applies if:

(a) a person who has not been granted a financial services licence prepares any document in connection with the provision of financial services or the business of providing financial services; and

(b) the document does not include a licence number for the person; and

(c) the person is granted a licence after preparing the document.

10.2.44A(2)    
For section 1444 of the Act, section 912F of the Act does not apply to the document.

10.2.44A(3)    

If the document is a periodic statement under section 1017D of the Act, subregulation (2) ceases to apply at the end of 3 years after the FSR commencement.

10.2.44A(4)    

If the document is not a periodic statement under section 1017D of the Act, subregulation (2) ceases to apply at the end of 2 years after the FSR commencement.