CORPORATIONS REGULATIONS 2001 - REG 10.2.44A Obligation to cite licence number in documents
CORPORATIONS REGULATIONS 2001 - REG 10.2.44A
Obligation to cite licence number in documents(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.
(2) For section 1444 of the Act, section 912F of the Act does not apply to the document.
(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.
(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.