Commonwealth Consolidated Regulations

CORPORATIONS REGULATIONS 2001 - REG 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.

         (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.