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CORPORATIONS REGULATIONS 2001 - REG 6D.3A.08 Gatekeeper obligation of CSF intermediary--checks

CORPORATIONS REGULATIONS 2001 - REG 6D.3A.08

Gatekeeper obligation of CSF intermediary--checks

  (1)   For the purposes of subsection   738Q(1) of the Act, this regulation prescribes the checks that a CSF intermediary needs to conduct before publishing any of the following documents (the offer document ) on a platform of the intermediary:

  (a)   a CSF offer document (or a document purporting to be a CSF offer document);

  (b)   a supplementary CSF offer document (or a document purporting to be a supplementary CSF offer document);

  (c)   a replacement CSF offer document (or a document purporting to be a replacement CSF offer document);

for a CSF offer of securities made by a company (the offering company ).

Identity of offering company

  (2)   The CSF intermediary must check the following information:

  (a)   the name, ACN and type of the offering company;

  (b)   the address of the registered office of the offering company;

  (c)   the address of the principal place of business of the offering company.

Eligibility to crowd fund

  (3)   The CSF intermediary must check whether:

  (a)   the company satisfies the requirements in paragraphs 738H(1)(a), (b), (c), (d), (e) and (f) of the Act; and

  (b)   the offer document satisfies the requirements in subsection   738J(2) and section   738K of the Act.

Information on directors etc.

  (4)   The CSF intermediary must check the following:

  (a)   the names and addresses of each person referred to in paragraph   6D.3A.04(1)(d);

  (b)   whether the offer document contains the information required by subregulation   6D.3A.04(3).

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