CORPORATIONS REGULATIONS 2001 - REG 7.8.11 Particular categories of information to be shown in records
CORPORATIONS REGULATIONS 2001 - REG 7.8.11
Particular categories of information to be shown in recordsFor paragraph 988E(g) of the Act, the following matters are specified:
(a) all underwriting transactions entered into by the financial services licensee;
(b) all financial products dealt with by the licensee under instructions from another person;
(c) each person who gave instructions to deal with financial products;
(d) all property:
(i) that is not the property of the financial services licensee; and
(ii) for which the financial services licensee, or a nominee controlled by the financial services licensee, is accountable;
(e) each person by whom, or for whom, property mentioned in paragraph (d) is held;
(f) the extent to which property mentioned in paragraph (d) is:
(ii) deposited with a third party as security for a loan or advance made to the financial services licensee;
(g) all transactions in relation to insurance products entered
into with, or on behalf of, foreign insurers.