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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 records

    For 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:

  (i)   held in safe custody; or

  (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.

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