Victorian Consolidated Regulations

Introduction Agents Regulations 1998 - SECT 9

PART 4 ADMINISTRATIVE MATTERS

Annual statement

9. Annual statement

For the purposes of section 35 of the Act, the details to be contained in an
annual statement are-

   (a)  the full name of the person acting as the introduction agent;

   (b)  the date the person gave notice to the Secretary under section 15 or
        75 of the Act;

   (c)  the date of the annual statement;

   (d)  the previously notified address or addresses at which the person acts
        as an introduction agent;

   (e)  any changes to those addresses;

   (f)  if the introduction agent is a corporation-

   (i)  the name, address and position of the person who prepared the annual
        statement; and

   (ii) in respect of any person who has been appointed to act as a director
        since the last annual statement (or, if the annual statement is the
        first annual statement, since notice was given under section 15 or 75
        of the Act)-

                (A)  her or his name (family and given names);

                (B)  any former names;

                (C)  her or his address;

                (D)  the date and place of her or his birth;

                (E)  the date she or he was appointed as a director; and

   (iii) in respect of any person ceasing to hold office as a director since
        the last annual statement (or, if the annual statement is the first
        annual statement, since notice was given under section 15 or 75 of the
        Act)-

                (A)  her or his name (family and given names);

                (B)  the date the appointment ceased;

   (g)  if the introduction agent is a natural person, any offences-

   (i)  with which the person has been charged;

   (ii) to which the person has pleaded guilty;

   (iii) of which the person has been convicted- since the last annual
        statement (or, if the annual statement is the first annual statement,
        since notice was given under section 15 or 75 of the Act);

   (h)  if the introduction agent is a corporation, any offences-

   (i)  with which the corporation or any of its directors has been charged;

   (ii) to which the corporation or any of its directors has pleaded guilty;

   (iii) of which the corporation or any of its directors has been convicted-
        since the last annual statement (or, if the annual statement is the
        first annual statement, since notice was given under section 15 or 75
        of the Act). _______________