Commonwealth Consolidated Regulations Commonwealth Consolidated RegulationsFor paragraph 989B(3)(a) and subparagraph 989B(3)(b)(i) of the Act, a compliance certificate lodged by a licensee with a true and fair profit and loss statement and balance sheet in respect of a financial year must:
(a) be lodged with ASIC in the prescribed form; and
(b) be signed by:
(i) if the licensee is an individual--the licensee; or
(ii) if the licensee is a corporation--an officer of the corporation; or
(iii) if the licensee is a partnership or the trustees of a trust--a partner or trustee who performs duties in relation to financial services.