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CORPORATIONS ACT 2001 No. 50, 2001 - SECT 1155

Register of Futures Licensees

(1) ASIC must keep a Register of Futures Licensees for the purposes of this Part. (2) ASIC must include in the Register, in relation to each licence, a copy of:

(a)
the licence; and

(b)
each instrument that imposes conditions on the licence, or revokes or varies conditions of the licence, after the licence is granted.

(3) ASIC must enter in the Register, in relation to each licence:

(a)
the name of the licensee; and

(b)
if the licensee is a body corporate—the name of each director, and of each secretary, of the licensee; and

(c)
the day on which the licence was granted; and

(d)
in relation to each business to which the licence relates:

(i)
the address of the principal place of business at which the business is carried on; and
(ii)
the addresses of the other places (if any) at which the business is carried on; and
(iii)
if the business is carried on under a name or style other than the name of the licensee—that name or style; and
(e)
in the case of a futures brokers licence—the name, and the address of the principal place of business, of each futures organisation of which the licensee is a member; and

(f)
particulars of any suspension of the licence; and

(g)
such other matters (if any) as are prescribed.

(4) Where a person ceases to hold a particular licence, ASIC must remove from the Register the documents included in it, and the particulars entered in it, in relation to that licence. (5) A person may inspect, and may make copies of, or take extracts from, the Register.



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