Commonwealth Numbered Regulations

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ASIC SUPERVISORY COST RECOVERY LEVY REGULATIONS 2017 (F2017L00805) - REG 40

Licensees that provide only general advice to retail or wholesale clients

                   A leviable entity forms part of the licensees that provide only general advice to retail or wholesale clients sub-sector in a financial year if:

                     (a)  the entity holds, at any time in the financial year, an Australian financial services licence; and

                     (b)  the licence authorises the holder to provide financial product advice that is only general advice.



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