Commonwealth Repealed Acts
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This legislation has been repealed.
CORPORATIONS LAW
- SECT 829
Power to make banning order against unlicensed person
Subject to section 837, the Commission may make a banning order against a
natural person (other than a licensee) if:
- (a)
- he or she becomes an
insolvent under
administration;
- (b)
- he or she is convicted of
serious fraud;
- (c)
- he or she becomes
incapable, through mental or physical incapacity, of managing his or her
affairs;
- (d)
- he or she contravenes a
securities law;
- (e)
- the Commission has reason
to believe that he or she is not of good fame and
character;
- (f)
- the Commission has reason
to believe that he or she has not performed efficiently, honestly and fairly
the duties of:
- (i)
- a
representative of a dealer;
or
- (ii)
- a representative of an
investment adviser; or
- (g)
- the Commission has reason
to believe that he or she will not perform efficiently, honestly and fairly
the duties of:
- (i)
- a
representative of a dealer;
or
- (ii)
- a representative of an
investment adviser.
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