7.4.03
CurrentRecord‑keeping: CS facility licensee
Chapter 7Financial services and markets
Part 7.4Limits on involvement with licensees
7.4.03 Record‑keeping: CS facility licensee
(1)
For paragraph 854A(1)(b) of the Act, a CS facility licensee must keep the following records:
(a)
a list of names and contact details of the directors, secretaries and senior managers of the CS facility licensee;
(b)
a list of names and contact details of individuals who hold more than 15% of the voting power in the CS facility licensee, prepared in accordance with the information given under regulation 7.4.04.
(2)
The CS facility licensee must keep the records for at least 5 years.
This Act’s bill:Explanatory statement
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