Particular categories of information to be shown in records

Current

For paragraph 988E(g) of the Act, the following matters are specified:

(a)

all underwriting transactions entered into by the financial services licensee;

(b)

all financial products dealt with by the licensee under instructions from another person;

(c)

each person who gave instructions to deal with financial products;

(d)

all property:

(i)

that is not the property of the financial services licensee; and

(ii)

for which the financial services licensee, or a nominee controlled by the financial services licensee, is accountable;

(e)

each person by whom, or for whom, property mentioned in paragraph (d) is held;

(f)

the extent to which property mentioned in paragraph (d) is:

(i)

held in safe custody; or

(ii)

deposited with a third party as security for a loan or advance made to the financial services licensee;

(g)

all transactions in relation to insurance products entered into with, or on behalf of, foreign insurers.

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