Section 125

the contravention of —

any provision of this Act;

any condition or restriction of a financial adviser’s licence or an exemption granted under this Act;

any written direction made by the Authority under this Act;

any condition or restriction imposed on an appointed or provisional representative under section 31; or

any code, guideline, policy statement or practice note issued or published under section 74;

the failure by an officer of a licensed financial adviser or an exempt financial adviser to discharge any duty or function of his or her office; or

the commission of an offence under section 111 or 112(1);

in relation to a body corporate, means a director, member of the committee of management, chief executive, manager, secretary or other similar officer of the body, and includes a person purporting to act in any such capacity; or

in relation to an unincorporated association (other than a partnership), means the president, the secretary, or a member of the committee of the association or a person holding a position analogous to that of president, secretary or member of a committee, and includes a person purporting to act in any such capacity;