Securities and Futures Act 2001 · 2020 Revised Edition · Part 4 · Holders of Capital Markets Services Licence and Representatives
94. Records of holders of capital markets services licence
Feedback & supportLast amended by an amending law of 2017. 2 amendments in all.
The Authority must keep in such form as it thinks fit records of holders of a capital markets services licence setting out the following information of each holder:
its name;
the address of the principal place of business at which it carries on the business in respect of which the licence is held;
the regulated activity or activities and the type or types of capital markets products to which its licence relates;
where the business is carried on under a name or style other than the name of the holder of the licence, the name or style under which the business is carried on;
such other information as may be prescribed.
The Authority may publish the information referred to in subsection (1) or any part of it in such manner as it considers appropriate.