Securities and Futures Act 2001 · 2020 Revised Edition · Part 4 · Holders of Capital Markets Services Licence and Representatives
99C. Records and public register of representatives
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 the following information of each appointed representative, provisional representative and temporary representative:
his or her name;
the name of his or her current principal and every past principal, if any;
the current and past types of regulated activities performed by him or her, the types of capital markets products in respect of which he or she performed each regulated activity and the date of commencement and cessation (if any) of his or her performance of such activities;
where the business of the principal for which he or she acts is carried on under a name or style other than the name of the principal, the name or style under which the business is carried on;
disciplinary proceedings or other action taken by the Authority against him or her and published under section 322;
such other information as may be prescribed.
The information referred to in subsection (1) need only be kept for such period of time as the Authority considers appropriate.
The Authority may reproduce the records referred to in subsection (1) or any part of them in a public register of representatives which must be published in such manner as it considers appropriate.
public register of representatives
“public register of representatives” means the register of that name under section 99C(3);