Securities and Futures Act 2001 · 2020 Revised Edition · Part 4 · Holders of Capital Markets Services Licence and Representatives
99G. Offences
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Any person who contravenes section 99D(3), 99E(4) (in relation to the application of section 99D(3) to a provisional representative) or 99F(4) (in relation to the application of section 99D(3) to a temporary representative) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000.
provisional representative
“provisional representative”, in respect of a type of regulated activity, has the meaning given to that expression by section 99E, and “provisional representative” means a provisional representative in respect of any type of regulated activity;
Any person who contravenes section 99D(8), 99E(4) (in relation to the application of section 99D(8) to a provisional representative), 99F(4) (in relation to the application of section 99D(8) to a temporary representative) or 99H(5) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $150,000 and, in the case of a continuing offence, to a further fine not exceeding $15,000 for every day or part of a day during which the offence continues after conviction.
temporary representative
“temporary representative”, in respect of a type of regulated activity, has the meaning given to that expression by section 99F, and “temporary representative” means a temporary representative in respect of any type of regulated activity;