Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:4:p20
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 4 (pt 20/60)
Character Range: 866566–869821

by insurer
Subdivision AA—Client money reporting rules
7.8.05A Definitions for Subdivision AA of Division 2
7.8.05B Enforceable undertakings
7.8.05C Client money reporting infringement notices
7.8.05D Effect of client money reporting infringement notice provisions
7.8.05E Statement of reasons must be given
7.8.05F Contents of client money reporting infringement notice
7.8.05G Amount of penalty payable to the Commonwealth
7.8.05H Compliance with client money reporting infringement notice
7.8.05J Extension of client money reporting infringement notice period
7.8.05K Effect of compliance with client money reporting infringement notice
7.8.05L Application to withdraw client money reporting infringement notice
7.8.05M Withdrawal of client money reporting infringement notice by ASIC
7.8.05N Notice of withdrawal of client money reporting infringement notice
7.8.05P Withdrawal of notice after compliance
7.8.05Q Publication of details of client money reporting infringement notice
Subdivision B—Loan money
7.8.06 Statement setting out terms of loan etc
Division 3—Dealing with other property of clients
7.8.06A Property exempt from Division 3 of Part 7.8 of the Act
7.8.06B Wholesale client property
7.8.07 How property to which Division 3 of Part 7.8 of the Act to be dealt with
Division 4—Special provisions relating to insurance
7.8.08 Debts of financial services licensee in relation to premiums etc
Division 4A—Special provisions relating to margin lending facilities
Subdivision A—Responsible lending conduct for margin lending facilities
7.8.08A Limit of margin lending facility taken to be increased
7.8.08B Exemption from requirement to make unsuitability assessment
7.8.09 Reasonable inquiries etc about retail client: inquiries
7.8.09A Modification of section 985G of the Act
7.8.10 Circumstances in which margin lending facility is unsuitable
7.8.10A Margin lending facility taken not to be unsuitable
Division 6—Financial records, statements and audit
Subdivision B—Financial records of financial services licensees
7.8.11 Particular categories of information to be shown in records
7.8.11A Particular categories of information to be shown in records: records of non‑monetary benefit that is not conflicted remuneration
7.8.11B Information to be shown in records: records of rebates in relation to conflicted remuneration
7.8.12 Requirements in relation to financial records of financial services licensees
Subdivision C—Financial statements of financial services licensees
7.8.12A Modification of section 989B of the Act
7.8.13 Auditor's report with annual profit and loss statement and balance sheet
7.8.13A Compliance certificate with profit and loss statement and balance sheet
7.8.14 Contents of annual profit and loss statement and balance sheet and applicable accounting procedures
7.8.14A Lodgement of annual profit and loss statement and balance sheet
Subdivision D—Appointment etc. of auditors
7.8.14B Modification of section 990B of the Act
7.8.15 Appointment of auditor by financial services licensee
7.8.16 When person is ineligible to act as auditor of financial services licensee
Division 7—Other rules about conduct
7.8.17 Priority to clients' orders
7.8.18 Instructions to deal through licensed markets
7.8.19 Records of