130 paragraphs found
ASIC Pro Forma 209 Australian financial services licence conditions (PF 209), reissued in July 2022, sets out the standard licence conditions which subject to individual circumstances, will usually be applied to licences authorising a person to provide …
In addition, ASIC Class Orders CO 12/752, CO 13/76 and CO 13/761 set out the financial requirements applicable to specific categories of Licensees. It is important that these tailored requirements are examined carefully so that the appropriate financial …
The holder of a limited AFSL is not required to lodge FS71 with ASIC. Regulation 7.8.12A and 7.8.13A of the Regulations exempts limited Licensees [15] from lodging an auditor’s report with ASIC, but requires the lodgement of a compliance certificate with …
A foreign Authorised Deposit-taking Institution (“ADI”) which holds the AFSL that has relief under Instrument 2016/186 ASIC Corporations ( Foreign Licensees and ADIs ), is not required to lodge FS71 with ASIC. It is exempt from the requirements of section …
Where the foreign ADI is also regulated by APRA and the AFSL contains condition 27 in PF 209, then it is necessary for the foreign ADI to lodge an audit report (even if the foreign ADI is exempt under Instrument 2016/186), that states whether for the …
Division 4A is added by virtue of regulation 7.8.12A of the Regulations. …
Limited licensees are defined in regulation 7.8.12A of the Regulations. …
See ASIC Regulatory Guide RG 34 Auditor's obligations: Reporting to ASIC : Section C: RG 34.48. …