Schedule NOTICE OF PARTICULARS OF HOLDERS OF PROP - Futures Industry Regulations - NOTICE OF PARTICULARS OF HOLDERS OF PROPER AUTHORITIES TO BE ENTERED IN REGISTER OF HOLDERS OF PROPER AUTHORITIES

NOTICE OF PARTICULARS OF HOLDERS OF PROPER AUTHORITIES TO BE ENTERED IN REGISTER OF HOLDERS OF PROPER AUTHORITIES

Note: Before completing this notice please read carefully the “Directions for completing Form 10C” at the end of this form

*1. The surname and other names of the person keeping the register are:

and in this notice that person is referred to as “the register keeper” (if the register keeper holds the licence referred to in item 3 under another name, that name should be specified in this item).

*1. The name of the body corporate keeping the register is:

and in this notice is referred to as “the register keeper”.

The full address (including the State or Territory and postcode) of the principal place at which the business of the register keeper is carried on is:
The licence held by the register keeper is a *futures brokers/*futures advisers licence and its number is:
The surname and other names of the person holding a proper authority from the register keeper are:

and in this notice that person is referred to as “the representative”.

On / /19 the representative commenced to hold a proper authority.
The full residential address of the representative (including the State or Territory and postcode) is:
The full address (where this is not the address of the register keeper), including the State or Territory and postcode, at which the representative carries on business is:
The above information has been, or is to be, entered in the register.

Dated 19 .

(Signature of *the register keeper/*director/*secretary/*principal executive officer of the register keeper)

DIRECTIONS FOR COMPLETING FORM 10C

Persons who must lodge notice

The notice must be lodged by futures brokers and futures advisers within 2 business days after:

(a) a person begins to hold a proper authority from the record keeper; or

(b) the record keeper receives the information;

whichever happens last, in accordance with subsection 78F (5) of the Act.

Omission of inapplicable matter prefixed by an asterisk

Inapplicable matter in a notice that is prefixed by the symbol “*” is to be omitted.

Separate annexures to be used where insufficient space on notices

If there is insufficient space on a notice in which to give the required information, the information is to be shown in a separate annexure. Requirements relating to annexures are set out in regulation 5.

Form 11 Futures Industry

(paragraph 83 (2) (b))

(regulation 23)

NOTICE OF PARTICULARS OF HOLDERS OF PROPNOTICE OF PARTICULARS OF HOLDERS OF PROPER AUTHORITIES TO BE ENTERED IN REGISTER OF HOLDERS OF PROPER AUTHORITIES

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NOTICE OF PARTICULARS OF HOLDERS OF PROPER AUTHORITIES TO BE ENTERED IN REGISTER OF HOLDERS OF PROPER AUTHORITIES