Australian Financial Services Licensing (AFSL) Forum

Home Forums Australian Financial Services Licensing (AFSL) Forum Do you list the CAR and the staff or just the CAR on the ASIC register Reply To: Do you list the CAR and the staff or just the CAR on the ASIC register

#4962 Reply

David

thankyou for your great reply.

You mention the sub auth rep issuing SOAs in the name of the CAR does that mean that if the advice issued in the CARs name then only the CAR details and the Licencees need to be on the SOA and the individuals does not?

The individials will be listed on the ASIC registers you mention  But not anywhere in the SOA?

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