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Contents

Long Title

Part I PRELIMINARY

Part II LICENSING OF FINANCIAL ADVISERS AND THEIR REPRESENTATIVES

Part III CONDUCT OF BUSINESS

Division 1 — General

Division 2 — Life Insurance

Division 3 — Securities

Division 4 — Register of Interests in Securities

Part IV ACCOUNTS AND AUDIT

Division 1 — Accounts

Division 2 — Audit

Part V POWERS OF AUTHORITY

Part VI SUPERVISION AND INVESTIGATION

Division 1 — General

Division 2 — Inspection Powers of Authority

Division 3 — Investigative Powers of Authority

Part VII ASSISTANCE TO FOREIGN REGULATORY AUTHORITIES

Part VIII OFFENCES

Part IX APPEALS

Part X MISCELLANEOUS

FIRST SCHEDULE Excluded Financial Advisers

SECOND SCHEDULE Types of Financial Advisory Service

THIRD SCHEDULE Specified Provisions

Legislative Source Key

Legislative History

Comparative Table

 
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On 19/05/2013, you requested for the version in force on 19/05/2013 incorporating all amendments published on or before 19/05/2013. The closest version currently available is that of 31/03/2007.
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Division 1 — General
Self-incrimination
68.
—(1)  A person is not excused from disclosing information to the Authority, pursuant to a requirement made of him under this Part, on the ground that the disclosure of the information might tend to incriminate him.
(2)  Where a person claims, before making a statement disclosing information that he is required to disclose by a requirement made of him under this Part, that the statement might tend to incriminate him, that statement shall not be admissible in evidence against him in criminal proceedings other than proceedings under this section .
[SF Bill, Clause 153 (1)]
Savings for advocates and solicitors
69.
—(1)  Nothing in this Part shall —
(a)
compel an advocate and solicitor to disclose or produce a privileged communication, or a document or other material containing a privileged communication, made by or to him in that capacity; or
(b)
authorise the taking of any such document or other material which is in his possession.
[15/2003]
(2)  An advocate and solicitor who refuses to disclose the information or produce the document or other material referred to in subsection (1) shall nevertheless be obliged to give the name and address (if he knows them) of the person to whom, or by or on behalf of whom, that privileged communication was made.
[15/2003]
(3)  Any advocate and solicitor who contravenes subsection (2) shall be guilty of an offence.
[SF Bill, Clause 153 (2)]