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P601Application for a CLASS 1 and/or CLASS 2 LICENCE under the Security Industry Act 1997 OFFICE USE ONLY Application No:Trim No:NOTE 1. You can apply more quickly and easily online via police.nsw.gov.au/sled.
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Security industry forms for your rights are regulatory documents that ensure the protection of consumers and maintain transparency in the securities market.
Entities and individuals engaged in the securities industry, including brokers, dealers, investment advisors, and other related professionals, are required to file these forms.
To fill out these forms, you typically need to provide detailed information about your business activities, financial position, and compliance with regulatory requirements, along with supporting documents as needed.
The purpose of these forms is to safeguard investor rights, promote fair dealing, and enhance the integrity of the financial markets.
Key information to be reported includes financial statements, disclosures about business practices, client information security measures, and any regulatory compliance issues.
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