Authorised Person must, subject to (2), upon request by any Person, provide a copy of its most recent audited financial statements, together with the Financial Statement Auditor's Report to the Person. If the copy is made available in printed form, the Authorised Person may make a charge to cover reasonable costs incurred in providing the copy.
(2) The requirement in (1) does not apply to an
Authorised Firm which:
(a) is in Category 3B, Category 3C or Category 4; and
(b) does not hold or control
Client Assets or Insurance Monies.