Corporations Act 2001

CHAPTER 9 - MISCELLANEOUS  

PART 9.4AB - INFRINGEMENT NOTICES FOR OTHER ALLEGED CONTRAVENTIONS  

Division 1 - General  

SECTION 1317DAPA   GIVING INFRINGEMENT NOTICES IN RELATION TO RESTRICTED CIVIL PENALTY PROVISIONS  

Giving an infringement notice following proposed action notice

1317DAPA(1)  
A Financial Services and Credit Panel must not give a person an infringement notice for the alleged contravention by the person of a restricted civil penalty provision unless:

(a)  the panel gave the person a proposed action notice in relation to a proposal to give the infringement notice to the person and either:


(i) no submission or request for a hearing was made within the response period for the notice; or

(ii) a submission or request for a hearing was made within the response period for the notice and the panel has considered the submission or held the hearing (as the case may be); or

(b)  all of the following apply:


(i) the panel gave the relevant provider a proposed action notice in relation to a proposed instrument under subsection 921K(1) in relation to the person and circumstances mentioned in that subsection;

(ii) those circumstances consist of, or include, the contravention;

(iii) a submission or request for a hearing was made within the response period for the proposed action notice;

(iv) the panel has considered the submission or held the hearing (as the case may be).
Instruments under subsection 921K(1) and warnings and reprimands

1317DAPA(2)  
A Financial Services and Credit Panel must not give a person an infringement notice for the alleged contravention by the person of a restricted civil penalty provision if:

(a)  the panel, or another Financial Services and Credit Panel, has:


(i) made an instrument under subsection 921K(1) in relation to the person; or

(ii) given the person a warning or reprimand;
because of circumstances mentioned in subsection 921K(1) or 921T(1) ; and

(b)  those circumstances consist of, or include, the contravention.


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