Corporations Act 2001
Note: This Chapter applies to a CCIV in a modified form: see Division 4 of Part 8B.7 .
View history note
Hide history noteCCH note - modifying legislative instruments: The application of Pt 7.6 is affected by the following legislative instruments that commenced or were amended on or after 1 January 2022: the ASIC Corporations (Custody Standards for Providers of Custodial and Depository Services) Instrument 2024 / 17 (other than Divs 4 and 8); the ASIC Corporations (Investor Directed Portfolio Services) Instrument 2023 / 669 (as amended by ASIC Corporations (Amendment) Instrument 2024 / 554) (other than Divs 4 and 8); the ASIC Corporations (Record-Keeping Requirements for Australian Financial Services Licensees when Giving Personal Advice) Instrument 2024 / 508 (other than Divs 4 and 8); the ASIC Corporations (31-day Notice Term Deposits) Instrument 2025 / 172 (other than Divs 4 and 8); and the ASIC Corporations and Credit (Breach Reporting - Reportable Situations) Instrument 2024 / 620 (other than Divs 4 and 8) (as amended by ASIC Corporations and Credit (Amendment) Instrument 2025 / 289).
The application of Pt 7.6 is also affected by the Class Order 14 / 1262: Relief for 31 Day Notice Term Deposits (other than Divs 4 and 8); and the ASIC Corporations, Credit and Superannuation (Internal Dispute Resolution) Instrument 2020 / 98 (other than Divs 4 and 8).
For other legislative instruments or class orders before 1 January 2022 that affect the application of Pt 7.6, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
CCH Note - modifying legislative instruments: The application of Division 8A is affected by the following legislative instruments that commenced or were amended on or after 1 January 2022: the ASIC Corporations (Incidental Retail Cover) Instrument 2022 / 716; the ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022 / 705; the ASIC Corporations (Financial Requirements for Responsible Entities, IDPS Operators and Corporate Directors of Retail CCIVs) Instrument 2023 / 647; and the ASIC Corporations (Financial Requirements for Custodial or Depository Service Providers) Instrument 2023 / 648.
For legislative instruments or class orders before 1 January 2022 that affect the application of Division 8A, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
CCH Note - modifying legislative instruments: The application of Subdivision B is affected by the following legislative instruments that commenced on or after 1 January 2022: the ASIC Corporations (Incidental Retail Cover) Instrument 2022 / 716; the ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022 / 705; the ASIC Corporations (Financial Requirements for Responsible Entities, IDPS Operators and Corporate Directors of Retail CCIVs) Instrument 2023 / 647; and the ASIC Corporations (Financial Requirements for Custodial or Depository Service Providers) Instrument 2023 / 648.
For legislative instruments or class orders before 1 January 2022 that affect the application of Subdivision B, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
CCH note: This provision is modified by legislative instruments. See the CCH note at the end of the provision for details.
The Minister may, by legislative instrument, make a Code of Ethics.
921E(2)
Without limiting subsection 33(3A) of the Acts Interpretation Act 1901 , the Code of Ethics may make different provision in relation to different classes of relevant provider.
921E(3)
A relevant provider must comply with the Code of Ethics.
Note 1: Subsection (3) is a restricted civil penalty provision (see sections 921Q and 1317E ).
Note 2: ASIC or a Financial Services and Credit Panel may take certain other action against a relevant provider who contravenes subsection (3) (see Division 8B ).
CCH Note - modifying legislative instruments: Section 921E is modified by the following legislative instruments that commenced or were amended on or after 1 January 2022: the ASIC Corporations (Incidental Retail Cover) Instrument 2022 / 716; the ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022 / 705; the ASIC Corporations (Financial Requirements for Responsible Entities, IDPS Operators and Corporate Directors of Retail CCIVs) Instrument 2023 / 647; and the ASIC Corporations (Financial Requirements for Custodial or Depository Service Providers) Instrument 2023 / 648.
For modifying legislative instruments or class orders before 1 January 2022, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
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