Corporations Act 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

Note: This Chapter applies to a CCIV in a modified form: see Division 4 of Part 8B.7 .

PART 7.6 - LICENSING OF PROVIDERS OF FINANCIAL SERVICES  

Division 8C - Registration of relevant providers  

Subdivision A - Requirement for relevant providers to be registered  

SECTION 921Y   921Y   UNREGISTERED RELEVANT PROVIDERS NOT TO PROVIDE PERSONAL ADVICE  


A relevant provider must not provide personal advice to retail clients in relation to relevant financial products unless a registration of the relevant provider under subsection 921ZC(1) is in force.

Note: This section is a restricted civil penalty provision (see sections 921Q and 1317E ).


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