Corporations Act 2001
[ CCH Note: Div 9 heading will be amended by No 69 of 2020, s 3, Sch 1, by substituting " Records " for " Registers " (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
[ CCH Note: Subdiv A will be substituted by No 69 of 2020, s 3, Sch 1 (effective 22 June 2022 or a day or days to be fixed by Proclamation). Subdiv A will read:
Subdivision A - Records generallySECTION 922A RECORDS RELATING TO FINANCIAL SERVICES
The Registrar must maintain records relating to financial services.
Note: The data standards may deal with how the Registrar is to maintain the records.
The regulations may prescribe the fees that a person must pay to the Registrar in relation to access to those records.
Note: For access to these records, see the disclosure framework.]
ASIC must establish and maintain one or more registers relating to financial services. 922A(2)
The regulations may prescribe the way in which the register or registers must be established or maintained, including the details that ASIC must enter in the register or registers in respect of the following persons or bodies:
(a) financial services licensees;
(b) authorised representatives of financial services licensees;
(c) persons against whom a banning order or disqualification order under Division 8 is made;
[ CCH Note: There is no paragraph 922A(2)(d).]
(e) any other persons or bodies that are prescribed by regulations made for the purposes of this paragraph.
Note: The Register of Relevant Providers is maintained under Subdivision C of this Division.