Corporations Act 2001

CCH 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 9 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; the ASIC Corporations (Financial Requirements for Custodial or Depository Service Providers) Instrument 2023 / 648; the ASIC Corporations (Investor Directed Portfolio Services) Instrument 2023 / 669; and the ASIC Corporations and Credit (Breach Reporting - Reportable Situations) Instrument 2021 / 716 (as amended by the ASIC Corporations and Credit (Amendment) Instrument 2023 / 589).

For legislative instruments or class orders before 1 January 2022 that affect the application of Division 9, 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: Div 9 heading will be amended by No 69 of 2020, s 3, Sch 1 [ 1149 ] , by substituting " Records " for " Registers " , (effective 1 July 2026 or a day or days to be fixed by Proclamation). ]

CCH Note - modifying legislative instruments: The application of Subdivision A 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 A, 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: Subdiv A will be substituted by No 69 of 2020, s 3, Sch 1 [ 1150 ] (effective 1 July 2026 or a day or days to be fixed by Proclamation). Subdiv A will read:

Subdivision A - Records generally

SECTION 922A RECORDS RELATING TO FINANCIAL SERVICES  

922A(1)
The Registrar must maintain records relating to financial services.

Note: The data standards may deal with how the Registrar is to maintain the records.

922A(2)
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. ]

CCH note: This provision is modified by legislative instruments. See the CCH note at the end of the provision for details.

CCH Note - modifying legislative instruments: Section 922B 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.