Corporations Act 2001
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Hide history note[ CCH Note: Div 9 heading will be amended by No 69 of 2020, s 3, Sch 1[1149], by substituting " Records " for " Registers " (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
[ CCH Note: Subdiv B heading will be amended by No 69 of 2020, s 3, Sch 1[1151], by substituting " relevant providers " for " the Register of Relevant Providers " (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
Notices must be given under sections 922D , 922H and 922HD in relation to a person who was a relevant provider even if the person ceases to be a relevant provider before a notice has been lodged under section 922D . 922P(2)
A notice is not required to be given under section 922HB in relation to a person if:
(a) the person was a relevant provider at the end of a financial services licensee ' s CPD year; and
(b) the person was authorised at that time to provide personal advice to retail clients, on behalf of the licensee, in relation to relevant financial products; and
(c) the person ceases to be a relevant provider within 30 business days of becoming a relevant provider. 922P(3)
A notice is not required to be given under sections 922J and 922K in relation to a person who starts or ceases to have control of a body corporate licensee if the person ceases to have control of the licensee within 30 business days of starting to have control of the licensee.
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