Corporations Act 2001
CHAPTER 7
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FINANCIAL SERVICES AND MARKETS
Division 2
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Person provided with financial service as retail client to be given a Financial Services Guide
Subdivision A
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Requirement for a Financial Services Guide to be given
SECTION 941A
OBLIGATION ON FINANCIAL SERVICES LICENSEE TO GIVE A FINANCIAL SERVICES GUIDE IF FINANCIAL SERVICE PROVIDED TO PERSON AS A RETAIL CLIENT
941A(1)
A financial services licensee (the providing entity ) must give a person a Financial Services Guide in accordance with this Division if the providing entity provides a financial service to the person (the client ) as a retail client. 941A(2)
This section has effect subject to section 941C . 941A(3)
A person contravenes this subsection if the person contravenes subsection (1).
Note: This Chapter applies to a CCIV in a modified form: see Division 4 of Part 8B.7 .
PART 7.7
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FINANCIAL SERVICES DISCLOSURE
CCH Note: Part 7.7, Divs 2, 3 and 4 are modified by ASIC Corporations (Superannuation Calculators and Retirement Estimates) Instrument 2022/603.
A financial services licensee (the providing entity ) must give a person a Financial Services Guide in accordance with this Division if the providing entity provides a financial service to the person (the client ) as a retail client. 941A(2)
This section has effect subject to section 941C . 941A(3)
A person contravenes this subsection if the person contravenes subsection (1).
Note: This subsection is a civil penalty provision (see section 1317E ).
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