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 C - Registration and period of registration  

SECTION 921ZE   921ZE   PERIOD OF REGISTRATION - RELEVANT PROVIDERS WHO ARE NOT FINANCIAL SERVICES LICENSEES  


If a financial services licensee makes an application in accordance with section 921ZB in relation to a relevant provider, and the Registrar registers the relevant provider under subsection 921ZC(1) , the registration:

(a)  

comes into force when the Registrar records in the records maintained under section 922A that the relevant provider is registered under subsection 921ZC(1) ; and

(b)  remains in force until the earliest of the following:


(i) the cancellation time specified in a registration prohibition order in force against the relevant provider;

(ii) the time when a banning order against the relevant provider takes effect;

(iii) the licensee ceases to authorise the relevant provider to provide personal advice to retail clients, on behalf of the licensee, in relation to relevant financial products.

Note: A notice must be lodged under section 922H when there is a change in a matter for a relevant provider.


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