Corporations Act 2001
Note: This Chapter applies to a CCIV in a modified form: see Division 4 of Part 8B.7 .
View history note
Hide history noteCCH Note: Division 9 is modified by the ASIC Corporations (Financial Requirements for Corporate Directors of Retail Corporate Collective Investment Vehicles) Instrument 2022/449; the ASIC Corporations (Incidental Retail Cover) Instrument 2022/716; and the ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022/705.
[ 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: Subdivision A is modified by the ASIC Corporations (Financial Requirements for Corporate Directors of Retail Corporate Collective Investment Vehicles) Instrument 2022/449; the ASIC Corporations (Incidental Retail Cover) Instrument 2022/716; and the ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022/705.
[ 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: Section 922A is modified by the ASIC Corporations (Financial Requirements for Corporate Directors of Retail Corporate Collective Investment Vehicles) Instrument 2022/449; the ASIC Corporations (Incidental Retail Cover) Instrument 2022/716; and the ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022/705.
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).]
Note: The Register of Relevant Providers is maintained under Subdivision C of this Division.
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