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; 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).
[ 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 B 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; 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).
[ CCH Note 1: 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 1 July 2026 or a day or days to be fixed by Proclamation).]
[ CCH Note 2: Subdiv B heading will be amended by No 115 of 2021, s 3, Sch 2[2], by inserting " etc. " at the end, (effective 1 July 2026 or a day or days to be fixed by Proclamation).]
CCH Note: Section 922G 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; 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).
The recent advising history of a relevant provider is the following information:
(a) for a relevant provider who is or was a financial services licensee authorised to provide personal advice to retail clients in relation to relevant financial products - each period during which the relevant provider was such a licensee;
(b) for a relevant provider who is or was authorised to provide personal advice to retail clients, on behalf of one or more financial services licensees, in relation to relevant financial products - the following information:
(i) the name of each licensee;
(ii) if the relevant provider is or was a relevant provider as a result of section 916B - the name of each authorised representative who authorised the relevant provider under that section;
(iii) each period during which the relevant provider was authorised by each licensee or each authorised representative to provide such advice.
Note: If a relevant provider is covered by paragraphs (a) and (b) of this section, the relevant provider ' s recent advising history includes all the information required under those paragraphs.
[ CCH Note: S 922G will be repealed by No 69 of 2020, s 3, Sch 1[1152] (effective 1 July 2026 or a day or days to be fixed by Proclamation).]
This information is provided by CCH Australia Limited Link opens in new window. View the disclaimer and notice of copyright.