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).]
[ CCH Note: S 922H heading will be amended by No 69 of 2020, s 3, Sch 1[1153], by substituting " THE REGISTRAR " for " ASIC " , (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
A notice must be lodged under this section, in accordance with section 922L , if:
(a) there is a change in a matter, particulars of which are entered for a relevant provider in the Register of Relevant Providers (other than a change that is a direct consequence of an act by ASIC); or
(b) both of the following apply:
(i) a notice is lodged under section 922D in relation to a relevant provider by a financial services licensee without including the information referred to in paragraph 922F(1)(k) ;
(ii) the information becomes known to the licensee after the notice is lodged.
Note: For paragraph (1)(a) of this section, an example of a change in a matter would be a person ceasing to be a relevant provider. Another example would be a change in the compliance scheme that covers a relevant provider.
[ CCH Note 1: S 922H(1) will be amended by No 69 of 2020, s 3, Sch 1[1154] and [ 1155], by substituting " with the Registrar " for " , in accordance with section 922L, " and " , under section 922Q, in the records maintained under section 922A " for " in the Register of Relevant Providers " in para (a) (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
[ CCH Note 2: S 922H(1) will be amended by No 69 of 2020, s 3, Sch 1[1156], by substituting para (b) (effective 22 June 2022 or a day or days to be fixed by Proclamation). Para (b) will read:
(b) a notice is lodged under section 922D in relation to a relevant provider by a financial services licensee without including the information, required by the data standards, relating to:
(i) the relevant financial products in relation to which the relevant provider is authorised to provide personal advice to retail clients; andand the information becomes known to the licensee after the notice is lodged.]
(ii) whether the relevant provider is authorised to provide class of product advice in relation to some or all of those products;
The notice must include the following information:
(a) the new particulars or information to be entered in the Register;
(b) the relevant provider ' s name;
(c) if applicable, the number given to the relevant provider under section 922R .
[ CCH Note: S 922H(2) will be substituted by No 69 of 2020, s 3, Sch 1[1157 (effective 22 June 2022 or a day or days to be fixed by Proclamation). S 922H(2) will read:
922H(2)
The notice must meet any requirements of the data standards.]
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