Corporations Act 2001
[ 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).]
A notice under a notice provision must be in the prescribed form.
Note 1: Under section 350 , a document that this Act requires to be lodged with ASIC in a prescribed form must:
Note 2: The prescribed form may deal with information that is required under more than one section of this Act.
[ CCH Note: S 922L(1) will be amended by No 69 of 2020, s 3, Sch 1[1158], by inserting " lodged with ASIC " after " A notice " (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
A notice under a notice provision must be lodged within 30 business days of the following day:
(a) if the notice is lodged under subsection 922HA(1) - the day ASIC grants the Australian financial services licence mentioned in that subsection;
(b) if the notice is lodged under subsection 922HA(3) - the day the financial services licensee mentioned in that subsection decides that the licensee ' s CPD year is to begin on another day of the year;
(c) if the notice is lodged under subsection 922HB(1) - the last day of the CPD year of the financial services licensee mentioned in that subsection;
(d) if the notice is lodged under subsection 922HD(1) - (subject to subsection 922HD(3) ) the day the monitoring body mentioned in subsection 922HD(1) determines under subsection 921L(1) that a relevant provider has failed to comply with the Code of Ethics or a sanction is imposed;
(e) if the notice is lodged under any other notice provision - the day of the event mentioned in subsection (1) of the notice provision.
[ CCH Note: S 922L(2) will be amended by No 69 of 2020, s 3, Sch 1[1158], by inserting " lodged with ASIC " after " A notice " (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
The information contained in the notice must be accurate as at the day mentioned in paragraph (2)(a), (b), (c), (d) or (e). Who must cause notice to be lodged 922L(4)
The following person must cause a notice under section 922D , 922H or 922HB to be lodged in relation to a relevant provider:
(a) if the relevant provider is a financial services licensee - the licensee;
(b) otherwise - the financial services licensee on whose behalf the relevant provider is authorised to provide personal advice to retail clients in relation to relevant financial products. 922L(5)
A notice under subsection 922HA(1) or (3) must be lodged by the financial services licensee mentioned in that section. 922L(6)
A notice under section 922HD must be lodged by the monitoring body mentioned in subsection 922HD(1) . 922L(7)
A notice under section 922J or 922K relating to a person who starts or ceases to have control of a body corporate licensee must be lodged by the licensee.
This information is provided by CCH Australia Limited Link opens in new window. View the disclaimer and notice of copyright.