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 - modifying legislative instruments: The application of Pt 7.6 is affected by the following legislative instruments that commenced or were amended on or after 1 January 2022: the ASIC Corporations (Custody Standards for Providers of Custodial and Depository Services) Instrument 2024/17 (other than Divs 4 and 8); the ASIC Corporations (Investor Directed Portfolio Services) Instrument 2023/669 (as amended by ASIC Corporations (Amendment) Instrument 2024/554) (other than Divs 4 and 8); the ASIC Corporations (Record-Keeping Requirements for Australian Financial Services Licensees when Giving Personal Advice) Instrument 2024/508 (other than Divs 4 and 8); the ASIC Corporations and Credit (Breach Reporting - Reportable Situations) Instrument 2024/620 (other than Divs 4 and 8); and the ASIC Corporations (31-day Notice Term Deposits) Instrument 2025/172 (other than Divs 4 and 8).
The application of Pt 7.6 is also affected by the Class Order 14/1262: Relief for 31 Day Notice Term Deposits (other than Divs 4 and 8); and the ASIC Corporations, Credit and Superannuation (Internal Dispute Resolution) Instrument 2020/98 (other than Divs 4 and 8).
For other legislative instruments or class orders before 1 January 2022 that affect the application of Pt 7.6, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
CCH Note - modifying legislative instruments: The application of Division 9 is affected by the following legislative instruments that commenced on or after 1 January 2022: 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).
For legislative instruments or class orders before 1 January 2022 that affect the application of Division 9, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
[ 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 - modifying legislative instruments: The application of Subdivision B is affected by the following legislative instruments that commenced on or after 1 January 2022: 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; and the ASIC Corporations (Financial Requirements for Custodial or Depository Service Providers) Instrument 2023/648.
For legislative instruments or class orders before 1 January 2022 that affect the application of Subdivision B, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
[ 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: This provision is modified by legislative instruments. See the CCH note at the end of the provision for details.
Notice in prescribed form
922L(1)
A notice lodged with ASIC under any of the following provisions (a notice provision ) must be in a prescribed form: (a) section 922D ; (b) section 922H ; (c) section 922HA ; (d) section 922HB ; (e) section 922J ; (f) section 922K .
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 1 July 2026 or a day or days to be fixed by Proclamation).]
When notice must be lodged
922L(2)
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) (Repealed) (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 1 July 2026 or a day or days to be fixed by Proclamation).]
922L(3)
The information contained in the notice must be accurate as at the day mentioned in paragraph (2)(a) , (b) , (c) 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)
(Repealed by No 115 of 2021, s 3, Sch 1[65] (effective 1 January 2022).)
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.
CCH Note - modifying legislative instruments: Section 922L is modified by the following legislative instruments that commenced or were amended on or after 1 January 2022: 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; and the ASIC Corporations (Financial Requirements for Custodial or Depository Service Providers) Instrument 2023/648.
For modifying legislative instruments or class orders before 1 January 2022, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
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