Corporations Act 2001
Note: This Chapter applies to a CCIV in a modified form: see Division 4 of Part 8B.7 .
CCH Note: Division 3 is modified by the ASIC Corporations (Superannuation Calculators and Retirement Estimates) Instrument 2022/603 and the ASIC Corporations (Incidental Retail Cover) Instrument 2022/716.
CCH Note: Subdivision A is modified by the ASIC Corporations (Superannuation Calculators and Retirement Estimates) Instrument 2022/603 and the ASIC Corporations (Incidental Retail Cover) Instrument 2022/716.
CCH Note: Section 944A is modified by the ASIC Corporations (Superannuation Calculators and Retirement Estimates) Instrument 2022/603 and the ASIC Corporations (Incidental Retail Cover) Instrument 2022/716.
This Division applies in relation to the provision of personal advice (the advice ) in the following circumstances:
(a) the advice is provided:
(i) by a financial services licensee (the providing entity ); or
(ii) by a person (the providing entity ) in their capacity as authorised representative of a financial services licensee (the authorising licensee ), or of 2 or more financial services licensees (the authorising licensees ); and
(b) the advice is provided to a person (the client ) as a retail client.
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