Corporations Act 2001
View history note
Hide history noteCCH Note: Division 4 is modified by the ASIC Corporations (Chapter 5C - Miscellaneous Provisions) Instrument 2017/125.
CCH Note: Subdivision A is modified by the ASIC Corporations (Chapter 5C - Miscellaneous Provisions) Instrument 2017/125.
CCH Note: Section 1226 is modified by the ASIC Corporations (Chapter 5C - Miscellaneous Provisions) Instrument 2017/125.
A retail CCIV must have a compliance plan.
Note: A copy of the compliance plan must be lodged with ASIC with the application to register a CCIV that is to be a retail CCIV: see subsection 1222A(6) .
1226(2)
A wholesale CCIV is not required to have a compliance plan.
1226(3)
A CCIV must lodge a copy of its compliance plan with ASIC within 14 days of becoming a retail CCIV. The copy must be signed by all the directors of the corporate director.
Note: Section 1222J defines retail CCIV .
1226(4)
An offence based on subsection (3) is an offence of strict liability.
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