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 noteAn outline of this Chapter is set out in the table below.
| Part-by-Part outline of Chapter 7 | ||
| Part... | Covers... | |
| 1 | 7.1 | meaning of some terms relating to financial services and markets |
| 2 | 7.2 | licensing of financial markets |
| other matters relating to financial markets | ||
| 2A | 7.2A | supervision of financial markets |
| 3 | 7.3 | licensing of clearing and settlement facilities |
| other matters relating to clearing and settlement facilities | ||
| 4 | 7.4 | limitation on ownership of certain licensees |
| individuals who are disqualified from being involved in certain licensees | ||
| 5 | 7.5 | compensation regimes for financial markets |
| 5A | 7.5A | regulation of derivative transactions and derivative trade repositories |
| 5B | 7.5B | regulation of financial benchmarks |
| 6 | 7.6 | licensing of providers of financial services |
| other related matters (e.g. restrictions on use of terminology; agreements with unlicensed persons relating to provision of financial services) | ||
| 7 | 7.7 | disclosure requirements for financial services licensees and their authorised representatives |
| disclosure requirements for certain people who are not required to be licensed | ||
| 7A | 7.7A | best interests obligations |
| charging ongoing fees to clients | ||
| ban on conflicted remuneration and other remuneration | ||
| 8 | 7.8 | other conduct requirements for financial services licensees (e.g. dealing with client money and property; financial records, statements and audit) |
| special provisions relating to insurance | ||
| special provisions relating to margin lending facilities | ||
| 8A | 7.8A | design and distribution requirements relating to financial products |
| 9 | 7.9 | financial product disclosure requirements |
| other requirements relating to issue, sale and purchase of financial products | ||
| 9A | 7.9A | intervention powers in relation to financial products |
| 10 | 7.10 | market misconduct and other prohibited conduct relating to financial products and services |
| 10A | 7.10A | authorisation and regulation of an external dispute resolution scheme for financial complaints |
| additional provisions relating to superannuation complaints | ||
| 11 | 7.11 | title to, and transfer of, certain securities and other financial products |
| 12 | 7.12 | qualified privilege in certain situations |
| other miscellaneous matters |
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