CORPORATIONS ACT 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

PART 7.6 - LICENSING OF PROVIDERS OF FINANCIAL SERVICES  

Division 9 - Registers relating to financial services  

Subdivision B - Notice requirements relating to the Register of Relevant Providers  

SECTION 922HA   OBLIGATION TO NOTIFY ASIC OF FINANCIAL SERVICES LICENSEE ' S CPD YEAR  

922HA(1)  
A notice must be lodged under this subsection, in accordance with section 922L , if ASIC grants an applicant an Australian financial services licence that covers the provision of personal advice to retail clients in relation to relevant financial products.

922HA(2)  
A notice lodged under subsection (1) must include the day on which the licensee ' s CPD year is to begin.

922HA(3)  
A notice must be lodged under this subsection, in accordance with section 922L , if a financial services licensee:


(a) has previously lodged a notice under subsection (1) or this subsection specifying a particular day of the year; and


(b) decides that the licensee ' s CPD year is to begin on another day of the year; and


(c) has not lodged a notice under subsection (1) or this subsection in the 12-month period preceding that decision.

922HA(4)  
A notice lodged under subsection (3) must include the day on which the licensee ' s CPD year is to begin.


 

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