Corporations Act 2001
[ CCH Note: Div 9 heading will be amended by No 69 of 2020, s 3, Sch 1, by substituting " Records " for " Registers " , (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
[ CCH Note: Subdiv B heading will be amended by No 69 of 2020, s 3, Sch 1, by substituting " relevant providers " for " the Register of Relevant Providers " , (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
A notice must be lodged under this section, in accordance with section 922L, in relation to a person if, at the end of a financial services licensee ' s CPD year:
(a) the person:
(i) is the licensee; or
(ii) is authorised to provide personal advice to retail clients, on behalf of the licensee, in relation to relevant financial products; and
(b) the person is a relevant provider; and
(c) the relevant provider has not complied with section 921D during the licensee ' s CPD year.
Note 1: A financial services licensee may obtain information from a relevant provider under section 922N for the purposes of determining whether to lodge a notice under this section.922HB(2)
The notice must state that the relevant provider has not complied with section 921D during the licensee ' s CPD year.
Disclaimer and notice of copyright applicable to materials provided by CCH Australia Limited
CCH Australia Limited ("CCH") believes that all information which it has provided in this site is accurate and reliable, but gives no warranty of accuracy or reliability of such information to the reader or any third party. The information provided by CCH is not legal or professional advice. To the extent permitted by law, no responsibility for damages or loss arising in any way out of or in connection with or incidental to any errors or omissions in any information provided is accepted by CCH or by persons involved in the preparation and provision of the information, whether arising from negligence or otherwise, from the use of or results obtained from information supplied by CCH.
The information provided by CCH includes history notes and other value-added features which are subject to CCH copyright. No CCH material may be copied, reproduced, republished, uploaded, posted, transmitted, or distributed in any way, except that you may download one copy for your personal use only, provided you keep intact all copyright and other proprietary notices. In particular, the reproduction of any part of the information for sale or incorporation in any product intended for sale is prohibited without CCH's prior consent.