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 noteCCH note - modifying legislative instruments: The application of Pt 7.6 is affected by the following legislative instruments that commenced or were amended on or after 1 January 2022: the ASIC Corporations (Custody Standards for Providers of Custodial and Depository Services) Instrument 2024 / 17 (other than Divs 4 and 8); the ASIC Corporations (Investor Directed Portfolio Services) Instrument 2023 / 669 (as amended by ASIC Corporations (Amendment) Instrument 2024 / 554) (other than Divs 4 and 8); the ASIC Corporations (Record-Keeping Requirements for Australian Financial Services Licensees when Giving Personal Advice) Instrument 2024 / 508 (other than Divs 4 and 8); the ASIC Corporations (31-day Notice Term Deposits) Instrument 2025 / 172 (other than Divs 4 and 8); and the ASIC Corporations and Credit (Breach Reporting - Reportable Situations) Instrument 2024 / 620 (other than Divs 4 and 8) (as amended by ASIC Corporations and Credit (Amendment) Instrument 2025 / 289).
The application of Pt 7.6 is also affected by the Class Order 14 / 1262: Relief for 31 Day Notice Term Deposits (other than Divs 4 and 8); and the ASIC Corporations, Credit and Superannuation (Internal Dispute Resolution) Instrument 2020 / 98 (other than Divs 4 and 8).
For other legislative instruments or class orders before 1 January 2022 that affect the application of Pt 7.6, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
CCH Note - modifying legislative instruments: The application of Division 9 is affected by the following legislative instruments that commenced on or after 1 January 2022: the ASIC Corporations (Incidental Retail Cover) Instrument 2022 / 716; the ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022 / 705; the ASIC Corporations (Financial Requirements for Responsible Entities, IDPS Operators and Corporate Directors of Retail CCIVs) Instrument 2023 / 647; the ASIC Corporations (Financial Requirements for Custodial or Depository Service Providers) Instrument 2023 / 648; the ASIC Corporations (Investor Directed Portfolio Services) Instrument 2023 / 669; and the ASIC Corporations and Credit (Breach Reporting - Reportable Situations) Instrument 2021 / 716 (as amended by the ASIC Corporations and Credit (Amendment) Instrument 2023 / 589).
For legislative instruments or class orders before 1 January 2022 that affect the application of Division 9, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
[ CCH Note: Div 9 heading will be amended by No 69 of 2020, s 3, Sch 1 [ 1149 ] , by substituting " Records " for " Registers " , (effective 1 July 2026 or a day or days to be fixed by Proclamation). ]
CCH Note - modifying legislative instruments: The application of Subdivision B is affected by the following legislative instruments that commenced on or after 1 January 2022: the ASIC Corporations (Incidental Retail Cover) Instrument 2022 / 716; the ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022 / 705; the ASIC Corporations (Financial Requirements for Responsible Entities, IDPS Operators and Corporate Directors of Retail CCIVs) Instrument 2023 / 647; and the ASIC Corporations (Financial Requirements for Custodial or Depository Service Providers) Instrument 2023 / 648.
For legislative instruments or class orders before 1 January 2022 that affect the application of Subdivision B, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
[ CCH Note 1: Subdiv B heading will be amended by No 69 of 2020, s 3, Sch 1 [ 1151 ] , by substituting " relevant providers " for " the Register of Relevant Providers " , (effective 1 July 2026 or a day or days to be fixed by Proclamation). ]
[ CCH Note 2: Subdiv B heading will be amended by No 115 of 2021, s 3, Sch 2 [ 2 ] , by inserting " etc. " at the end, (effective 1 July 2026 or a day or days to be fixed by Proclamation). ]
CCH note: This provision is modified by legislative instruments. See the CCH note at the end of the provision for details.
Notice in prescribed form
922L(1)
A notice lodged with ASIC under any of the following provisions (a notice provision ) must be in a prescribed form: (a) section 922D ; (b) section 922H ; (c) section 922HA ; (d) section 922HB ; (e) section 922J ; (f) section 922K .
Note 1: Under section 350 , a document that this Act requires to be lodged with ASIC in a prescribed form must:
Note 2: The prescribed form may deal with information that is required under more than one section of this Act.
[ CCH Note: S 922L(1) will be amended by No 69 of 2020, s 3, Sch 1 [ 1158 ] , by inserting " lodged with ASIC " after " A notice " , (effective 1 July 2026 or a day or days to be fixed by Proclamation). ]
When notice must be lodged
922L(2)
A notice under a notice provision must be lodged within 30 business days of the following day: (a) if the notice is lodged under subsection 922HA(1) - the day ASIC grants the Australian financial services licence mentioned in that subsection; (b) if the notice is lodged under subsection 922HA(3) - the day the financial services licensee mentioned in that subsection decides that the licensee ' s CPD year is to begin on another day of the year; (c) if the notice is lodged under subsection 922HB(1) - the last day of the CPD year of the financial services licensee mentioned in that subsection;
(d) (Repealed) (e) if the notice is lodged under any other notice provision - the day of the event mentioned in subsection (1) of the notice provision.
[ CCH Note: S 922L(2) will be amended by No 69 of 2020, s 3, Sch 1 [ 1158 ] , by inserting " lodged with ASIC " after " A notice " , (effective 1 July 2026 or a day or days to be fixed by Proclamation). ]
922L(3)
The information contained in the notice must be accurate as at the day mentioned in paragraph (2)(a) , (b) , (c) or (e) .
Who must cause notice to be lodged
922L(4)
The following person must cause a notice under section 922D , 922H or 922HB to be lodged in relation to a relevant provider: (a) if the relevant provider is a financial services licensee - the licensee; (b) otherwise - the financial services licensee on whose behalf the relevant provider is authorised to provide personal advice to retail clients in relation to relevant financial products.
922L(5)
A notice under subsection 922HA(1) or (3) must be lodged by the financial services licensee mentioned in that section.
922L(6)
(Repealed by No 115 of 2021, s 3, Sch 1 [ 65 ] (effective 1 January 2022).)
922L(7)
A notice under section 922J or 922K relating to a person who starts or ceases to have control of a body corporate licensee must be lodged by the licensee.
CCH Note - modifying legislative instruments: Section 922L is modified by the following legislative instruments that commenced or were amended on or after 1 January 2022: the ASIC Corporations (Incidental Retail Cover) Instrument 2022 / 716; the ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022 / 705; the ASIC Corporations (Financial Requirements for Responsible Entities, IDPS Operators and Corporate Directors of Retail CCIVs) Instrument 2023 / 647; and the ASIC Corporations (Financial Requirements for Custodial or Depository Service Providers) Instrument 2023 / 648.
For modifying legislative instruments or class orders before 1 January 2022, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
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.
