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 922N   OBLIGATION FOR RELEVANT PROVIDERS TO PROVIDE INFORMATION TO FINANCIAL SERVICES LICENSEES  

Information about relevant provider

922N(1)  
A person must provide information to a financial services licensee in accordance with this section if:


(a) the person is a relevant provider; and


(b) the person has been authorised to provide personal advice to retail clients, on behalf of the licensee, in relation to relevant financial products; and


(c) the licensee has asked the person to provide the information so that the licensee can:


(i) comply with its obligation to lodge a notice relating to the person in accordance with section 922D ; or

(ii) comply with its obligation to lodge, under section 922H , a notice relating to the person for the purposes of section 921H ; or

(iii) determine whether the licensee has an obligation to lodge a notice under section 922HB .

Note: A person may commit an offence if the person knowingly gives false or misleading information (see section 1308 of this Act and section 137.1 of the Criminal Code ).

When information must be given

922N(2)  
The information must be given to the licensee within a period that allows the licensee to comply with the obligation referred to in paragraph (1)(c).


 

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