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 922P   CHANGE IN MATTER WITHIN 30 BUSINESS DAYS  

922P(1)  
Notices must be given under sections 922D , 922H and 922HD in relation to a person who was a relevant provider even if the person ceases to be a relevant provider before a notice has been lodged under section 922D .

922P(2)  
A notice is not required to be given under section 922HB in relation to a person if:


(a) the person was a relevant provider at the end of a financial services licensee ' s CPD year; and


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


(c) the person ceases to be a relevant provider within 30 business days of becoming a relevant provider.

922P(3)  
A notice is not required to be given under sections 922J and 922K in relation to a person who starts or ceases to have control of a body corporate licensee if the person ceases to have control of the licensee within 30 business days of starting to have control of the licensee.


 

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