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); and the ASIC Corporations and Credit (Breach Reporting - Reportable Situations) Instrument 2024/620 (other than Divs 4 and 8).
The application of Pt 7.6 is also affected by Class Order 14/1262: Relief for 31 Day Notice Term Deposits (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.
For the purposes of paragraph 922D(2)(b) , the notice must include the following: (a) the relevant provider ' s name; (b) the address of the relevant provider ' s principal place of business; (c) the relevant provider ' s date and place of birth; (d) the name of 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; (e) the licence number given to that licensee under subsection 913C(1) ; (f) if the relevant provider is a provisional relevant provider - the fact that the relevant provider is a provisional relevant provider; (g) if the relevant provider is a provisional relevant provider - the day the relevant provider began undertaking work and training in accordance with subsection 921B(4) ; (h) except in relation to provisional relevant providers - the year in which the relevant provider first provided personal advice to retail clients in relation to relevant financial products in accordance with the law (including the law of a State or Territory); (i) if the relevant provider is a relevant provider as a result of section 916B - each of the following:
(i) the name of the authorised representative who authorised the relevant provider under that section;
(j) if applicable, the ABN of any of the following:
(ii) the number allocated to the authorised representative by ASIC;
(i) the relevant provider;
(ii) the licensee referred to in paragraph (d) ;
(k) details of both of the following:
(iii) the authorised representative referred to in paragraph (i) ;
(i) the relevant financial products in relation to which the relevant provider is authorised to provide personal advice to retail clients;
(l) the recent advising history of the relevant provider for the 5 years ending immediately before the time the notice is lodged; (m) information about the educational qualifications of, and any training courses completed by, the relevant provider, to the extent that the qualifications and training courses are relevant to the provision of financial services.
(ii) whether the relevant provider is authorised to provide class of product advice in relation to some or all of those products;
(n) (Repealed)
Note: For the meaning of recent advising history , see section 922G.
Educational qualifications
922F(2)
For the purposes of paragraph (1)(m) , if a relevant provider has more than 5 educational qualifications or has completed more than 5 training courses, the notice must include the 5 qualifications or training courses that the person lodging the notice believes, on reasonable grounds, are most relevant to the provision of financial services.
Information already registered
922F(3)
The notice does not need to include the information referred to in paragraph (1)(h) , (l) or (m) if: (a) the person required under subsection 922L(4) to cause the notice to be lodged believes on reasonable grounds that the information has previously been lodged; or (b) the information is already entered on the Register of Relevant Providers.
Provisional relevant providers
922F(4)
The notice does not need to include the information referred to in paragraph (1)(k) in relation to a provisional relevant provider if that information is not known at the time the notice relating to the provisional relevant provider is lodged by the licensee.
Note: A notice must be lodged under section 922H once this information is known.
[ CCH Note: S 922F will be repealed by No 69 of 2020, s 3, Sch 1[1152] (effective 1 July 2026 or a day or days to be fixed by Proclamation).]
CCH Note - modifying legislative instruments: Section 922F 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.
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