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 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.
[ CCH Note: S 922H heading will be amended by No 69 of 2020, s 3, Sch 1[1153], by substituting " THE REGISTRAR " for " ASIC " , (effective 1 July 2026 or a day or days to be fixed by Proclamation).]
A notice must be lodged under this section, in accordance with section 922L , if: (a) there is a change in a matter, particulars of which are entered for a relevant provider in the Register of Relevant Providers (other than a change that is a direct consequence of an act by ASIC); or (b) both of the following apply:
(i) a notice is lodged under section 922D in relation to a relevant provider by a financial services licensee without including the information referred to in paragraph 922F(1)(k) ;
(ii) the information becomes known to the licensee after the notice is lodged.
Note: For paragraph (1)(a) of this section, an example of a change in a matter would be a person ceasing to be a relevant provider.
[ CCH Note 1: S 922H(1) will be amended by No 69 of 2020, s 3, Sch 1[1154] and [ 1155], by substituting " with the Registrar " for " , in accordance with section 922L, " and " , under section 922Q, in the records maintained under section 922A " for " in the Register of Relevant Providers " in para (a) (effective 1 July 2026 or a day or days to be fixed by Proclamation).]
[ CCH Note 2: S 922H(1) will be amended by No 69 of 2020, s 3, Sch 1[1156], by substituting para (b) (effective 1 July 2026 or a day or days to be fixed by Proclamation). Para (b) will read:
(b) a notice is lodged under section 922D in relation to a relevant provider by a financial services licensee without including the information, required by the data standards, relating to:
(i) the relevant financial products in relation to which the relevant provider is authorised to provide personal advice to retail clients; andand the information becomes known to the licensee after the notice is lodged.]
(ii) whether the relevant provider is authorised to provide class of product advice in relation to some or all of those products;
[ CCH Note 3: S 922H(1) will be amended by No 115 of 2021, s 3, Sch 2[3], by substituting " Subject to subsection (3), a notice " for " A notice " , (effective 1 July 2026 or a day or days to be fixed by Proclamation).]
922H(2)
The notice must include the following information: (a) the new particulars or information to be entered in the Register; (b) the relevant provider ' s name; (c) if applicable, the number given to the relevant provider under section 922R .
[ CCH Note: S 922H(2) will be substituted by No 69 of 2020, s 3, Sch 1[1157] (effective 1 July 2026 or a day or days to be fixed by Proclamation). S 922H(2) will read:
922H(2)
The notice must meet any requirements of the data standards.]
[ CCH Note: S 922H(3) will be inserted by No 115 of 2021, s 3, Sch 2[4] (effective 1 July 2026 or a day or days to be fixed by Proclamation). S 922H(3) will read:
922H(3)
If:
(a) a relevant provider is authorised to provide personal advice to retail clients, on behalf of a financial services licensee, in relation to relevant financial products; and
(b) the relevant provider is required, under section 922PA , to notify the Registrar of a change in a matter;the financial services licensee is not required to cause a notice under this section to be lodged in relation to that change.]
CCH Note - modifying legislative instruments: Section 922H 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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