Corporations Act 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

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Note: This Chapter applies to a CCIV in a modified form: see Division 4 of Part 8B.7 .

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History

Ch 7 amended by No 8 of 2022, s 3, Sch 2[165] (effective 1 July 2022).

Ch 7 inserted by No 122 of 2001, s 3, Sch 1, Pt 1 [ 1].

As Act No 122 of 2001 repealed Ch 7 and 8 the history notes for Ch 7 use " inserted " and references to the former provisions have been removed.

PART 7.7 - FINANCIAL SERVICES DISCLOSURE  

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Division 2 - Person provided with financial service as retail client to be given a Financial Services Guide  

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CCH Note: Division 2 is modified by the ASIC Corporations (Superannuation Calculators and Retirement Estimates) Instrument 2022/603 and the ASIC Corporations (Incidental Retail Cover) Instrument 2022/716.

Subdivision B - Content and authorisation of Financial Services Guide  

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CCH Note: Subdivision B is modified by the ASIC Corporations (Superannuation Calculators and Retirement Estimates) Instrument 2022/603 and the ASIC Corporations (Incidental Retail Cover) Instrument 2022/716.

SECTION 942E  

942E   ALTERING A FINANCIAL SERVICES GUIDE AFTER ITS PREPARATION AND BEFORE GIVING IT TO A PERSON  

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CCH Note: Section 942E is modified by the ASIC Corporations (Superannuation Calculators and Retirement Estimates) Instrument 2022/603 and the ASIC Corporations (Incidental Retail Cover) Instrument 2022/716.

A financial services licensee, or an authorised representative of a financial services licensee, must not, in purported compliance with a provision of this Part, give a person a Financial Services Guide (the FSG ) that has been altered (otherwise than pursuant to paragraph (b)) after the date specified in the FSG as required by subsection 942B(5) or 942C(5) unless:

(a) the alteration was made by, or with the authority of:

(i) if section 942B applies to the FSG - the financial services licensee to which the FSG relates; or

(ii) if section 942C applies to the FSG - the financial services licensee, or each of the financial services licensees, who authorised the distribution of the FSG; and

(b) if the alteration is a material alteration - the date of the FSG has been changed to the date on which the alteration was made.

Note: Failure to comply with this section is an offence (see subsection 1311(1) ).

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History

S 942E inserted by No 122 of 2001, s 3, Sch 1, Pt 1 [ 1].

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