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 noteAn authorised representative of a financial services licensee contravenes this section if the authorised representative contravenes section 961B , 961G , 961H or 961J .
Note: This subsection is a civil penalty provision (see section 1317E ).
961Q(2)
Subsection (1) does not apply if:
(a) the licensee had provided the authorised representative with information or instructions about the requirements to be complied with in relation to the giving of personal advice; and
(b) the authorised representative ' s failure to comply with section 961B , 961G , 961H or 961J occurred because the representative was acting in reliance on that information or those instructions; and
(c) the representative ' s reliance on that information or those instructions was reasonable.
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