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CORPORATIONS ACT 2001

CHAPTER 10 - TRANSITIONAL PROVISIONS  

PART 10.23A - TRANSITIONAL PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (PROFESSIONAL STANDARDS OF FINANCIAL ADVISERS) ACT 2017    View history reference

Division 3 - Transitional notices    View history reference

SECTION 1546W  OBLIGATION TO NOTIFY ASIC OF CERTAIN INFORMATION  

 View history reference

1546W(1)  

A notice must be lodged under this section, in the prescribed form, if, before 15 November 2019, a notice was lodged in relation to a relevant provider under:


(a) section 922D, as inserted by the amending Act; or


(b) section 922D, as notionally inserted into this Act by Schedule 8D to the Corporations Regulations 2001.

1546W(2)  

The notice must include:


(a) the address of the relevant provider's principal place of business; and


(b) the name of the compliance scheme that is to cover the relevant provider.

1546W(3)  

The notice must be lodged before 1 January 2020 by:


(a) if the relevant provider is a financial services licensee - the licensee; or


(b) otherwise - 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.

1546W(4)  

Subsection 921J(2) applies, subject to this section, as if the reference in that subsection to section 922D included a reference to this section.


 



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