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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 1546Z  OBLIGATION TO NOTIFY ASIC OF CERTAIN INFORMATION AFTER BANNING ORDER  

 View history reference

1546Z(1)  

A notice must be lodged under this section, in the prescribed form, if:


(a) a person was banned, disqualified or suspended under Division 8 of Part 7.6 on 1 January 2019; and


(b) the person becomes a provisional relevant provider after that day.

1546Z(2)  

The notice must include the day the person begins undertaking work and training in accordance with subsection 921B(4).

1546Z(3)  

The notice must be lodged within 30 business days of the day mentioned in subsection (2) by the financial services licensee on whose behalf the person is authorised to provide personal advice to retail clients in relation to relevant financial products.


 



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