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CORPORATIONS ACT 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS    View history reference

PART 7.6 - LICENSING OF PROVIDERS OF FINANCIAL SERVICES    View history reference

Division 8B - Compliance schemes    View history reference

Subdivision A - Compliance schemes to cover relevant providers    View history reference

SECTION 921H  FINANCIAL SERVICES LICENSEES TO ENSURE COMPLIANCE SCHEME COVERS RELEVANT PROVIDERS  

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921H(1)  

A financial services licensee must ensure that a compliance scheme covers:


(a) if the licensee is a relevant provider - the licensee; and


(b) in any case - any relevant provider authorised to provide personal advice to retail clients, on behalf of the licensee, in relation to relevant financial products.

Note: For when a compliance scheme covers a relevant provider, see section 921J.

921H(2)  

A compliance scheme must cover a relevant provider within 30 business days of the following:


(a) the day the person becomes a relevant provider;


(b) if the relevant provider was previously covered by only one compliance scheme that has ceased to cover the relevant provider - the day that scheme ceased to cover the relevant provider.

[CCH Note: There is no section 921I.]


 



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