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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 9 - Registers relating to financial services    View history reference

Subdivision B - Notice requirements relating to the Register of Relevant Providers    View history reference

SECTION 922H  ONGOING OBLIGATION TO NOTIFY ASIC WHEN THERE IS A CHANGE IN A MATTER FOR A RELEVANT PROVIDER  

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922H(1)  

A notice must be lodged under this section, in accordance with section 922L, if:


(a) there is a change in a matter, particulars of which are entered for a relevant provider in the Register of Relevant Providers (other than a change that is a direct consequence of an act by ASIC); or


(b) both of the following apply:


(i) a notice is lodged under section 922D in relation to a relevant provider by a financial services licensee without including the information referred to in paragraph 922F(1)(k);

(ii) the information becomes known to the licensee after the notice is lodged.

Note: For paragraph (1)(a) of this section, an example of a change in a matter would be a person ceasing to be a relevant provider. Another example would be a change in the compliance scheme that covers a relevant provider.

922H(2)  

The notice must include the following information:


(a) the new particulars or information to be entered in the Register;


(b) the relevant provider's name;


(c) if applicable, the number given to the relevant provider under section 922R.


 



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