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CORPORATIONS ACT 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS    View history reference

PART 7.7 - FINANCIAL SERVICES DISCLOSURE    View history reference

Division 3 - Additional requirements for personal advice provided to a retail client    View history reference

Subdivision A - When this Division applies    View history reference

SECTION 944A  

944A  SITUATION IN WHICH DIVISION APPLIES  

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This Division applies in relation to the provision of personal advice (the advice) in the following circumstances:


(a) the advice is provided:


(i) by a financial services licensee (the providing entity); or

(ii) by a person (the providing entity) in their capacity as authorised representative of a financial services licensee (the authorising licensee), or of 2 or more financial services licensees (the authorising licensees); and


(b) the advice is provided to a person (the client) as a retail client.


 



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