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CORPORATIONS ACT 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS    View history reference

PART 7.7A - BEST INTERESTS OBLIGATIONS AND REMUNERATION    View history reference

Division 2 - Best interests obligations    View history reference

Subdivision F - Responsibilities of licensees under this Division    View history reference

SECTION 961K  CIVIL PENALTY PROVISION - SECTIONS 961B, 961G, 961H AND 961J  

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961K(1)  

A financial services licensee contravenes this section if the licensee contravenes section 961B, 961G, 961H or 961J.

Note: This subsection is a civil penalty provision (see section 1317E).

961K(2)  

A financial services licensee contravenes this section if:


(a) a representative, other than an authorised representative, of the licensee contravenes section 961B, 961G, 961H or 961J; and


(b) the licensee is the, or a, responsible licensee in relation to that contravention.

Note: This subsection is a civil penalty provision (see section 1317E).


 



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