Section 921Y — Corporations Act 2001 (Cth)

Unregistered relevant providers not to provide personal advice

A relevant provider must not provide personal advice to retail clients in relation to relevant financial products unless a registration of the relevant provider under subsection 921ZC(1) or (1A) is in force.

Note: This section is a restricted civil penalty provision (see sections 921Q and 1317E).

Sourced from the Federal Register of Legislation at 17 May 2026. For the latest information on Australian Government law please go to https://www.legislation.gov.au. Verify the current text against the official source before relying on it.

Related sections

s 921V — Review of decisions etc.
s 921W — Electronic communication of documents given by Financial Services and Credit Panels etc.
s 921X — Electronic communication of documents given to Financial Services and Credit Panels etc.
s 921Z — Financial services licensees not to continue to authorise unregistered relevant providers to provide personal advice
s 921ZA — Application for registration—relevant providers who are financial services licensees applying to be registered
s 921ZB — Application for registration—financial services licensees applying to register relevant providers

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