Section 922HB — Corporations Act 2001 (Cth)

(1) A notice must be lodged under this section, in accordance with section 922L, in relation to a person if, at the end of a financial services licensee’s CPD year:

(a) the person:

(i) is the licensee; or

(ii) is authorised to provide personal advice to retail clients, on behalf of the licensee, in relation to relevant financial products; and

(b) the person is a relevant provider; and

(c) during the licensee’s CPD year:

(i) a CPD provision applied to the relevant provider; and

(ii) the relevant provider did not comply with that provision.

Note: A financial services licensee may obtain information from a relevant provider under section 922N for the purposes of determining whether to lodge a notice under this section.

(2) The notice must state which of the CPD provisions the relevant provider did not comply with during the licensee’s CPD year.

Related sections

• s 922G — Meaning of recent advising history
• s 922H — Ongoing obligation to notify ASIC when there is a change in a matter for a relevant provider
• s 922HA — Obligation to notify ASIC of financial services licensee’s CPD year
• s 922HC — Requirement to retain information
• s 922J — Obligation to notify ASIC about a person who starts to have control of a body corporate licensee
• s 922K — Obligation to notify ASIC about a person who ceases to have control of a body corporate licensee

Research how courts apply s 922HB

BriefBridge searches Australian caselaw by meaning — every answer cited to the paragraph.