Commonwealth Consolidated Acts

[Index] [Table] [Search] [Search this Act] [Notes] [Noteup] [Previous] [Next] [Download] [Help]

CORPORATIONS ACT 2001 - SECT 944A

Situation in which Division applies

    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.


AustLII: Copyright Policy | Disclaimers | Privacy Policy | Feedback