Document ID: chunk:federal_register_of_legislation:C2019A00017:clause:1_1317e:p3
Version: federal_register_of_legislation:C2019A00017
Segment Type: clause
Provision Reference: sch 1 cl 1317E (pt 3/4)
Character Range: 82773–89603

responsible for breach of certain best interests duties                                                        uncategorised
section 962P                                                           charging ongoing fee after termination of ongoing fee arrangement                                                                        uncategorised
subsection 962S(1)                                                     fee recipient must give fee disclosure statement                                                                                         uncategorised
subsections 963E(1) and (2)                                            financial services licensee responsible for breach of ban on conflicted remuneration                                                     financial services
section 963F                                                           financial services licensee must ensure representatives do not accept conflicted remuneration                                            financial services
subsection 963G(1)                                                     authorised representative must not accept conflicted remuneration                                                                        financial services
section 963J                                                           employer must not pay employees conflicted remuneration                                                                                  financial services
section 963K                                                           financial product issuer or seller must not give conflicted remuneration to financial services licensee or representative                financial services
subsection 964A(1)                                                     platform operator must not accept volume‑based shelf‑space fees                                                                          financial services
subsections 964D(1) and (2)                                            financial services licensee responsible for breach of asset‑based fees on borrowed amounts                                               financial services
subsection 964E(1)                                                     authorised representative must not charge asset‑based fees on borrowed amounts                                                           financial services
section 965                                                            anti‑avoidance of Part 7.7A provisions                                                                                                   financial services
subsection 981B(3)                                                     obligation to pay money into an account                                                                                                  uncategorised
subsection 981C(2)                                                     various matters relating to accounts maintained for the purposes of section 981B                                                         uncategorised
subsection 981M(1)                                                     complying with client money reporting rules                                                                                              uncategorised
subsection 985E(1)                                                     issuing or increasing limit of margin lending facility without having made assessment etc.                                               financial services
subsection 985H(1)                                                     failure to assess a margin lending facility as unsuitable                                                                                financial services
subsection 985J(1)                                                     failure to give assessment to retail client if requested before issue of facility or increase in limit                                   financial services
subsection 985J(2)                                                     failure to give assessment to retail client if requested after issue of facility or increase in limit                                    financial services
subsection 985J(4)                                                     demanding payment to give assessment to retail client                                                                                    financial services
subsection 985K(1)                                                     issuing or increasing limit of margin lending facility if unsuitable                                                                     financial services
section 985L                                                           making issue of margin lending facility conditional on retail client agreeing to receive communications through agent                    financial services
subsection 985M(1)                                                     failure to notify of margin call where there is no agent                                                                                 financial services
subsection 985M(2)                                                     failure to notify of margin call where there is an agent                                                                                 financial services
subsection 993D(4)                                                     failure to pay loan money into an account as required                                                                                    financial services
subsection 1012A(5)                                                    obligation to give Product Disclosure Statement—personal advice recommending particular financial product                                financial services
subsection 1012B(6)                                                    obligation to give Product Disclosure Statement—situations related to issue of financial products                                        financial services
subsection 1012C(11)                                                   obligation to give Product Disclosure Statement—offers related to sale of financial products                                             financial services
subsection 1017BA(4B)                                                  trustee of regulated superannuation funds—obligation to make product dashboard publicly available                                        financial services
subsection 1017BB(5AA)                                                 trustee of registrable superannuation entities—obligation to make information relating to investment of assets publicly available        financial services
subsection 1020A(5)                                                    offers etc. relating to certain managed investment schemes not to be made in