Document ID: chunk:federal_register_of_legislation:C2025C00185:section:1317e:p4
Version: federal_register_of_legislation:C2025C00185
Segment Type: section
Provision Reference: s 1317E (pt 4/7)
Character Range: 5608246–5620138

961Q(1)                                                                                                                                                   authorised representative responsible for breach of certain best interests duties                                                                                                                               uncategorised
subsection 962R(4)                                                                                                                                                   fee recipient must obtain consent to deduct ongoing fees from an account                                                                                                                                        uncategorised
subsection 962S(5)                                                                                                                                                   fee recipient must obtain consent to arrange for deductions of ongoing fees from an account                                                                                                                     uncategorised
subsection 962S(8)                                                                                                                                                   fee recipient must not accept payment of ongoing fees resulting from a deduction from an account without consent                                                                                                uncategorised
section 962Z                                                                                                                                                         charging an ongoing fee after arrangement has terminated                                                                                                                                                        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
section 963P                                                                                                                                                         person covered by section 963M must pay amount etc. in accordance with regulations                                                                                                                              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
subsections 994B(2) and (9)                                                                                                                                          failure to make and make available target market determinations for financial products                                                                                                                          financial services
subsection 994C(2)                                                                                                                                                   failure to review target market determinations                                                                                                                                                                  financial services
subsection 994C(4)                                                                                                                                                   engaging in retail