Document ID: chunk:federal_register_of_legislation:C2025C00185:section:922hb
Version: federal_register_of_legislation:C2025C00185
Segment Type: section
Provision Reference: s 922HB
Character Range: 3831979–3832914

922HB  Obligation to notify ASIC of non‑compliance with CPD provisions
 (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.