Document ID: chunk:federal_register_of_legislation:C2025C00185:section:1317e:p3
Version: federal_register_of_legislation:C2025C00185
Segment Type: section
Provision Reference: s 1317E (pt 3/7)
Character Range: 5599144–5609244

licensee to notify ASIC that the licensee has become, or ceased to be, a participant in a licensed market or a licensed CS facility                                             uncategorised
subsection 912EA(5)                                                                                                                                                  failure by a financial services licensee to notify an affected client of a reportable situation                                                                                                                 uncategorised
subsection 912EB(9)                                                                                                                                                  failure by a financial services licensee to investigate a reportable situation, notify an affected client of the outcome of the investigation or compensate an affected client                                  uncategorised
subsection 920C(4)                                                                                                                                                   need to comply with a banning order                                                                                                                                                                             uncategorised
subsection 921BA(5)                                                                                                                                                  relevant providers to meet education and training standards                                                                                                                                                     uncategorised
subsection 921BB(4)                                                                                                                                                  relevant providers who provide tax (financial) advice services to meet requirement for continuing professional development                                                                                      uncategorised
subsection 921E(3)                                                                                                                                                   relevant providers to comply with the Code of Ethics                                                                                                                                                            uncategorised
subsection 921F(8)                                                                                                                                                   requirements relating to provisional relevant providers                                                                                                                                                         uncategorised
subsection 921L(2)                                                                                                                                                   relevant providers to comply with direction under paragraph 921L(1)(a)                                                                                                                                          uncategorised
section 921Y                                                                                                                                                         unregistered relevant providers not to provide personal advice                                                                                                                                                  uncategorised
subsection 921Z(4)                                                                                                                                                   financial services licensees not to continue to authorise unregistered relevant providers to provide personal advice                                                                                            uncategorised
subsection 922M(5)                                                                                                                                                   need to comply with obligation to notify ASIC                                                                                                                                                                   uncategorised
subsection 941A(3)                                                                                                                                                   obligation on financial services licensee to give a Financial Services Guide if financial service provided to person as a retail client                                                                         uncategorised
subsection 941B(4)                                                                                                                                                   obligation on authorised representative to give a Financial Services Guide if financial service provided to person as a retail client                                                                           uncategorised
subsection 943G(3)                                                                                                                                                   obligation on financial services licensee to make website disclosure information available if financial product advice is provided to a person as a retail client and no Financial Services Guide is given      uncategorised
subsection 943H(4)                                                                                                                                                   obligation on authorised representative to make website disclosure information available if financial product advice is provided to a person as a retail client and no Financial Services Guide is given        uncategorised
subsection 943K(2)                                                                                                                                                   obligation to keep website disclosure information readily accessible                                                                                                                                            uncategorised
subsection 943L(2)                                                                                                                                                   obligation to keep website disclosure information up to date                                                                                                                                                    uncategorised
subsection 946A(4)                                                                                                                                                   obligation to give client a Statement of Advice                                                                                                                                                                 uncategorised
subsection 948C(2)                                                                                                                                                   obligation to give client a Cash Settlement Fact Sheet                                                                                                                                                          uncategorised
subsection 952E(9)                                                                                                                                                   giving a defective disclosure document or statement (whether or not known to be defective)                                                                                                                      uncategorised
subsection 952H(3)                                                                                                                                                   financial services licensee failing to ensure authorised representative gives disclosure documents or statements as required                                                                                    uncategorised
subsections 961K(1) and (2)                                                                                                                                          financial services licensee responsible for breach of certain best interests duties                                                                                                                             uncategorised
section 961L                                                                                                                                                         financial services licensee to ensure compliance with certain best interests duties                                                                                                                             uncategorised
subsection 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