Commonwealth Consolidated Acts

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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.



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