Australia Corporations Act 2001 (Cth)
Chapter 7 Parts 7.7, 7.7A and 7.8: Retail client disclosure, advice conduct, client money and records – Australia Corporations Act 2001 (Cth)

Australia Corporations Act 2001 (Cth) s961L: ss 961K and 961L Licensees: take reasonable steps to ensure representatives meet the best interests obligations

A licensee contravenes a civil penalty provision if it, or a non-authorised representative for whom it is responsible, contravenes ss 961B, 961G, 961H or 961J (s 961K), and it takes reasonable steps to ensure all its representatives comply with those sections (s 961L).

Maintained by Gerard Blokdyk

Other controls in Chapter 7 Parts 7.7, 7.7A and 7.8: Retail client disclosure, advice conduct, client money and records – Australia Corporations Act 2001 (Cth)

Query this from an agent

The graph holds this control, the 0 it maps to, and the evidence behind each claim, over MCP and REST.

MCP endpointAll Australia Corporations Act 2001 (Cth) controls