CORPORATIONS ACT 2001 - SECT 921Y Unregistered relevant providers not to provide personal advice

CORPORATIONS ACT 2001 - SECT 921Y

    A relevant provider must not provide personal advice to retail clients in relation to relevant financial products unless a registration of the relevant provider under subsection   921ZC(1) or (1A) is in force.

Note:   This section is a restricted civil penalty provision (see sections   921Q and   1317E).