Where in Corps Act Flashcards
1
Q
Corps Act - Most conduct VOL 4 CHAP X
PDS, market misconduct, dispute resolution - Volume X Chap 7, x x x
A
Most conduct - Volume 4, Chap 7
PDS etc - Volume 5 Chap 7.9, 10, 10a
2
Q
What is a Financial Service, Meaning of Product Advice,
A
7.1
3
Q
Obligations under AFSL Part x div x
A
Part 7.6 Div 3
4
Q
Obligation to notify ASIC
A
7.6 Div 3
5
Q
Restrictions on certain words Chap x Div X SX
A
Chap 7.6 Div 10 923B
6
Q
Financial Services Disclosure
A
7.7
7
Q
BID Chap X
A
7.7A
8
Q
Ongoing Fees - FDS, Opt in Chap 7.7
A
7.7A
9
Q
Conflicted Rem
A
7.7A
10
Q
Prioritising clients interest Chap X sub x
A
7.7A Sub E
11
Q
Retail or Wholesale - where to locate
A
7.1 - Div 2 - Definitions
