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Contents  

Long Title

Part I PRELIMINARY

Part II LICENSING OF FINANCIAL ADVISERS AND THEIR REPRESENTATIVES

Part III CONDUCT OF BUSINESS

Division 1 — General

Division 2 — Life Insurance

Division 3 — Securities

Division 4 — Register of Interests in Securities

Part IV ACCOUNTS AND AUDIT

Division 1 — Accounts

Division 2 — Audit

Part V POWERS OF AUTHORITY

Part VI SUPERVISION AND INVESTIGATION

Division 1 — General

Division 2 — Inspection Powers of Authority

Division 3 — Investigative Powers of Authority

Part VII ASSISTANCE TO FOREIGN REGULATORY AUTHORITIES

Part VIII OFFENCES

Part IX APPEALS

Part X MISCELLANEOUS

FIRST SCHEDULE Excluded Financial Advisers

SECOND SCHEDULE Types of Financial Advisory Service

THIRD SCHEDULE Specified Provisions

Legislative Source Key

Legislative History

Comparative Table

 
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On 13/12/2017, you requested the version as published on or before 13/12/2017.
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LEGISLATIVE HISTORY

Financial Advisers Act
This Legislative History is provided for the convenience of users of the Financial Advisers Act. It is not part of this Act.
1.  
Date of First Reading
:
25 September 2001
(Bill No. 34/2001 published on 26 September 2001)
Date of Second and Third Readings
:
5 October 2001
Date of commencement
:
6 August 2002 (section 106)
2.  
Date of operation
:
31 December 2002
3.  
Date of First Reading
:
14 August 2003
(Bill No. 14/2003 published on 15 August 2003)
Date of Second and Third Readings
:
2 September 2003
Date of commencement
:
22 December 2003
4.  
(Consequential amendments made to Act by)
Date of First Reading
:
16 October 2003
(Bill No. 21/2003 published on 17 October 2003)
Date of Second and Third Readings
:
10 November 2003
Date of commencement
:
1 January 2004
5.  
(Consequential amendments made to Act by)
Date of First Reading
:
19 October 2004
(Bill No. 64/2004 published on 20 October 2004)
Date of Second and Third Readings
:
25 January 2005
Date of commencement
:
11 April 2005
6.  
Date of First Reading
:
19 October 2004
(Bill No. 47/2004 published on 20 October 2004)
Date of Second and Third Readings
:
25 January 2005
Date of commencement
:
1 July 2005
7.  
(Consequential amendments made to Act by)
Date of First Reading
:
25 January 2005
(Bill No. 1/2005 published on 26 January 2005)
Date of Second and Third Readings
:
18 February 2005
Date of commencement
:
1 February 2006
8.  
Date of First Reading
:
17 October 2005
(Bill No. 30/2005 published on 18 October 2005)
Date of Second and Third Readings
:
21 November 2005
Date of commencement
:
1 April 2006 (item (13) of the First Schedule)
9.  
Date of First Reading
:
8 November 2006
(Bill No. 14/2006 published on 9 November 2006)
Date of Second and Third Readings
:
22 January 2007
Date of commencement
:
1 March 2007 (except sections 6, 8 and 11)
10.  
Date of operation
:
31 March 2007