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CORPORATIONS ACT 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS    View history reference

PART 7.6 - LICENSING OF PROVIDERS OF FINANCIAL SERVICES    View history reference

Division 9 - Registers relating to financial services    View history reference

Subdivision B - Notice requirements relating to the Register of Relevant Providers    View history reference

SECTION 922E  INFORMATION ABOUT A RELEVANT PROVIDER WHO IS A FINANCIAL SERVICES LICENSEE  

 View history reference

922E(1)  

For the purposes of paragraph 922D(2)(a), the notice must include the following:


(a) the relevant provider's name;


(b) the address of the relevant provider's principal place of business;


(c) the licence number given to the relevant provider under subsection 913C(1);


(d) the year in which the relevant provider first provided personal advice to retail clients in relation to relevant financial products in accordance with the law (including the law of a State or Territory);


(e) if applicable, the ABN of the relevant provider;


(f) information about both of the following:


(i) the relevant financial products in relation to which the relevant provider is authorised to provide personal advice to retail clients;

(ii) whether the relevant provider is authorised to provide class of product advice in relation to some or all of those products;


(g) the recent advising history of the relevant provider for the 5 years ending immediately before the time the notice is lodged;


(h) information about both of the following:


(i) the educational qualifications of, and any training courses completed by, the relevant provider, to the extent that the qualifications and training courses are relevant to the provision of financial services;

(ii) the relevant provider's membership (if any) of a professional association if an approval is in force under section 921K in relation to a compliance scheme monitored and enforced by the association;


(i) the name of the compliance scheme that is to cover the relevant provider.

Note: For the meaning of recent advising history, see section 922G.

Educational qualifications and memberships

922E(2)  

For the purposes of subparagraph (1)(h)(i), if a relevant provider has more than 5 educational qualifications or has completed more than 5 training courses, the notice must include the 5 qualifications or training courses that the person lodging the notice believes, on reasonable grounds, are most relevant to the provision of financial services.


 



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