CORPORATIONS ACT 2001
Ch 7 inserted by No 122 of 2001, s 3, Sch 1, Pt 1
1] (effective 11 March 2002).
As Act No 122 of 2001 repealed Ch 7 and 8 the history notes for Ch 7 use
and references to the former provisions have been removed.
Sdiv B inserted by No 7 of 2017, s 3, Sch 1 (effective 15 March 2017).
SECTION 922E INFORMATION ABOUT A RELEVANT PROVIDER WHO IS A FINANCIAL SERVICES LICENSEE
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For the purposes of paragraph
, the notice must include the following:
(a) the relevant provider
(b) the address of the relevant provider
s principal place of business;
(c) the licence number given to the relevant provider under subsection
(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
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
Educational qualifications and memberships
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.
S 922E inserted by No 7 of 2017, s 3, Sch 1 (effective 15 March 2017).