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As Act No 122 of 2001 repealed Ch 7 and 8 the history notes for Ch 7 use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 922F INFORMATION ABOUT A RELEVANT PROVIDER WHO IS NOT 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 relevant provider
s date and place of birth;
(d) the name of the financial services licensee on whose behalf the relevant provider is authorised to provide personal advice to retail clients in relation to relevant financial products;
(e) the licence number given to that licensee under subsection
(f) if the relevant provider is a provisional relevant provider
the fact that the relevant provider is a provisional relevant provider;
(g) if the relevant provider is a provisional relevant provider
the day the relevant provider began undertaking work and training in accordance with subsection
(h) except in relation to provisional relevant providers
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);
(i) if the relevant provider is a relevant provider as a result of section
each of the following:
(i) the name of the authorised representative who authorised the relevant provider under that section;
(ii) the number allocated to the authorised representative by ASIC;
(j) if applicable, the ABN of any of the following:
(i) the relevant provider;
(ii) the licensee referred to in paragraph (d);
(iii) the authorised representative referred to in paragraph (i);
(k) details of 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;
(l) the recent advising history of the relevant provider for the 5 years ending immediately before the time the notice is lodged;
(m) 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;
(n) 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
For the purposes of subparagraph (1)(m)(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.
Information already registered
The notice does not need to include the information referred to in paragraph (1)(h), (l) or (m) if:
(a) the person required under subsection
to cause the notice to be lodged believes on reasonable grounds that the information has previously been lodged; or
(b) the information is already entered on the Register of Relevant Providers.
Provisional relevant providers
The notice does not need to include the information referred to in paragraph (1)(k) in relation to a provisional relevant provider if that information is not known at the time the notice relating to the provisional relevant provider is lodged by the licensee.
Note: A notice must be lodged under section
once this information is known.
S 922F inserted by No 7 of 2017, s 3, Sch 1 (effective 15 March 2017).