Corporations Act 2001
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Hide history note[ CCH Note: Div 9 heading will be amended by No 69 of 2020, s 3, Sch 1[1149], by substituting " Records " for " Registers " (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
[ CCH Note: Subdiv B heading will be amended by No 69 of 2020, s 3, Sch 1[1151], by substituting " relevant providers " for " the Register of Relevant Providers " (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
The recent advising history of a relevant provider is the following information:
(a) for a relevant provider who is or was a financial services licensee authorised to provide personal advice to retail clients in relation to relevant financial products - each period during which the relevant provider was such a licensee;
(b) for a relevant provider who is or was authorised to provide personal advice to retail clients, on behalf of one or more financial services licensees, in relation to relevant financial products - the following information:
(i) the name of each licensee;
(ii) if the relevant provider is or was a relevant provider as a result of section 916B - the name of each authorised representative who authorised the relevant provider under that section;
(iii) each period during which the relevant provider was authorised by each licensee or each authorised representative to provide such advice.
Note: If a relevant provider is covered by paragraphs (a) and (b) of this section, the relevant provider ' s recent advising history includes all the information required under those paragraphs.
[ CCH Note: S 922G will be repealed by No 69 of 2020, s 3, Sch 1[1152] (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
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