Corporations Act 2001
[ CCH Note: Div 9 heading will be amended by No 69 of 2020, s 3, Sch 1, 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, by substituting " relevant providers " for " the Register of Relevant Providers " (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
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.
[ CCH Note: S 922E will be repealed by No 69 of 2020, s 3, Sch 1 (effective 22 June 2022 or a day or days to be fixed by Proclamation).]
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