Commonwealth Consolidated Acts

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CORPORATIONS ACT 2001 - SECT 922E

Information about a relevant provider who is a financial services licensee

             (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 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.

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

Educational qualifications

             (2)  For the purposes of paragraph (1)(h), 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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