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 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

             (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.



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