Document ID: chunk:federal_register_of_legislation:C2017A00007:clause:1_922e
Version: federal_register_of_legislation:C2017A00007
Segment Type: clause
Provision Reference: sch 1 cl 922E
Character Range: 47832–49908

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.