Document ID: chunk:federal_register_of_legislation:C2025C00185:section:922q:p1
Version: federal_register_of_legislation:C2025C00185
Segment Type: section
Provision Reference: s 922Q (pt 1/3)
Character Range: 3841146–3844049

922Q  Register of Relevant Providers

Register to include details of relevant providers
 (1) ASIC must enter details on a Register of Relevant Providers in respect of each person who is or was a relevant provider.

Contents of Register
 (2) The details that must be entered on the Register include the following:
 (a) the relevant provider's name;
 (b) the relevant provider's principal place of business;
 (c) the name of each financial services licensee on whose behalf the relevant provider is or was authorised to provide personal advice to retail clients in relation to relevant financial products;
 (d) if applicable, each person who has control of the licensee;
 (e) the relevant provider's date and place of birth;
 (f) the licence number given under subsection 913C(1) to the relevant provider and each licensee referred to in paragraph (c);
 (g) if applicable, the number given under section 922R;
 (h) if the relevant provider is a relevant provider as a result of section 916B:
 (i) the name of the authorised representative who authorised the relevant provider under that section; and
 (ii) the number allocated to the authorised representative by ASIC;
 (i) the recent advising history of the relevant provider;
 (j) if the relevant provider is a provisional relevant provider:
 (i) the fact that the relevant provider is a provisional relevant provider; and
 (ii) the day the relevant provider began undertaking work and training in accordance with subsection 921B(4); and
 (iii) a statement that the relevant provider is required to be supervised in accordance with Subdivision C of Division 8A;
 (k) except in relation to provisional relevant providers—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);
 (l) whether the person is currently, or has ceased to be, a relevant provider;
 (m) if a financial services licensee has lodged a notice under section 922HB in relation to the relevant provider and a CPD provision—that the relevant provider did not comply with the CPD provision during the licensee's CPD year;
 (n) if the relevant provider has been disqualified from managing corporations—information contained on the register established under section 1274AA;
 (o) if the relevant provider has been banned or disqualified under section 80 or 86 of the National Consumer Credit Protection Act 2009—information about that banning or disqualification;
 (p) if the relevant provider has been banned, disqualified or suspended under Division 8 of Part 7.6, or under section 130F of the Superannuation Industry (Supervision) Act 1993—information about that banning, disqualification or suspension;
 (q) information about any undertaking that the relevant provider has given under:
 (i) section 93AA or 171E of the ASIC Act; or
 (ii)