Document ID: chunk:federal_register_of_legislation:C2017A00007:clause:1_922q:p2
Version: federal_register_of_legislation:C2017A00007
Segment Type: clause
Provision Reference: sch 1 cl 922Q (pt 2/2)
Character Range: 70594–72891

the Superannuation Industry (Supervision) Act 1993—information about that banning, disqualification or suspension;
 (q) if the relevant provider has given an undertaking under either or both section 93AA of the ASIC Act and section 322 of the National Consumer Credit Protection Act 2009—information about that undertaking;
 (r) if a monitoring body for a compliance scheme determines under subsection 921L(1) that the relevant provider who is covered by the scheme has failed to comply with the Code of Ethics:
 (i) details of the failure to comply; and
 (ii) details of any sanction imposed on the relevant provider in relation to the failure to comply;
 (s) if applicable, 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;
 (t) if applicable, the ABN of any of the following:
 (i) the relevant provider;
 (ii) each licensee referred to in paragraph (c);
 (iii) if applicable, the authorised representative referred to in paragraph (h);
 (u) information about both of the following:
 (i) the educational qualifications of, and any training courses completed by, the relevant provider (but not courses completed for the purposes of subsection 921B(5)), 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;
 (v) the name of the compliance scheme that is to cover the relevant provider;
 (w) any other information that ASIC believes should be included in the Register that relates to the provision of financial services by the relevant provider.
Note 1: Not all of the Register's contents are publicly available. However, section 1274A provides that ASIC may permit a person to search certain registers kept by ASIC for prescribed information.
Note 2: Information in paragraph (2)(s) may not be known in relation to a provisional relevant provider (see subsection 922F(4)).