Section 922G — Corporations Act 2001 (Cth)

The recent advising history of a relevant provider is the following information:

(a) for a relevant provider who is or was a financial services licensee authorised to provide personal advice to retail clients in relation to relevant financial products—each period during which the relevant provider was such a licensee;

(b) for a relevant provider who is or was authorised to provide personal advice to retail clients, on behalf of one or more financial services licensees, in relation to relevant financial products—the following information:

(i) the name of each licensee;

(ii) if the relevant provider is or was a relevant provider as a result of section 916B—the name of each authorised representative who authorised the relevant provider under that section;

(iii) each period during which the relevant provider was authorised by each licensee or each authorised representative to provide such advice.

Note: If a relevant provider is covered by paragraphs (a) and (b) of this section, the relevant provider’s recent advising history includes all the information required under those paragraphs.

Related sections

• s 922D — Obligation to notify ASIC about a person who becomes a relevant provider
• s 922E — Information about a relevant provider who is a financial services licensee
• s 922F — Information about a relevant provider who is not a financial services licensee
• s 922H — Ongoing obligation to notify ASIC when there is a change in a matter for a relevant provider
• s 922HA — Obligation to notify ASIC of financial services licensee’s CPD year
• s 922HB — Obligation to notify ASIC of non‑compliance with CPD provisions

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