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CORPORATIONS ACT 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS    View history reference

PART 7.9 - FINANCIAL PRODUCT DISCLOSURE AND OTHER PROVISIONS RELATING TO ISSUE, SALE AND PURCHASE OF FINANCIAL PRODUCTS    View history reference

Division 2 - Product Disclosure Statements    View history reference

Subdivision A - Preliminary    View history reference

SECTION 1011B  

1011B  DEFINITIONS  

 View history reference
In this Division:

issue Statement has the meaning given by subsection 1013A(1).

offer has a meaning affected by sections 1010C and 1011C.

regulated person , in relation to a financial product, means:


(a) an issuer of the financial product; or


(b) a seller of the financial product if the sale takes place in circumstances described in subsection 1012C(5), (6) or (8) (secondary sales that require a Product Disclosure Statement); or


(c) any financial services licensee; or


(d) any authorised representative of a financial services licensee; or

[CCH Note: There is no paragraph 1011B(e).]


(f) any person who is not required to hold an Australian financial services licence because the person is covered by:


(i) paragraph 911A(2)(j); or

(ii) an exemption in regulations made for the purposes of paragraph 911A(2)(k); or

(iii) an exemption specified by ASIC for the purposes of paragraph 911A(2)(l); or


(g) any person who is required to hold an Australian financial services licence but who does not hold such a licence.

[CCH Note: For definition of Regulations, see Corporations Regulations Schedule 10A, Part 5A - Modifications for margin loan, item 5A.1; Part 5B - Modifications for superannuation products to which Subdivision 4.2B of Division 4 of Part 7.9 applies, item 5B.1 and Part 5C - Modifications for simple managed investment scheme, item 5C.1]

responsible person for a Product Disclosure Statement has the meaning given by subsection 1013A(3).

sale has a meaning affected by section 1010C.

sale Statement has the meaning given by subsection 1013A(2).


 



This information is provided by CCH Australia Limited. View the disclaimer and notice of copyright.
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