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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 5C - Information about CGS depository interests    View history reference

SECTION 1020AK  HOW AN INFORMATION STATEMENT IS TO BE GIVEN  

 View history reference

1020AK(1)  

An information statement for a class of CGS depository interests:


(a) must be:


(i) given to a person, or the person's agent, personally; or

(ii) sent to the person, or the person's agent, at an address (including an electronic address) or fax number nominated by the person or the agent; and


(b) may be printed or be in electronic form.

1020AK(2)  

For the purposes of this section, the information statement is sent to a person at an address if, and only if:


(a) the information statement is sent to the address; and


(b) either:


(i) the envelope or other container in which the information statement is sent; or

(ii) the message that accompanies the information statement;
is addressed to the person.

1020AK(3)  

The information statement may be given or sent to the person's agent only if the agent is not acting as the person's agent in one of the following capacities:


(a) a financial services licensee;


(b) an authorised representative of a financial services licensee;


(c) a 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);


(d) a person who is required to hold an Australian financial services licence but who does not hold such a licence;


(e) an employee, director or other representative of a person referred to in paragraph (a), (b), (c) or (d).

1020AK(4)  

The regulations may provide for other ways of giving an information statement for a class of CGS depository interests.

1020AK(5)  

The regulations may specify requirements as to the manner in which an information statement for a class of CGS depository interests may be given to a person. The giving of the information statement is not effective unless those requirements are satisfied.


 



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