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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 7 - Enforcement    View history reference

Subdivision A - Offences    View history reference

SECTION 1021I  OFFENCE OF GIVING DISCLOSURE DOCUMENT OR STATEMENT THAT HAS NOT BEEN PREPARED BY THE APPROPRIATE PERSON  

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1021I(1)  [ Offence by regulated person]  


A regulated person commits an offence if:


(a) the regulated person:

(i) gives (see subsection (2)) another person a disclosure document or statement (not being information required by paragraph 1012G(3) (a)) in circumstances in which it is required by a provision of this Part to be given to the other person; or

(ii) gives (see subsection (2)), or makes available to, another person a disclosure document or statement (not being information required by paragraph 1012G(3) (a)), reckless as to whether the other person will or may rely on the information in it; and
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(b) the disclosure document or statement has not been prepared by, or on behalf of, the person required by section 1013A to prepare it.

Note: A defendant bears an evidential burden in relation to the matters in sections 1012D , 1012DAA , 1012DA and 1012E .

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1021I(2)  [ ``give'']  

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In this section, give means give by any means (including orally), and is not limited to giving in accordance with section 1015C .


 



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