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CORPORATIONS ACT 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS    View history reference

PART 7.7 - FINANCIAL SERVICES DISCLOSURE    View history reference

Division 7 - Enforcement    View history reference

Subdivision A - Offences    View history reference

SECTION 952K  

952K  OFFENCE IF AUTHORISED REPRESENTATIVE GIVES OUT UNAUTHORISED FINANCIAL SERVICES GUIDE (OR SUPPLEMENTARY FSG)  

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An authorised representative of a financial services licensee commits an offence if:


(a) the representative:


(i) gives a person a Financial Services Guide, or a Supplementary Financial Services Guide, in circumstances in which it is required by a provision of this Part to be given to the person; or

(ii) gives, or makes available to, a person a Financial Services Guide, or a Supplementary Financial Services Guide, reckless as to whether the person will or may rely on the information in it; and


(b) the licensee has not authorised the distribution by the representative of the Financial Services Guide or the Supplementary Financial Services Guide.

Note: A defendant bears an evidential burden in relation to the matters in subsections 941C(1), (2) and (3). See subsection 13.3(3) of the Criminal Code.


 



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