Corporations Act 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

Note: This Chapter applies to a CCIV in a modified form: see Division 4 of Part 8B.7 .

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

Division 2 - Product Disclosure Statements  

Subdivision A - Preliminary  

SECTION 1011B  

1011B   MEANING OF REGULATED PERSON  


In this Division, a regulated person , in relation to a financial product, is:

(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

(e)    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

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


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