Corporations Regulations 2001

CHAPTER 10 - REPEALS, TRANSITIONAL MATTERS AND APPLICATION PROVISIONS  

PART 10.2 - TRANSITIONAL ARRANGEMENTS RELATING TO FINANCIAL SERVICES REFORM LEGISLATION  

Division 32 - Effect on product disclosure of transition to licensed markets and licensed CS facilities  

REGULATION 10.2.176   OFFERS THAT DO NOT NEED DISCLOSURE  

10.2.176(1)   [ Application]  

For section 1444 of the Act, this regulation applies in relation to a managed investment product.

10.2.176(2)   [ Licensed dealer]  

A reference in subsection 708(10) of the old Corporations Act to a licensed dealer includes a financial services licensee.

10.2.176(3)   [ Licensed or exempt dealer or investment adviser]  

A reference in subsection 708(11) of the old Corporations Act to:

(a) a person who is a licensed or exempt dealer; or

(b) a person who is a licensed or exempt investment adviser;

includes a financial services licensee.