Corporations Regulations 2001
View history note
Hide history noteSubsection 1043A(1) of the Act does not have effect in relation to the following:
(a) the obtaining by a director of a share qualification;
(b) the application for, and acquisition under that application of, financial products of a body corporate by, or by a trustee for, employees of that body, or of a body corporate that is related to the first-mentioned body under a superannuation scheme, pension fund or other scheme established solely or primarily for the benefit of the employees;
(c) a transaction entered into by a person in accordance with his or her obligations under an underwriting agreement;
(d) a person holding the office of:
(i) personal representative of a deceased person; or
(ii) liquidator; or
(iii) trustee under Parts IV, X and XI of the Bankruptcy Act 1966 ;
in respect of a transaction entered into by the person in good faith in the performance of the functions of the office;
(e) a sale of financial products under:
(i) a mortgage or charge of the financial products; or
(ii) a mortgage, charge, pledge or lien of documents of title to the financial products.
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