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 5C - Information about CGS depository interests  

SECTION 1020AK   HOW AN INFORMATION STATEMENT IS TO BE GIVEN  

1020AK(1)    
An information statement for a class of CGS depository interests:

(a) must be:

(i) given to a person, or the person ' s agent, personally; or

(ii) sent to the person, or the person ' s agent, at an address (including an electronic address) or fax number nominated by the person or the agent; and

(b) may be printed or be in electronic form.

1020AK(2)    
For the purposes of this section, the information statement is sent to a person at an address if, and only if:

(a) the information statement is sent to the address; and

(b) either:

(i) the envelope or other container in which the information statement is sent; or

(ii) the message that accompanies the information statement;

is addressed to the person.

1020AK(3)    
The information statement may be given or sent to the person ' s agent only if the agent is not acting as the person ' s agent in one of the following capacities:

(a) a financial services licensee;

(b) an authorised representative of a financial services licensee;

(c) a 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) ;

(d) a person who is required to hold an Australian financial services licence but who does not hold such a licence;

(e) an employee, director or other representative of a person referred to in paragraph (a), (b), (c) or (d).

1020AK(4)    
The regulations may provide for other ways of giving an information statement for a class of CGS depository interests.

1020AK(5)    
The regulations may specify requirements as to the manner in which an information statement for a class of CGS depository interests may be given to a person. The giving of the information statement is not effective unless those requirements are satisfied.