Corporations Act 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

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   DEFINITIONS  


In this Division:

issue Statement
has the meaning given by subsection 1013A(1) .

offer
has a meaning affected by sections 1010C and 1011C .

regulated person
, in relation to a financial product, means:


(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


(f) 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


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

responsible person
for a Product Disclosure Statement has the meaning given by subsection 1013A(3) .

sale
has a meaning affected by section 1010C .

sale Statement
has the meaning given by subsection 1013A(2) .


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