Commonwealth Consolidated Acts

CORPORATIONS ACT 2001 - SECT 1011B

    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.