Commonwealth Consolidated Regulations

[Index] [Table] [Search] [Search this Regulation] [Notes] [Noteup] [Previous] [Next] [Download] [Help]

AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION REGULATIONS 2001 - REG 2C

Meaning of financial service-- off - market offers for financial products

    For paragraph   12BAB(1)(h) of the Act, a person provides a financial service if:

  (a)   the person makes an unsolicited offer to purchase a financial product from another person otherwise than through a licensed financial market; and

  (b)   the other person acquired the financial product as a retail client.


AustLII: Copyright Policy | Disclaimers | Privacy Policy | Feedback