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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.
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