Document ID: chunk:federal_register_of_legislation:C2005C00498:clause:1_940c:p2
Version: federal_register_of_legislation:C2005C00498
Segment Type: clause
Provision Reference: sch 1 cl 940C (pt 2/2)
Character Range: 357731–359464

only if) it is given orally to the client or the client's agent.

 (5) For the purposes of this section, a document, information or statement to which this section applies is sent to a person at an address if, and only if:
 (a) the document, information or statement is sent to the address; and
 (b) either:
 (i) the envelope or other container in which it is sent; or
 (ii) the message that accompanies it;
  is addressed to the person.

 (6) A document, information or statement to which this section applies may be given or sent to a 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 a member of a declared professional body;
 (d) 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);
 (e) a person who is required to hold an Australian financial services licence but who does not hold such a licence;
 (f) an employee, director or other representative of a person referred to in paragraph (a), (b), (c), (d) or (e).

 (7) The regulations may specify requirements as to:
 (a) the manner in which a document, information or statement may be given to a person; and
 (b) the presentation, structure and format for a document, information or statement that is to be given in electronic form.
The giving of the document, information or statement is not effective unless those requirements are satisfied.