Document ID: chunk:federal_register_of_legislation:C2025C00185:section:1011b
Version: federal_register_of_legislation:C2025C00185
Segment Type: section
Provision Reference: s 1011B
Character Range: 4258545–4259444

1011B  Meaning of regulated person
  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.