Document ID: chunk:federal_register_of_legislation:C2025C00185:section:940c:p1
Version: federal_register_of_legislation:C2025C00185
Segment Type: section
Provision Reference: s 940C (pt 1/2)
Character Range: 3876683–3879300

940C  How documents, information and statements are to be given
 (1) For the purposes of this Part (unless a contrary intention appears), a Financial Services Guide, a Supplementary Financial Services Guide, a Statement of Advice or a Cash Settlement Fact Sheet is given by a person (the providing entity) to another person (the client) if (and only if):
 (a) it is:
 (i) given to the client, or to the client's agent, personally; or
 (ii) sent to the client, or the client's agent, at an address (including an electronic address) or fax number nominated by the client or the client's agent; or
 (iii) otherwise made available to the client, or the client's agent, as agreed between the client, or the client's agent, and the providing entity; and
 (b) it is in printed or electronic form.
 (2) For the purposes of this Part (unless a contrary intention appears), information that subsection 941C(7) or 946B(6) requires to be given by a person (the providing entity) to another person (the client) is given by the providing entity to the client if (and only if):
 (a) it is given to the client, or the client's agent, orally; or
 (b) it is in printed or electronic form and is:
 (i) given to the client, or the client's agent, personally; or
 (ii) sent to the client, or the client's agent, at an address (including an electronic address) or fax number nominated by the client or the client's agent; or
 (iii) otherwise made available to the client, or the client's agent, as agreed between the client or the client's agent and the providing entity; or
 (c) it is given by some other method permitted by regulations made for the purposes of this paragraph.
 (3) For the purposes of this Part (unless a contrary intention appears), information that subsection 941C(5), paragraph 946AA(5)(b) or subsection 946B(3) or (8) requires to be given by a person (the providing entity) to another person (the client) is given by the providing entity to the client if (and only if) it is given to the client, or the client's agent, in accordance with the applicable requirements of regulations made for the purposes of this subsection.
 (4) For the purposes of this Part (unless a contrary intention appears), a statement that subsection 941D(2) or 946C(2) requires to be given by a person (the providing entity) to another person (the client) is given by the providing entity to the client if (and 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