InterpretationInterpretation

Interpretation

For the purposes of this instrument, “notifiable person” means the following:

(a) a seller of the financial product if the sale takes place in circumstances described in subsection 1012C(5), (6) or (8) of the Act;

(b) any financial services licensee;

(c) any regulated principal (as defined in section 1430 of the Act);

(d) any authorised representative of a financial services licensee;

(e) any representative of a regulated principal (within the meaning of section 1436 of the Act);

(f) any person who is not required to hold an Australian financial services licence because the person is covered by:

(i) paragraph 911A(2)(j) of the Act;

(ii) an exemption in regulations made for the purposes of paragraph 911A(2)(k) of the Act; or

(iii) an exemption specified by ASIC for the purposes of paragraph 911A(2)(l) of the Act;

(g) the provider of a custodial arrangement within the meaning of section 1012IA of the Act.

Note: “Writing” includes any mode of representing or reproducing words in a visible form; and “documents” include any article from which writing is capable of being reproduced, with or without the aid of any other article or device: see section 25 of the Acts Interpretation Act 1901.

Dated this 15th day of February 2002

Signed by Brendan Byrne
as a delegate of the Australian Securities and Investments Commission