1ASIC Class Order [CO 03/578]

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Australian Securities and Investments Commission

Corporations Act 2001 – Paragraph 951B(1)(a) – Exemption

 

 

1. ASIC grants this exemption under paragraph 951B(1)(a) of the Corporations Act 2001 (the Act).

 

2. The following persons are exempt from sections 941A and 941B of the Act (requirements to give a Financial Services Guide) in relation to the provision of a financial service that consists of making a market for a financial product through a licensed market:

 

(a) a financial services licensee;

 

(b) an authorised representative of a financial services licensee.

 

Interpretation

 

3. In this instrument:

 

(a) licensed market has the meaning given by section 761A; and

 

(b) makes a market for a financial product has the meaning given by section 766D.

 

 

Dated this 2nd day of July 2003

 

 

 

 

Signed by Brendan Byrne

as a delegate of the Australian Securities and Investments Commission