Corporations Regulations 2001

For paragraph 1020AC(2)(a) of the Act, the particulars that a financial services licensee must give in relation to information given to the licensee under section 1020AB of the Act in relation to a sale of a listed section 1020B product is the information specified in paragraphs 7.9.100(1)(a), (b) and (c).

For paragraph 1020AC(2)(b) of the Act:

the time for disclosure of the information is on or before 9 am:

if the information is given to the licensee after the start of the trading day but before 7 pm—on the next trading day after the licensee is given the information under section 1020AB of the Act; and

if the information is given to the licensee after 7 pm but before the start of the next trading day—on the second trading day after the licensee is given the information under section 1020AB of the Act; and

the manner for disclosure of the information is by electronic transmission to the operator.

A reference to trading day in subregulation (2) is to a trading day of the market where the information is given.

For paragraph 1020AC(3)(b) of the Act, and in relation to the particulars mentioned in paragraph 1020AC(3)(a) of the Act, if the operator of the licensed market mentioned in paragraph 1020AC(1)(a) of the Act (operator 1) appoints the operator of another licensed market (operator 2), in writing, as operator 1’s agent for the purpose of receiving any of those, operator 2 is the entity for those particulars.