Corporations Regulations 2001

For paragraph 1017F(9)(a) of the Act, this regulation modifies subsection 1017F(2) of the Act to change the person required to provide confirmation of a transaction.

A transaction:

that is not the issue of a financial product (other than a derivative that is not a warrant); and

in which a financial services licensee deals in the financial product on behalf of the holder of the financial product; and

by which the holder acquires or disposes of all or part of the financial product;

A transaction:

to which subregulation (2) does not apply; and

by which a financial product is issued to a holder;

A transaction:

that is a sale pursuant to an offer to which section 1012C of the Act applies; and

to which subregulation (2) does not apply; and

by which a holder acquires a financial product;

A transaction:

to which subregulation (2) does not apply; and

by which the holder of the financial product disposes of all or part of the financial product to the issuer of the financial product;

A transaction that:

relates to a financial product held by a particular holder; and

occurs while that holder holds the financial product; and

is not the acquisition or a disposal of all or part of the financial product;