Section 1011B — Corporations Act 2001: Meaning of regulated person

In this Division, a regulated person, in relation to a financial product, is: (a) an issuer of the financial product; or (b) a seller of the financial product if the sale takes place in circumstances described in subsection 1012C(5), (6) or (8) (secondary sales that require a Product Disclosure Statement); or (c) any financial services licensee; or (d) any authorised representative of a financial services licensee; or (e) any person who is not required to hold an Australian financial services licence because the person is covered by: (i) paragraph 911A(2)(j); or (ii) an exemption in regulations made for the purposes of paragraph 911A(2)(k); or (iii) an exemption specified by ASIC for the purposes of paragraph 911A(2)(l); or (f) any person who is required to hold an Australian financial services licence but who does not hold such a licence.