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CORPORATIONS ACT 2001 - SECT 952K

Offence if authorised representative gives out unauthorised Financial Services Guide (or Supplementary FSG)

                   An authorised representative of a financial services licensee commits an offence if:

                     (a)  the representative:

                              (i)  gives a person a Financial Services Guide, or a Supplementary Financial Services Guide, in circumstances in which it is required by a provision of this Part to be given to the person; or

                             (ii)  gives, or makes available to, a person a Financial Services Guide, or a Supplementary Financial Services Guide, reckless as to whether the person will or may rely on the information in it; and

                     (b)  the licensee has not authorised the distribution by the representative of the Financial Services Guide or the Supplementary Financial Services Guide.

Note:          A defendant bears an evidential burden in relation to the matters in subsections 941C(1), (2), (3) and (3A). See subsection 13.3(3) of the Criminal Code .



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