Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.207

Periodic statements for retail clients for financial products that have an investment component

  (1)   For section   1444 of the Act, this regulation applies if:

  (a)   a person acquired a financial product, as described in subsection   1017D(1) of the Act; and

  (b)   the issuer of the financial product was a regulated principal in relation to the financial product.

  (2)   The reporting period for the financial product, worked out in accordance with the old Corporations Act, is taken to be a reporting period for the Act.


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