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CORPORATIONS REGULATIONS 2001 - List of Regulations
Regulation
Compilation Information
Contents
Notes about these Regulations
CORPORATIONS REGULATIONS 2001
Chapter 1 Introductory
CORPORATIONS REGULATIONS 2001
Part 1.0 Miscellaneous
1.0.01.
Name of Regulations [ see Note 1] 1.0.01A.
Commencement [ see Note 1] 1.0.02.
Interpretation 1.0.03.
Approved and prescribed forms 1.0.04.
Directions and instructions in forms 1.0.05.
Documents and information required by forms 1.0.05A.
Lodgment with ASIC 1.0.06.
Annexures accompanying forms 1.0.07.
General requirements for documents 1.0.08.
Information to accompany financial documents lodged for financial years 1.0.09.
Information to accompany financial documents etc lodged for half-years 1.0.10.
Continuous disclosure notices 1.0.11.
Certain documents to be signed by personal representatives etc 1.0.12.
Form of notice of resolution 1.0.13.
Time for lodging documents 1.0.14.
Address of registered office or place of business 1.0.15.
Affidavits and statements in writing 1.0.16.
Certification and verification of certain documents 1.0.17.
Documents signed or sworn in accordance with the rules 1.0.18.
Prescribed provisions (Act s 53) 1.0.20.
Copies of orders to be lodged 1.0.21.
Identification of lodged orders 1.0.22.
Territorial application of Act
CORPORATIONS REGULATIONS 2001
Part 1.1 Prescribed amounts
1.1.01.
Prescribed amounts
CORPORATIONS REGULATIONS 2001
Part 1.2A Disclosing entities
1.2A.01.
Securities declared not to be ED securities 1.2A.02.
Foreign companies issuing securities under foreign scrip offers etc exempt from disclosing entity provisions 1.2A.03.
Foreign companies issuing securities under employee share scheme exempt from the disclosing entity provisions
CORPORATIONS REGULATIONS 2001
Chapter 2A Registration of companies
CORPORATIONS REGULATIONS 2001
Part 2A.1 Size of partnerships or associations (Act
s 115 (2))
2A.1.01.
Size of partnerships or associations
CORPORATIONS REGULATIONS 2001
Part 2A.2 Change of place of registration of company
(Act s 119A (3))
2A.2.01.
Approval of application for change of place of registration 2A.2.02.
Special resolution may be set aside by Court order 2A.2.03.
Application for change of place of registration 2A.2.04.
Change of place of registration
CORPORATIONS REGULATIONS 2001
Chapter 2B Basic features of a company
CORPORATIONS REGULATIONS 2001
Part 2B.6 Names
2B.6.01.
Availability of names (Act s 147) 2B.6.02.
Consents required for use of certain letters, words and expressions 2B.6.03.
Exemptions from requirement to set out name and ACN on certain documents (Act s 155)
CORPORATIONS REGULATIONS 2001
Chapter 2C Registers
2C.1.01.
Prescribed financial market (Act s 170 (3)) 2C.1.02.
Form of notice (Act s 172 (2))
CORPORATIONS REGULATIONS 2001
Chapter 2G Meetings
CORPORATIONS REGULATIONS 2001
Part 2G.2 Meetings of members of companies
CORPORATIONS REGULATIONS 2001
Division 6 Proxies and body corporate representatives
2G.2.01.
Authentication of appointment of proxy (Act s 250A)
CORPORATIONS REGULATIONS 2001
Chapter 2K Charges
CORPORATIONS REGULATIONS 2001
Part 2K.2 Registration
2K.2.01.
Lien or charge on crop, wool or stock mortgage that is a registrable security: prescribed law 2K.2.02.
Time period for the provisional registration of charges
CORPORATIONS REGULATIONS 2001
Chapter 2M Financial reports and audit
CORPORATIONS REGULATIONS 2001
Part 2M.3 Financial reporting
CORPORATIONS REGULATIONS 2001
Division 1 Annual financial reports and directors' reports
2M.3.03.
Prescribed details (Act s 300A)
CORPORATIONS REGULATIONS 2001
Part 2M.4 Auditor
2M.4.01.
Notice of appointment of auditors
CORPORATIONS REGULATIONS 2001
Part 2M.6 Modification of the operation of Chapter 2M of the
Act
2M.6.01.
Modifications (Act s 343) 2M.6.03.
Financial reporting — Australian banks and life offices
CORPORATIONS REGULATIONS 2001
Chapter 2N Updating ASIC information about companies and registered schemes
CORPORATIONS REGULATIONS 2001
Part 2N.2 Extract of particulars
2N.2.01.
Particulars ASIC may require in an extract of particulars (Act s 346B)
CORPORATIONS REGULATIONS 2001
Part 2N.4 Return of particulars
2N.4.01.
Particulars ASIC may require in a return of particulars (Act s 348B)
CORPORATIONS REGULATIONS 2001
Chapter 5 External administration
CORPORATIONS REGULATIONS 2001
Part 5.1 Arrangements and reconstructions
5.1.01.
Prescribed information for paragraph 411 (3) (b) and subparagraph 412 (1) (a) (ii) of the Act 5.1.02.
Giving notice under subsection 414 (2) or (9) of the Act
CORPORATIONS REGULATIONS 2001
Part 5.2 Receivers, and other controllers, of corporations
5.2.01.
Controller's notice to owner or lessor of property — how given 5.2.01.
Certified copies of reports
CORPORATIONS REGULATIONS 2001
Part 5.3A Administration of a company's affairs with a view to
executing a deed of company arrangement
5.3A.01.
Administrator's notice of ending of administration 5.3A.02.
Administrator to specify voidable transactions in statement 5.3A.03.
Administrator to lodge notice of appointment 5.3A.04.
Notice of change of administrator's address 5.3A.05.
Administrator's notice to owner or lessor of property — how given 5.3A.06.
Provisions included in deed of company arrangement 5.3A.07.
Administrator becomes liquidator — additional cases 5.3A.08.
Publication of notice of failure to execute instrument of terms of deed 5.3A.09.
Publication of notice of termination of deed by creditors
CORPORATIONS REGULATIONS 2001
Part 5.4 Winding up in insolvency
5.4.01.
Application to Court for winding up — prescribed agency
CORPORATIONS REGULATIONS 2001
Part 5.6 Winding up generally
5.6.01.
Matters for entry in liquidator's or provisional liquidator's books 5.6.02.
Inspection of books kept under section 531 of the Act 5.6.06.
Payment into liquidator's general account 5.6.07.
Deposit of securities 5.6.08.
Delivery of securities 5.6.09.
Special bank account 5.6.10.
Payments out of liquidator's general account 5.6.11.
Application 5.6.12.
Notice of meeting 5.6.13.
Proof of notice 5.6.13A.
If telephone conference facilities are available 5.6.13B.
Persons, or their proxies or attorneys, participating by telephone 5.6.14.
Time and place of meeting 5.6.14A.
Advertisement of a meeting 5.6.14B.
Meetings not convened in accordance with regulations 5.6.15.
Costs of convening meetings of creditors etc 5.6.16.
Quorum 5.6.17.
Chairperson 5.6.18.
Adjournment of meeting 5.6.19.
Voting on resolutions 5.6.20.
Taking a poll 5.6.21.
Carrying of resolutions after a poll has been demanded at a meeting of creditors 5.6.22.
Carrying of resolution after a poll has been demanded at a meeting of contributories or members 5.6.23.
Creditors who may vote 5.6.24.
Votes of secured creditors 5.6.26.
Admission and rejection of proofs for purposes of voting 5.6.27.
Minutes of meeting 5.6.28.
Appointment of proxies 5.6.29.
Form of proxies 5.6.30.
Instruments of proxy 5.6.31.
Proxy forms to accompany notice of meetings 5.6.31A.
Person may attend and vote by attorney 5.6.32.
Liquidator etc may act as proxy 5.6.33.
Voting by proxy if financially interested 5.6.34.
Liquidator etc may appoint deputy 5.6.36.
Time for lodging proxies 5.6.36A.
Facsimile copies of proxies 5.6.37.
Establishing title to priority 5.6.39.
Notice to submit particulars of debt or claim 5.6.40.
Preparation of a proof of debt or claim 5.6.41.
Disclosure of security 5.6.42.
Discounts 5.6.43.
Periodical payments 5.6.43A.
Debt or claim of uncertain value — appeal to Court 5.6.44.
Debt discount rate (Act s 554B) 5.6.45.
Employees' wages 5.6.46.
Production of bill of exchange and promissory note 5.6.47.
Admission of debt or claim without formal proof 5.6.48.
Notice to creditors to submit formal proof 5.6.49.
Formal proof of debt or claim 5.6.50.
Contents of formal proof of debt or claim 5.6.51.
Costs of proof 5.6.52.
Liquidator to notify receipt of proof of debt or claim 5.6.53.
Time for liquidator to deal with proofs 5.6.54.
Grounds of rejection and notice to creditor 5.6.55.
Revocation or amendment of decision of liquidator 5.6.56.
Withdrawal or variation of proof of debt or claim 5.6.57.
Oaths 5.6.58.
Liquidator to make out provisional list of contributories 5.6.59.
Time and place for settlement of list 5.6.60.
Settlement of list of contributories 5.6.61.
Supplementary list 5.6.62.
Notice to contributories 5.6.63.
Dividend payable only on admission of a debt or claim 5.6.64.
Application of regulations 5.6.37 to 5.6.57 5.6.65.
Liquidator to give notice of intention to declare a dividend 5.6.66.
Time allowed for dealing with formal proof of debt or claim 5.6.67.
Declaration and distribution of dividend 5.6.68.
Rights of creditor who has not proved debt before declaration of dividend 5.6.69.
Postponement of declaration 5.6.70.
Payment of dividend to a person named 5.6.70A.
Prescribed rate of interest on debts and claims from relevant date to date of payment 5.6.71.
Distribution of surplus in a winding up by the Court 5.6.72.
Distribution of surplus as directed 5.6.74.
Interpretation: prescribed countries
CORPORATIONS REGULATIONS 2001
Chapter 5B Bodies corporate registered as companies, and registrable bodies
CORPORATIONS REGULATIONS 2001
Part 5B.2 Registrable bodies
5B.2.01.
Certified copies of certificates of incorporation etc 5B.2.02.
Manner of certifying constituent documents 5B.2.03.
Manner of sending letters (Act ss 601CC (2) and 601CL (3)) 5B.2.04.
Manner of sending notices (Act ss 601CC (3) and 601CL (4)) 5B.2.06.
Notices (Act s 601CV (1))
CORPORATIONS REGULATIONS 2001
Part 5B.3 Names of registrable Australian bodies and foreign
companies
5B.3.01.
Availability of names (Act s 601DC) 5B.3.02.
Consents required for use of certain letters, words and expressions 5B.3.03.
Exemptions from requirement to set out ARBN etc on certain documents (Act s 601DG) 5B.3.04.
Notices (Act s 601DH (1))
CORPORATIONS REGULATIONS 2001
Chapter 5C Managed investment schemes
CORPORATIONS REGULATIONS 2001
Part 5C.1 Registration of managed investment schemes
5C.1.01.
Applying for registration 5C.1.02.
Change of name of registered schemes 5C.1.03.
Modification (Act s 601QB)
CORPORATIONS REGULATIONS 2001
Part 5C.2 The responsible entity
5C.2.01.
Duty of responsible entities' agents — surveillance checks 5C.2.02.
Appointment of temporary responsible entities 5C.2.03.
Form of notices (Act ss 601FL (2) and 601FM (2)) 5C.2.04.
Notice of appointment of temporary responsible entities 5C.2.05.
Form of notices (Act s 601FP (3))
CORPORATIONS REGULATIONS 2001
Part 5C.4 The compliance plan
5C.4.01.
Agents' authorities to be lodged 5C.4.02.
Agents to assist auditors of compliance plans
CORPORATIONS REGULATIONS 2001
Part 5C.5 The compliance committee
5C.5.01.
Responsible entities etc to assist compliance committees
CORPORATIONS REGULATIONS 2001
Part 5C.9 Winding up
5C.9.01.
Notice of commencement of winding up
CORPORATIONS REGULATIONS 2001
Part 5C.11 Exemptions and modifications
CORPORATIONS REGULATIONS 2001
Division 1 Exemptions
5C.11.01.
Certain funds not managed investment funds
CORPORATIONS REGULATIONS 2001
Division 2 Modifications
5C.11.02.
Modifications 5C.11.03.
Register of members of registered schemes (Act s 169 (1)) 5C.11.04.
Names of registered schemes (Act s 601EB (1)) 5C.11.05A.
Schemes not required to be registered (Acts 601ED) 5C.11.06.
Liability of responsible entities (Act s 601FB (4))
CORPORATIONS REGULATIONS 2001
Chapter 6 Takeovers
CORPORATIONS REGULATIONS 2001
Part 6.2 Exceptions to the prohibition
6.2.01.
Prescribed circumstances (Act s 611) 6.2.02.
Other prescribed circumstances (Act s 611)
CORPORATIONS REGULATIONS 2001
Part 6.5 The takeover procedure
6.5.01.
Wholesale holder of securities — telephone monitoring during bid period
CORPORATIONS REGULATIONS 2001
Part 6.6 Variation of offers
6.6.01.
Right to withdraw acceptance
CORPORATIONS REGULATIONS 2001
Part 6.8 Acceptances
6.8.01.
Acceptance of offers made under off-market bid 6.8.02.
Acceptances by transferees and nominees of offers made under off-market bid
CORPORATIONS REGULATIONS 2001
Part 6.10 Review and intervention
6.10.01.
Application for review of Panel decision (Act s 657EA)
CORPORATIONS REGULATIONS 2001
Chapter 6A Compulsory acquisitions and buy-outs
CORPORATIONS REGULATIONS 2001
Part 6A.1 Compulsory acquisitions and buy-outs after takeover
bid
6A.1.01.
Terms on which securities to be acquired
CORPORATIONS REGULATIONS 2001
Chapter 6CA Continuous disclosure
6CA.1.01.
Continuous disclosure: other disclosing entities
CORPORATIONS REGULATIONS 2001
Chapter 6D Fundraising
CORPORATIONS REGULATIONS 2001
Part 6D.2 Disclosure to investors about securities
6D.2.01.
Exemption — member shares 6D.2.02.
Exemption — foreign companies 6D.2.03.
Sophisticated investors
CORPORATIONS REGULATIONS 2001
Part 6D.5 Fundraising — miscellaneous
6D.5.01.
Warrants that are securities
CORPORATIONS REGULATIONS 2001 Chapter 7 Financial services and markets
CORPORATIONS REGULATIONS 2001
Part 7.1 Preliminary
CORPORATIONS REGULATIONS 2001
Division 1 General
7.1.01.
Prescribed financial market operators 7.1.02.
Participant 7.1.03.
Prescribed CS facility 7.1.03A.
Basic deposit products 7.1.03B.
Self managed superannuation funds 7.1.04.
Derivatives 7.1.04A.
Meaning of kind of financial products (section 1012IA of the Act) 7.1.04B.
Meaning of class of financial products (managed investment schemes) 7.1.04C.
Meaning of class of financial products (superannuation products) 7.1.04D.
Meaning of issuer for certain derivatives 7.1.04E.
Issue of a new interest in a superannuation fund 7.1.04F.
Meaning of class of financial services (subsections 917A (3), 917C (2) and 917C (3) of the Act) 7.1.05.
Specific things that are not financial products: superannuation interests 7.1.06.
Specific things that are not financial products: credit facility 7.1.06A.
Arrangements for certain financial products that are not credit facilities 7.1.06B.
Specific things that are not financial products: superannuation interests 7.1.07.
Specific things that are not financial products: surety bonds 7.1.07A.
Specific things that are not financial products: rental agreements 7.1.07B.
Specific things that are not financial products: bank drafts 7.1.07C.
Specific things that are not financial products: insurance under an overseas student health insurance contract 7.1.07D.
Specific things that are not financial products: funeral expenses policy 7.1.07E.
Specific things that are not financial products: rights of the holder of a debenture 7.1.07F.
Specific things that are not financial products: money orders 7.1.07G.
Specific things that are not financial products: electronic funds transfers 7.1.07H.
Specific things that are not financial products: ACT insurance 7.1.08.
Meaning of financial product advice : exempt document or statement 7.1.09.
Obligations related to clearing and settlement facility 7.1.10.
Conduct that does not constitute operating a clearing and settlement facility
CORPORATIONS REGULATIONS 2001
Division 2 Retail clients and wholesale clients
7.1.11.
Meaning of retail client and wholesale client : motor vehicle insurance product 7.1.12.
Meaning of retail client and wholesale client : home building insurance product 7.1.13.
Meaning of retail client and wholesale client : home contents insurance product 7.1.14.
Meaning of retail client and wholesale client : sickness and accident insurance product 7.1.15.
Meaning of retail client and wholesale client : consumer credit insurance product 7.1.16.
Meaning of retail client and wholesale client : travel insurance product 7.1.17.
Meaning of retail client and wholesale client : personal and domestic property insurance product 7.1.17A.
General insurance products: medical indemnity insurance products 7.1.17B.
Retail clients and wholesale clients: aggregation of amounts for price or value of financial product 7.1.18.
Retail clients and wholesale clients: price of investment-based financial products 7.1.19.
Retail clients and wholesale clients: value of investment-based financial products 7.1.20.
Retail clients and wholesale clients: price of income stream financial products 7.1.21.
Retail clients and wholesale clients: value of income stream financial products 7.1.22.
Retail clients and wholesale clients: value of derivatives 7.1.22A.
Retail clients and wholesale clients: value of foreign exchange contracts 7.1.23.
Retail clients and wholesale clients: price of non-cash payment financial products 7.1.24.
Retail clients and wholesale clients: value of non-cash payment products 7.1.25.
Retail clients and wholesale clients: life risk insurance and other risk-based financial products 7.1.26.
Superannuation-sourced money 7.1.27.
Retail clients and wholesale clients: effect of wholesale status 7.1.28.
Retail clients and wholesale clients: assets and income
CORPORATIONS REGULATIONS 2001
Division 3 When does a person provide a financial service?
7.1.29.
Circumstances in which a person is taken not to provide a financial service 7.1.29A.
Self-managed superannuation funds 7.1.30.
Information and advice about voting 7.1.31.
Passing on prepared documents 7.1.32.
Remuneration packages 7.1.33.
Handling insurance claims 7.1.33A.
Allocation of funds available for investment 7.1.33B.
General advice 7.1.33D.
Investment-linked life insurance products 7.1.33E.
Advice about the existence of a custodial or depository service 7.1.33F.
School banking
CORPORATIONS REGULATIONS 2001
Division 4 Dealings in financial products
7.1.34.
Conduct that does not constitute dealing in a financial product 7.1.35.
Conduct that does not constitute dealing in a financial product 7.1.35A.
Conduct that does not constitute dealing in a financial product — lawyers acting on instructions
CORPORATIONS REGULATIONS 2001
Division 5 Custodial or depository services
7.1.40.
Conduct that does not constitute the provision of a custodial or depository service
CORPORATIONS REGULATIONS 2001
Part 7.2 Licensing of financial markets
CORPORATIONS REGULATIONS 2001
Division 1 Market licensees' obligations
7.2.01.
Obligation to inform ASIC of certain matters: contraventions of licence or Act 7.2.02.
Obligation to inform ASIC of certain matters: becoming director, secretary or executive officer of market licensee 7.2.03.
Obligation to inform ASIC of certain matters: ceasing to be director, secretary or executive officer of market licensee 7.2.04.
Obligation to inform ASIC of certain matters: voting power in market licensee 7.2.05.
Giving ASIC information about a listed disclosing entity 7.2.06.
Annual report of market licensee
CORPORATIONS REGULATIONS 2001
Division 2 The market's operating rules and procedures
7.2.07.
Content of licensed market's operating rules 7.2.08.
Content of licensed market's written procedures
CORPORATIONS REGULATIONS 2001
Division 3 Powers of the Minister and ASIC
7.2.09.
Agencies for compliance assessment
CORPORATIONS REGULATIONS 2001
Division 4 The Australian market licence: applications (general)
7.2.10.
Application of Division 4 7.2.11.
Information 7.2.12.
Documents
CORPORATIONS REGULATIONS 2001
Division 5 The Australian market licence: applications (financial
market in foreign country)
7.2.13.
Application of Division 5 7.2.14.
Information 7.2.15.
Documents
CORPORATIONS REGULATIONS 2001
Division 6 The Australian market licence: other matters
7.2.16.
Potential conflict situations
CORPORATIONS REGULATIONS 2001
Part 7.3 Licensing of clearing and settlement facilities
CORPORATIONS REGULATIONS 2001
Division 1 Regulation of CS facility licensees: licensees'
obligations
7.3.01.
Obligation to inform ASIC of certain matters: becoming director, secretary or executive officer of CS facility licensee 7.3.02.
Obligation to inform ASIC of certain matters: ceasing to be director, secretary or executive officer of CS facility licensee 7.3.03.
Obligation to inform ASIC of certain matters: voting power in CS facility licensee 7.3.04.
Annual report of CS facility licensee
CORPORATIONS REGULATIONS 2001
Division 2 Regulation of CS facility licensees: the facility's
operating rules and procedures
7.3.05.
Content of licensed CS facility's operating rules 7.3.06.
Content of licensed CS facility's written procedures
CORPORATIONS REGULATIONS 2001
Division 3 Regulation of CS facility licensees: powers of the
Minister and ASIC
7.3.07.
Agencies for compliance assessment 7.3.08.
Agencies for compliance assessment
CORPORATIONS REGULATIONS 2001
Division 4 The Australian CS facility licence: applications
(general)
7.3.09.
Application of Division 4 7.3.10.
Information 7.3.11.
Documents
CORPORATIONS REGULATIONS 2001
Division 5 The Australian CS facility licence: applications
(overseas clearing and settlement facility)
7.3.12.
Application of Division 5 7.3.13.
Information 7.3.14.
Documents
CORPORATIONS REGULATIONS 2001
Part 7.4 Limits on involvement with licensees
7.4.01.
Widely held market body 7.4.02.
Record-keeping: market licensee 7.4.03.
Record-keeping: CS facility licensee 7.4.04.
Information for widely held market body
CORPORATIONS REGULATIONS 2001
Part 7.5 Compensation regimes for financial markets
CORPORATIONS REGULATIONS 2001
Division 1 Preliminary
7.5.01.
Definitions for Part 7.5 7.5.01A.
Modification of Act: compensation regimes 7.5.02.
Meaning of becoming insolvent 7.5.03.
Meaning of dealer 7.5.04.
Meaning of excluded person 7.5.05.
Meaning of guaranteed securities loan and related concepts 7.5.06.
Meaning of sale and purchase of securities 7.5.07.
Meaning of securities business : general 7.5.08.
Meaning of securities business : Subdivision 4.9 7.5.09.
Meaning of security 7.5.10.
Meaning of transfer of securities 7.5.11.
Novation of agreements 7.5.12.
Attributing securities and payments to transactions 7.5.13.
Effect of contravention of Part 7.5
CORPORATIONS REGULATIONS 2001
Division 2 When there must be a compensation regime
7.5.14.
Application for Australian market licence: information about compensation arrangements
CORPORATIONS REGULATIONS 2001
Division 3 Approved compensation arrangements
7.5.15.
Application for approval of compensation arrangements after grant of Australian market licence: information about compensation arrangements 7.5.16.
Notification of payment of levies 7.5.17.
Amount of compensation
CORPORATIONS REGULATIONS 2001
Division 4 NGF Compensation regime
CORPORATIONS REGULATIONS 2001
Subdivision 4.1 Preliminary
7.5.18.
Application of Division 4
CORPORATIONS REGULATIONS 2001
Subdivision 4.2 Third party clearing arrangements
7.5.19.
Clearing arrangements
CORPORATIONS REGULATIONS 2001
Subdivision 4.3 Contract guarantees
7.5.20.
Claim by selling dealer in respect of default by buying dealer: ASTC-regulated transfer 7.5.21.
Claim by selling dealer in respect of default by buying dealer: transaction other than ASTC-regulated transfer 7.5.22.
Claim by buying dealer in respect of default by selling dealer: ASTC-regulated transfer 7.5.23.
Claim by buying dealer in respect of default by selling dealer: transaction other than ASTC-regulated transfer 7.5.24.
Claim by selling client in respect of default by selling dealer: ASTC-regulated transfer 7.5.25.
Claim by selling client in respect of default by selling dealer: transaction other than ASTC-regulated transfer 7.5.26.
Claim by buying client in respect of default by buying dealer: ASTC-regulated transfer 7.5.27.
Claim by buying client in respect of default by buying dealer: transaction other than ASTC-regulated transfer 7.5.28.
Cash settlement of claim: ASTC-regulated transfer 7.5.29.
Cash settlement of claim: transfer other than ASTC-regulated transfer 7.5.30.
Making of claims 7.5.31.
Effect of novation, under operating rules, of agreement for purchase
CORPORATIONS REGULATIONS 2001
Subdivision 4.4 Securities loans guarantees
7.5.33.
Claim by lender in respect of borrower's failure to discharge obligation 7.5.34.
Effect of novation, under operating rules, of guaranteed securities loan 7.5.35.
How and when claim to be made 7.5.36.
How claim in respect of securities or non-money security benefits is to be satisfied 7.5.37.
How claim in respect of amount of money is to be satisfied 7.5.38.
Nexus with Australia
CORPORATIONS REGULATIONS 2001
Subdivision 4.5 Claims in respect of net obligations
7.5.40.
Claim in respect of failure to pay net amount in respect of transactions 7.5.41.
Claim in respect of failure to transfer net number of securities in respect of transactions 7.5.42.
How and when claim to be made 7.5.43.
How claim in respect of failure to pay net amount in respect of transactions is to be satisfied 7.5.44.
How claim in respect of failure to transfer net number of securities in respect of transactions is to be satisfied: settlement authority has not taken action 7.5.45.
How claim in respect of failure to pay net amount in respect of transactions is to be satisfied: settlement authority has taken action 7.5.46.
Nexus with Australia
CORPORATIONS REGULATIONS 2001
Subdivision 4.7 Unauthorised transfer
7.5.53.
Application of Subdivision 4.7 7.5.54.
Claim by transferor 7.5.55.
Claim by transferee or sub-transferee 7.5.56.
How and when claim may be made 7.5.57.
How claim is to be satisfied 7.5.58.
Discretionary further compensation to transferor 7.5.59.
Nexus with Australia
CORPORATIONS REGULATIONS 2001
Subdivision 4.8 Contraventions of ASTC certificate cancellation
provisions
7.5.60.
Claim in respect of contravention of ASTC certificate cancellation provisions 7.5.61.
How and when claim may be made 7.5.62.
How claim is to be satisfied 7.5.63.
Discretionary further compensation
CORPORATIONS REGULATIONS 2001
Subdivision 4.9 Claims in respect of insolvent participants
7.5.64.
Claim in respect of property entrusted to, or received by, dealer before dealer became insolvent 7.5.65.
Cash settlement of claims if property unobtainable 7.5.66.
Ordering of alternative claims and prevention of double recovery 7.5.67.
No claim in respect of money lent to dealer 7.5.68.
Nexus with Australia 7.5.69.
No claim in certain other cases 7.5.70.
Making of claims 7.5.71.
Limits of compensation
CORPORATIONS REGULATIONS 2001
Subdivision 4.10 General
7.5.72.
Power of SEGC to allow and settle claim 7.5.73.
Application of Fund in respect of certain claims 7.5.74.
Discretion to pay amounts not received etc because of failure to transfer securities 7.5.75.
Reduction in compensation 7.5.76.
Claimant may be required to exercise right of set-off 7.5.77.
Effect of set-off on claim 7.5.78.
Claimant entitled to costs and disbursements 7.5.79.
Interest 7.5.80.
SEGC to notify claimant if claim disallowed 7.5.81.
Arbitration of amount of cash settlement of certain claims 7.5.82.
Instalment payments 7.5.83.
Notification of payment of levies 7.5.84.
Notification of payment of levies
CORPORATIONS REGULATIONS 2001
Subdivision 4.11 Other provisions relating to compensation
7.5.85.
Prescribed body corporate with arrangements covering clearing and settlement facility support
CORPORATIONS REGULATIONS 2001
Division 5 Provisions common to both kinds of compensation
arrangements
7.5.86.
Excess money in National Guarantee Fund 7.5.87.
Excess money in fidelity fund 7.5.88.
Minister's arrangements for use of excess money from compensation funds 7.5.89.
Payment of excess money from NGF 7.5.90.
Use of excess money from NGF 7.5.91.
Payment of excess money from fidelity fund 7.5.92.
Use of excess money from fidelity fund 7.5.93.
Qualified privilege
CORPORATIONS REGULATIONS 2001
Part 7.6 Licensing of providers of financial services
7.6.01.
Need for Australian financial services licence: general 7.6.01A.
Providing financial services on behalf of a person who carries on a financial services business 7.6.01B.
Need for Australian financial services licence: financial product advice provided by the media 7.6.01C.
Obligation to cite licence number in documents 7.6.02.
Alternative dispute resolution systems 7.6.02AA.
Modification of section 912B of the Act: professional indemnity insurance and security instead of compensation arrangements 7.6.02A.
Obligation to notify ASIC of certain matters 7.6.03.
Applying for Australian financial services licence 7.6.03A.
Australian financial services licence — requirements for a foreign entity to appoint local agent 7.6.03B.
Foreign entity must continue to have local agent 7.6.04.
Conditions on Australian financial services licence 7.6.04A.
Exemptions to notification of authorised representatives 7.6.04B.
Notification of authorised representatives — basic deposit products 7.6.05.
Register of financial services licensees and register of authorised representatives of financial services licensees 7.6.06.
ASIC register relating to persons against whom banning order or disqualification order is made 7.6.07.
Restriction on use of certain words or expressions
CORPORATIONS REGULATIONS 2001
Part 7.7 Financial service disclosure
CORPORATIONS REGULATIONS 2001
Division 1 Preliminary
7.7.01.
How documents, information and statements are to be given
CORPORATIONS REGULATIONS 2001
Division 2 Financial Services Guide
7.7.02.
Situations in which Financial Services Guide is not required 7.7.03.
Financial Services Guide given by financial services licensee: description of documents 7.7.04.
Financial Services Guide given by financial services licensee: remuneration, commission and benefits 7.7.05.
Record of advice given by financial services licensee 7.7.05A.
Financial Services Guide given by authorised representative of financial services licensee: authorised representative number 7.7.05B.
Personalised Financial Services Guide 7.7.05C.
Exemption from providing certain information in a Financial Services Guide 7.7.06.
Financial Services Guide given by authorised representative of financial services licensee: description of documents 7.7.06A.
Financial Services Guide given by authorised representative of financial services licensee — licence number 7.7.07.
Financial Services Guide given by authorised representative of financial services licensee: remuneration, commission and benefits 7.7.08.
Record of advice given by authorised representative of financial services licensee
CORPORATIONS REGULATIONS 2001
Division 2A Combined Financial Services Guide and Product
Disclosure Statement
7.7.08A.
Combined Financial Services Guide and Product Disclosure Statement
CORPORATIONS REGULATIONS 2001
Division 3 Statement of Advice
7.7.09.
Situations in which Statement of Advice is not required: record of further market-related advice 7.7.10.
Products for which a Statement of Advice is not required 7.7.10A.
Statements of Advice — requirement to state information as amounts in dollars 7.7.11.
Statement of Advice given by financial services licensee 7.7.11A.
Statement of Advice given by authorised representative of financial services licensee — licence number 7.7.11B.
Statement of Advice — disclosure of dollar amounts 7.7.12.
Statement of Advice given by authorised representative of financial services licensee 7.7.13.
Statement of Advice provided by authorised representative — disclosure of dollar amounts 7.7.13A.
Additional information about charges or benefits — disclosure of dollar amounts 7.7.13B.
Additional information about charges or benefits — disclosure of dollar amounts
CORPORATIONS REGULATIONS 2001
Division 4 General advice provided to a retail client
7.7.14.
Product Disclosure Statement not required
CORPORATIONS REGULATIONS 2001
Division 5 Other disclosure requirements
7.7.20.
General advice to retail client — no obligation to warn client
CORPORATIONS REGULATIONS 2001
Part 7.8 Other provisions relating to conduct etc connected with
financial products and financial services, other than financial product
disclosure
7.8.01.
Obligation to pay money into an account 7.8.02.
Accounts maintained for section 981B of the Act 7.8.03.
How money to be dealt with if licensee ceases to be licensed etc 7.8.04.
Money to which Subdivision A of Division 2 of Part 7.8 of the Act applies taken to be held in trust: breach of financial services law 7.8.05.
Money to which Subdivision A of Division 2 of Part 7.8 of the Act applies taken to be held in trust: risk accepted by insurer 7.8.06.
Statement setting out terms of loan etc 7.8.07.
How property to which Division 3 of Part 7.8 of the Act to be dealt with 7.8.08.
Debts of financial services licensee in relation to premiums etc 7.8.11.
Particular categories of information to be shown in records 7.8.12.
Requirements in relation to financial records of financial services licensees 7.8.13.
Auditor's report with annual profit and loss statement and balance sheet 7.8.14.
Contents of annual profit and loss statement and balance sheet and applicable accounting procedures 7.8.15.
Appointment of auditor by financial services licensee 7.8.16.
When person is ineligible to act as auditor of financial services licensee 7.8.17.
Priority to clients' orders 7.8.18.
Instructions to deal through licensed markets 7.8.19.
Records of instructions to deal on licensed markets and foreign markets 7.8.20.
Dealings with non-licensees 7.8.20A.
Dealings involving employees of financial service licensees — risk insurance products 7.8.21.
Dealings involving employees of financial services licensees 7.8.22.
Hours for hawking certain financial products 7.8.22A.
Modification of Part 7.8 7.8.23.
Return of financial product: transfer between superannuation entities or RSAs 7.8.24.
Right of return not to apply 7.8.25.
Variation of amount to be repaid
CORPORATIONS REGULATIONS 2001
Part 7.9 Financial product disclosure and other provisions relating to
issue and sale of financial products
CORPORATIONS REGULATIONS 2001
Division 1 Preliminary
7.9.01.
Interpretation 7.9.02.
Sub-plans 7.9.02A.
Alternative ways of giving Product Disclosure Statement 7.9.02B.
Product Disclosure Statement in electronic form
CORPORATIONS REGULATIONS 2001
Division 2 Arrangements for Product Disclosure Statements in
relation to superannuation products and RSA products
CORPORATIONS REGULATIONS 2001
Subdivision 2.1 Preliminary
7.9.03.
Application of Division 2
CORPORATIONS REGULATIONS 2001
Subdivision 2.2 Late provision of Product Disclosure Statement for
certain members of regulated superannuation fund, public offer superannuation
fund or successor fund
7.9.04.
Product Disclosure Statement to be provided later
CORPORATIONS REGULATIONS 2001
Subdivision 2.3 Product Disclosure Statement for retirement savings
account
7.9.05.
Situation in which Product Disclosure Statement is not required
CORPORATIONS REGULATIONS 2001
Subdivision 2.4 Additional obligations for eligible rollover funds
7.9.06A.
Relevant superannuation entities 7.9.06B.
Application forms
CORPORATIONS REGULATIONS 2001
Subdivision 2.5 Product Disclosure Statement for insurance options
7.9.07.
Modification of Act: Product Disclosure Statement in relation to insurance options
CORPORATIONS REGULATIONS 2001
Division 2A Product Disclosure Statement for warrants
7.9.07A.
Warrants
CORPORATIONS REGULATIONS 2001
Division 2B Product Disclosure Statement for market-traded
derivatives
7.9.07B.
Product Disclosure Statements for certain market-traded derivatives 7.9.07C.
Remedies for Product Disclosure Statements for certain market-traded derivatives
CORPORATIONS REGULATIONS 2001
Division 2C Situations where a Product Disclosure Statement is not
required
7.9.07D.
Product Disclosure Statement not required for offers of bundled contracts of insurance 7.9.07E.
Product Disclosure Statement not required if offer of financial product is declined 7.9.07F.
Product Disclosure Statement not required if the client is not contactable
CORPORATIONS REGULATIONS 2001
Division 2D Preparation and content of Product Disclosure Statements
7.9.07J.
Only 1 responsible person for a Product Disclosure Statement
CORPORATIONS REGULATIONS 2001
Division 3 Dealing with money received for financial product
before the product is issued
7.9.08.
Accounts 7.9.08A.
Dealing with interest 7.9.08B.
Crediting of payments before money is received 7.9.08C.
Money held in trust for a superannuation product or RSA product
CORPORATIONS REGULATIONS 2001
Division 4 Content of Product Disclosure Statements
CORPORATIONS REGULATIONS 2001
Subdivision 4.1 Preliminary
7.9.09.
Application of Division 4
CORPORATIONS REGULATIONS 2001
Subdivision 4.3 Other arrangements for Product Disclosure Statements
and application forms
7.9.12.
Modification of Act: Product Disclosure Statements and application forms for standard employer-sponsors and successor funds 7.9.13.
Offer of superannuation interest without application or eligible application 7.9.13A.
Product Disclosure Statement or Supplementary Product Disclosure Statement to correct deficiency 7.9.14.
Remedies for person acquiring financial product under defective Product Disclosure Statement 7.9.14A.
Treatment of arrangements under which a person can instruct another person to acquire a financial product
CORPORATIONS REGULATIONS 2001
Subdivision 4.4 Product information for certain insurance products
7.9.14B.
Product information
CORPORATIONS REGULATIONS 2001
Division 4A General
7.9.14C.
Labour standards and environmental, social and ethical considerations 7.9.15.
More detailed information in Product Disclosure Statement: unauthorised foreign insurer 7.9.15A.
Product Disclosure Statements — requirement to state information as amounts in dollars 7.9.15B.
Product Disclosure Statements — disclosure of dollar amounts 7.9.15C.
Product Disclosure Statements — disclosure of dollar amounts 7.9.16.
More detailed information in Product Disclosure Statement: consumer credit insurance product 7.9.16A.
Small scale offerings of managed investment and other prescribed financial products (20 issues or sales in 12 months)
CORPORATIONS REGULATIONS 2001
Division 4B Ongoing disclosure
7.9.16G.
Ongoing disclosure of material changes and significant events
CORPORATIONS REGULATIONS 2001
Division 5 Ongoing requirements for product disclosure after
person becomes a member
CORPORATIONS REGULATIONS 2001
Subdivision 5.1 Preliminary
7.9.17.
Application of Division 5
CORPORATIONS REGULATIONS 2001
Subdivision 5.2 Periodic statements for retail clients for financial
products that have an investment component: regulated superannuation funds,
ADFs and RSAs
7.9.18.
Application of Subdivision 5.2 7.9.19.
Specific requirements for periodic statements: superannuation funds (other than self managed superannuation funds) and RSAs 7.9.20.
Specific requirements for certain periodic statements: superannuation funds (other than self managed superannuation funds) 7.9.21.
Specific requirements in particular cases: member (other than capital guaranteed member) of fund other than a self managed superannuation fund 7.9.22.
Specific requirements: capital guaranteed funds and RSAs 7.9.23.
Information for capital guaranteed fund: benefits reach $10 000 7.9.24.
Modification of Act: pensioners, members subject to compulsory protection of small amounts and members with small amounts that are expected to grow quickly
CORPORATIONS REGULATIONS 2001
Subdivision 5.3 Periodic statements for retail clients for financial
products that have an investment component: information for RSAs
7.9.25.
Application of Subdivision 5.3 7.9.26.
Specific requirements where applicable: RSAs 7.9.27.
Modification of Act: periodic statements for RSA holders 7.9.28.
Information for RSA: amount reaches $10 000
CORPORATIONS REGULATIONS 2001
Subdivision 5.4 Periodic statements for retail clients for financial
products that have an investment component: additional information for
superannuation entities and RSA providers
7.9.29.
Application of Subdivision 5.4 7.9.30.
Additional information for change to choices
CORPORATIONS REGULATIONS 2001
Subdivision 5.5 Fund information for retail clients for financial
products that have an investment component: superannuation
7.9.31.
Application of Subdivision 5.5 7.9.32.
Reporting periods: general 7.9.33.
Use of more than 1 document
CORPORATIONS REGULATIONS 2001
Subdivision 5.6 Fund information for retail clients for financial
products that have an investment component: fund information for regulated
superannuation funds and ADFs
7.9.34.
Application of Subdivision 5.6 7.9.35.
General requirement 7.9.36.
Specific requirements in all cases 7.9.37.
Specific requirements in particular cases 7.9.38.
Specific information in particular case: self managed superannuation fund 7.9.39.
Benefits determined by life insurance products
CORPORATIONS REGULATIONS 2001
Subdivision 5.7 Fund information for retail clients for financial
products that have an investment component: fund information for pooled
superannuation trusts
7.9.40.
Application of Subdivision 5.7 7.9.41.
Specific requirements in all cases 7.9.42.
Specific requirements in particular cases
CORPORATIONS REGULATIONS 2001
Subdivision 5.8 Ongoing disclosure of material changes and
significant events
7.9.43.
Modification of Act: disclosure of material changes and significant events in relation to superannuation products and RSA products 7.9.44.
Benefits to be paid to eligible rollover fund
CORPORATIONS REGULATIONS 2001
Subdivision 5.9 Information on request: members
7.9.45.
Regulated superannuation funds, ADFs and pooled superannuation trusts 7.9.46.
RSAs
CORPORATIONS REGULATIONS 2001
Subdivision 5.10 Information on request: payments
7.9.47.
Modification of Act: charges for information requested
CORPORATIONS REGULATIONS 2001
Subdivision 5.11 Information about complaints
7.9.48.
Complaints: regulated superannuation fund or approved deposit fund
CORPORATIONS REGULATIONS 2001
Subdivision 5.12 Periodic report when product holder ceases to hold
product: superannuation products and RSA products
7.9.49.
Application of Subdivision 5.12 7.9.50.
Exit reporting period 7.9.51.
Time for compliance 7.9.52.
General requirement 7.9.53.
Information on death of product holder 7.9.54.
Specific requirements in all cases 7.9.55.
Specific requirements in particular cases 7.9.56.
Exceptions to exit reporting period provisions: superannuation products and RSA products 7.9.57.
Exception — members subject to compulsory protection of small amounts 7.9.58.
Information to be given in cases other than death of RSA holder 7.9.59.
Information to be given where applicable 7.9.60.
Modification of Act: exceptions to exit reporting period provisions
CORPORATIONS REGULATIONS 2001
Division 5AA General requirements for financial disclosure
7.9.61.
Modification of Act: disclosure
CORPORATIONS REGULATIONS 2001
Division 5A Dealing with money received for financial product
before the product is issued
7.9.61A.
Lost application money 7.9.61B.
Issue of substitute insurance product 7.9.61C.
Cheques
CORPORATIONS REGULATIONS 2001
Division 5B Confirming transactions
7.9.61D.
Transactions involving superannuation products
CORPORATIONS REGULATIONS 2001
Division 6 Confirmation of transactions
7.9.62.
Confirmation of transaction: superannuation products and RSAs 7.9.63.
Confirmation of transactions: precise costs of transaction not known 7.9.63A.
Persons who must confirm transactions 7.9.63B.
Content of confirmation of transactions — general 7.9.63C.
Confirmation of transaction — multiple transactions 7.9.63D.
Confirmation of transaction — information about cooling-off period 7.9.63E.
Confirmation of transaction — facility that provides written confirmation 7.9.63F.
Confirmation of transaction — acquisition of financial product 7.9.63G.
Confirmation of transaction — disposal of financial product 7.9.63H.
Certain product issuers and regulated persons must meet appropriate dispute resolution requirements — self managed superannuation funds 7.9.63I.
Confirmation of transaction in electronic form
CORPORATIONS REGULATIONS 2001
Division 7 Cooling-off periods
7.9.64.
Cooling-off periods not to apply 7.9.64A.
Notification of exercise of right of return — risk insurance products 7.9.65.
Return of financial product 7.9.66.
Return of financial product 7.9.67.
Variation of amount to be repaid 7.9.68.
Modification of section 1019B of the Act: client includes standard employer-sponsor 7.9.69.
Modification of provisions of Division 5 of Part 7.9 of the Act: terms of contract 7.9.70.
Modification of provisions of Division 5 of Part 7.9 of the Act: distributions
CORPORATIONS REGULATIONS 2001
Division 8 Other requirements
7.9.71.
Modification of section 1017D of the Act: use of more than 1 document 7.9.71A.
Periodic statements — exemption for passbook accounts 7.9.72.
Modification of section 1017D of the Act: information already given 7.9.72A.
Modification of section 1013D of the Act: amount payable for financial product 7.9.73.
Reporting periods: general 7.9.74.
Form of application 7.9.74A.
Periodic statements — requirement to state information as amounts in dollars 7.9.75.
Content of periodic statements: costs of transactions 7.9.75A.
Ways of giving information 7.9.75B.
Information in electronic form 7.9.75C.
Periodic statements — disclosure of amounts 7.9.75D.
Periodic statements — disclosure of amounts 7.9.76.
Consents to certain statements 7.9.77.
Alternative dispute resolution requirements — product issuer that is not a financial services licensee 7.9.78.
Additional statement: trustee required to provide benefits 7.9.79.
Short selling of securities, managed investment products and certain other financial products 7.9.80.
Late provision of Product Disclosure Statement for travellers' cheques 7.9.80A.
Short selling of securities, managed investment products and certain other financial products 7.9.80B.
Short selling of certain warrants 7.9.80C.
Product Disclosure Statement may sometimes be provided later — issue situation 7.9.80D.
Product Disclosure Statement may sometimes be provided later — recommendation situation
CORPORATIONS REGULATIONS 2001
Division 9 Additional requirements for transfer of lost members
and lost RSA holders
7.9.81.
Lost members 7.9.82.
Lost RSA holders
CORPORATIONS REGULATIONS 2001
Division 11 Superannuation to which arrangements apply under the
Family Law Act 1975
7.9.84.
Definitions for Division 11 7.9.85.
Application of Division 11 7.9.86.
Acquisition of financial product 7.9.87.
Modification of Act: Product Disclosure Statement in relation to superannuation interest under Family Law Act 7.9.88.
Statement content in relation to superannuation interest under Family Law Act: superannuation fund 7.9.89.
Statement content in relation to superannuation interest under Family Law Act: RSA 7.9.90.
Information for existing holders of superannuation products and RSA products in relation to superannuation interest 7.9.91.
Periodic statements for retail clients for financial products that have an investment component — general 7.9.92.
Periodic statements for retail clients for financial products that have an investment component — superannuation interest other than percentage-only interest 7.9.93.
Trustees of superannuation entities — additional obligation to provide information in relation to superannuation interest 7.9.94.
Division 5 of Part 7.9 of the Act not to apply in relation to non-member spouse
CORPORATIONS REGULATIONS 2001
Division 12 Medical indemnity insurance
7.9.95.
Medical indemnity insurance — exemption from product disclosure provisions
CORPORATIONS REGULATIONS 2001
Division 13 Unsolicited offers to purchase financial products off
market
7.9.96.
Percentage increase or decrease in the market value of a product
CORPORATIONS REGULATIONS 2001
Part 7.10 Market misconduct and other prohibited conduct relating to
financial products and financial services
7.10.01.
Division 3 financial products
CORPORATIONS REGULATIONS 2001
Part 7.11 Title and transfer
CORPORATIONS REGULATIONS 2001
Division 1 Preliminary
7.11.01.
Definitions 7.11.02.
Authorised trustee corporation 7.11.03.
Arrangements about Division 4 financial products 7.11.04.
Arrangements for forms 7.11.05.
Document duly completed in accordance with a particular form 7.11.06.
Stamping of documents 7.11.07.
Application of Division 3 of Part 7.11 of the Act to certain bodies 7.11.08.
Interests in registered schemes
CORPORATIONS REGULATIONS 2001
Division 2 Application of Part 7.11
7.11.09.
Application
CORPORATIONS REGULATIONS 2001
Division 3 Transfer of Division 3 securities effected otherwise
than through a prescribed CS facility
7.11.10.
Application of Division 3 7.11.11.
Sufficient transfer: general 7.11.12.
Sufficient transfer of Division 3 assets: authorised trustee corporation 7.11.13.
Sufficient transfer of Division 3 rights: authorised trustee corporation 7.11.14.
Sufficient transfer 7.11.15.
Transferee's execution of transfer of Division 3 assets 7.11.16.
Transferee's execution of transfer of Division 3 rights 7.11.17.
Transfer document that purports to bear stamp of transferor's broker 7.11.18.
Warranties by market licensee if transfer document purports to bear its stamp 7.11.19.
Indemnities by market licensee and broker if transfer document purports to bear their stamps 7.11.20.
Joint and several warranties and liabilities 7.11.21.
Registration of certain instruments 7.11.22.
Details to be included in instrument of transfer
CORPORATIONS REGULATIONS 2001
Division 4 Transfer of Division 4 financial products effected
through prescribed CS facility
7.11.23.
Application of Division 4 7.11.24.
Application of ASTC operating rules 7.11.25.
Participant's authority to enter into transaction continues despite client's death 7.11.26.
Authority to enter into transaction gives authority to transfer 7.11.27.
Effect of proper ASTC transfer on transferee: Division 4 financial products other than rights 7.11.28.
Effect of proper ASTC transfer on transferee: rights 7.11.29.
Warranties by participant if identification code is included in transfer document 7.11.30.
Indemnities in respect of warranted matters: transfer not effected by the participant 7.11.31.
Indemnities in respect of warranted matters: transferor not legally entitled or authorised to transfer Division 4 financial products 7.11.32.
Indemnities in respect of warranted matters: participant not authorised to effect transfer 7.11.33.
Joint and several warranties and liabilities 7.11.34.
ASTC entitled to assume its operating rules complied with 7.11.35.
ASTC-regulated transfer not to be registered unless proper ASTC transfer 7.11.36.
Issuer not to refuse to register proper ASTC transfer 7.11.37.
Determination of who holds Division 4 financial products for the purposes of meeting 7.11.38.
Determination of who holds Division 4 financial products in class of Division 4 financial products for the purposes of meeting 7.11.39.
Determination of who holds Division 4 financial products for the purposes of conferring security benefits
CORPORATIONS REGULATIONS 2001
Division 5 Offences
7.11.40.
Stamping of broker's stamp on sufficient transfer 7.11.41.
Inclusion of identification codes in proper ASTC transfers 7.11.42.
Contravention by participant of the ASTC certificate cancellation provisions relating to use of cancellation stamps
CORPORATIONS REGULATIONS 2001
Division 6 Civil liability
7.11.43.
Contravention by participant of the ASTC certificate cancellation provisions
CORPORATIONS REGULATIONS 2001
Part 7.12 Miscellaneous
7.12.01.
Destruction of records by ASIC
CORPORATIONS ACT 2001
Part 9.1 Registers and registration of documents
9.1.01.
Prescribed registers 9.1.02.
Prescribed information
CORPORATIONS ACT 2001
Part 9.2 Registration of auditors and liquidators
CORPORATIONS ACT 2001
Division 2 Registration
9.2.01.
Practical experience in auditing (Act s 1280 (2)) 9.2.02.
Prescribed universities and institutions (Act ss 1280 (2A) and 1282 (2)) 9.2.03.
Prescribed courses (Act s 1280 (2A)) 9.2.04.
Prescribed bodies (Act s 1282 (2)) 9.2.05.
Application of security under subsection 1284 (2) of the Act 9.2.06.
Discharge, return or release of security 9.2.07.
Effect of discharge of security
CORPORATIONS ACT 2001
Division 2A Conditions on registration
9.2.08.
Kinds of conditions (Act s 1289A)
CORPORATIONS ACT 2001
Part 9.2A Authorised audit companies
CORPORATIONS ACT 2001
Division 1 Registration
9.2A.01.
Application for registration as authorised audit company (Act s 1299A) 9.2A.03.
Annual statements by authorised audit company (Act s 1299G)
CORPORATIONS ACT 2001
Part 9.4 Penalty notice offences and penalties
9.4.01.
Prescribed offences (Act s 1313) 9.4.02.
Prescribed penalties (Act s 1313) 9.4.03.
Late payment of review fee — prescribed offence and penalty (Act s 1313 and 1364)
CORPORATIONS ACT 2001
Part 9.4A Register and index
9.4A.01.
Definitions for Part 9.4A 9.4A.02.
Register and index must be kept up to date: subsection 1306 (4A) of the Act
CORPORATIONS ACT 2001
Part 9.5 Delegation of powers and functions under the Act
9.5.01.
Prescribed functions (Law s 1345A (1))
CORPORATIONS ACT 2001
Part 9.12 Matters relating to regulations
9.12.01.
Exemptions from Chapter 7 9.12.02.
Exemption from provisions of Chapter 7 — CLS Bank 9.12.03.
Partial exemption of foreign-based market licensees from certain notification obligations
CORPORATIONS ACT 2001
Part 10.1 Old Corporations Regulations
10.1.01.
Repeal of Corporations Regulations 1990 10.1.02.
Repeal of Partnerships and Associations Application Order 1999 (No. 1)
CORPORATIONS ACT 2001
Part 10.2 Transitional arrangements relating to Financial Services
Reform legislation
CORPORATIONS ACT 2001
Division 1 Preliminary
10.2.01.
Application of Part 10.2 10.2.02.
Definitions 10.2.02A.
References to transition periods 10.2.02B.
References to the application of Division 2 of Part 7.9 of the Act
CORPORATIONS ACT 2001
Division 1A Treatment of proposed markets that have not started to
operate by the FSR commencement
10.2.02C.
Proposed markets
CORPORATIONS ACT 2001
Division 2 Transitional arrangements relating to business rules or
listing rules
CORPORATIONS ACT 2001
Subdivision 2.1 Business rules
10.2.03.
Amendment of business rules of securities exchange before FSR commencement 10.2.04.
Amendment of SCH business rules before FSR commencement 10.2.05.
Amendment of SEGC business rules before FSR commencement 10.2.06.
Amendment of business rules of futures body before FSR commencement
CORPORATIONS ACT 2001
Subdivision 2.2 Listing rules
10.2.07.
Amendment of listing rules of securities exchange before FSR commencement
CORPORATIONS ACT 2001
Division 3 Status of directions and notices
10.2.08.
Direction to securities exchange to comply with ongoing requirements 10.2.09.
Notice to securities exchange of need to prohibit trading 10.2.10.
Notice to securities exchange prohibiting trading 10.2.11.
Direction to futures exchange — orderly market
CORPORATIONS ACT 2001
Division 4 Assistance to ASIC
10.2.12.
Obligations of securities exchange: disciplinary action 10.2.13.
Obligations of securities exchange: particulars of contravention 10.2.14.
Obligations of securities exchange: information about listed disclosing entity 10.2.15.
Obligations of securities clearing house: disciplinary action 10.2.16.
Obligations of futures body: disciplinary action 10.2.17.
Obligations of futures body: particulars of contravention 10.2.18.
Obligations of clearing house for futures exchange: information about listed disclosing entity
CORPORATIONS ACT 2001
Division 5 Special reports
10.2.19.
Special report by securities exchange about compliance with ongoing requirements 10.2.20.
Special report by securities exchange about compliance with ongoing requirements: ASIC requirements
CORPORATIONS ACT 2001
Division 5A Transactions by holder of financial services licence
or a representative of the holder of such a licence
10.2.20A.
References to financial service licensee
CORPORATIONS ACT 2001
Division 5B Obligation to pay money into account
10.2.20B.
Financial products quoted on Australian Stock Exchange Limited
CORPORATIONS ACT 2001
Division 6 Self-listing
10.2.21.
Status of arrangements for self-listing 10.2.22.
Status of exemption relating to self-listing
CORPORATIONS ACT 2001
Division 7 Decisions about membership of futures exchange
10.2.23.
Status of notice to applicant 10.2.24.
Status of notice to ASIC
CORPORATIONS ACT 2001
Division 8 National Guarantee Fund
10.2.25.
Status of claim against the National Guarantee Fund 10.2.26.
Entitlement to make claim against the National Guarantee Fund 10.2.27.
Status of future claim against the National Guarantee Fund 10.2.27A.
Expenditure of excess funds from National Guarantee Fund
CORPORATIONS ACT 2001
Division 9 Claims against fidelity funds
10.2.28.
Status of claim against fidelity fund 10.2.29.
Entitlement to make claim against fidelity fund 10.2.29A.
Status of incomplete claim against fidelity fund 10.2.30.
Status of future claim against fidelity fund
CORPORATIONS ACT 2001
Division 10 Status of netting markets
10.2.31.
Netting markets 10.2.32.
Netting market approval granted before the FSR commencement
CORPORATIONS ACT 2001
Division 11 Status of listed securities
10.2.33.
Securities of exempt stock markets
CORPORATIONS ACT 2001
Division 12 Miscellaneous
10.2.34.
Preservation of nomination of body corporate as SEGC
CORPORATIONS ACT 2001
Division 13 Regulated principals
10.2.35.
Definitions 10.2.35A.
Streamlined licensing procedure for certain regulated principals 10.2.36.
Persons who are not covered by section 1433 of the Act 10.2.37.
Variation of conditions on financial services licence 10.2.38.
Persons taken to be regulated principals: giving of incidental advice and previously exempt persons 10.2.39.
Reference to offer covered by Australian financial services licence: section 911A of the Act 10.2.40.
Reference to financial services licensee: section 911A of the Act 10.2.40A.
Need for an Australian financial services licence 10.2.41.
Reference to second principal: section 911B of the Act 10.2.42.
Reference to financial services licensee: section 916D of the Act 10.2.43.
Status of insurance agent: section 1436A of the Act 10.2.44.
Compensation arrangements if financial services provided to persons as retail clients: section 912B of the Act 10.2.44A.
Obligation to cite licence number in documents 10.2.45.
Conditions on activity 10.2.46.
When Australian financial services licence may be granted 10.2.46A.
When Australian financial services licence may be varied 10.2.47.
Dispute resolution requirements: no external dispute resolution scheme 10.2.47A.
Modification of pre-FSR authority
CORPORATIONS ACT 2001
Division 14 Financial services disclosure
10.2.48.
Obligation to give Financial Services Guide for service arranged before application of Part 7.7 of the Act 10.2.48A.
Obligation to give a Financial Services Guide for a custodial and depository service 10.2.49.
Obligation to give Financial Services Guide in relation to existing clients 10.2.50.
Content of Financial Services Guide for an authorised representative that is a regulated principal or a representative of a regulated principal 10.2.50A.
Treatment of arrangements under which a person can instruct another person to acquire a financial product
CORPORATIONS ACT 2001
Division 15 Other provisions relating to conduct etc
10.2.51.
Sale offers that need disclosure 10.2.52.
Offers that do not need disclosure: small scale offerings 10.2.52A.
Offers that do not need disclosure 10.2.53.
Money other than loans: financial services licensee who formerly held dealer's licence 10.2.54.
Money other than loans: financial services licensee who formerly held futures broker's licence 10.2.55.
Money other than loans: financial services licensee who was formerly a registered insurance broker 10.2.56.
Money other than loans: financial services licensee who ceases to be licensed 10.2.57.
Loan money: financial services licensee who formerly held dealer's licence 10.2.58.
Other property of clients: financial services licensee who formerly held dealer's licence 10.2.59.
Other property of clients: financial services licensee who formerly held futures broker's licence 10.2.60.
Special provisions relating to insurance: financial services licensee who was formerly a registered insurance broker 10.2.61.
Obligation to report: financial services licensee who formerly held a futures broker's licence 10.2.62.
Reporting in relation to dealings in derivatives: financial services licensee who formerly held a dealer's licence 10.2.63.
Financial statements of financial services licensee: general 10.2.64.
Financial statements of financial services licensees who were certain regulated principals 10.2.65.
Auditors: certain financial services licensee who formerly held dealer's licence 10.2.66.
Auditors: certain financial services licensees who held a futures broker's licence 10.2.67.
Auditor's report in certain matters: financial services licensee who formerly held a dealer's licence 10.2.68.
Auditor's report on certain matters: financial services licensee who formerly held a futures broker's licence 10.2.69.
Auditor's report on certain matters: financial services licensee who was formerly a registered insurance broker 10.2.70.
Priority to clients' orders: financial services licensee who held a dealers licence 10.2.71.
Sequencing of instructions to deal through licensed markets: financial services licensee who formerly held a futures brokers licence 10.2.72.
Records relating to instructions to deal through licensed markets: financial services licensee who held a futures brokers licence 10.2.73.
Dealing with non-licensees: financial services licensee who held a dealers licence 10.2.73A.
Advertising for financial products 10.2.73B.
Freezing accounts
CORPORATIONS ACT 2001
Division 16 Product disclosure provisions for existing products
during transition period
10.2.74.
Financial products in the same class 10.2.75.
References to financial services licensee 10.2.76.
References to retail client 10.2.77.
References to issue of product 10.2.78.
References to Product Disclosure Statement: offer previously accepted 10.2.79.
References to Product Disclosure Statement: managed investment products 10.2.80.
Lodgment of Product Disclosure Statement after lodgment of notice 10.2.81.
Ongoing disclosure 10.2.82.
Money received for financial product before the product is issued: general 10.2.83.
Money received for financial product before the product is issued: requirement before application of subsection 37 (2) of Insurance (Agents and Brokers) Act 1984 10.2.84.
Confirmation of transactions 10.2.85.
Dispute resolution requirements: financial products 10.2.86.
Dispute resolution requirements: regulated principals 10.2.87.
Dispute resolution requirements: no external dispute resolution scheme 10.2.87A.
Meaning of financial product advice : exempt document or statement
CORPORATIONS ACT 2001
Division 17 Arrangements relating to enforcement of matters by ASIC
10.2.88.
Definition 10.2.89.
Financial services law 10.2.90.
ASIC may have regard to prior conduct and events 10.2.91.
Power to act in relation to relevant old legislation
CORPORATIONS ACT 2001
Division 18 Specific kinds of documents in existence before FSR
commencement
10.2.92.
Banning orders made before FSR commencement 10.2.93.
Banning orders made under relevant old legislation after FSR commencement 10.2.94.
Banning orders made under the Act after FSR commencement 10.2.94A.
Prohibitions under paragraphs 827 (1) (d) and 1192 (1) (d) of the old Corporations Act made before FSR commencement 10.2.94B.
Prohibitions under paragraphs 827 (1) (d) and 1192 (1) (d) of the old Corporations Act made after FSR commencement 10.2.95.
Undertakings 10.2.96.
Registers in existence before FSR commencement 10.2.97.
Registers created after FSR commencement 10.2.98.
Registers, documents and things kept before FSR commencement 10.2.98A.
Licenses, registration, etc in force before FSR commencement
CORPORATIONS ACT 2001
Division 19 Extension of limitation periods
10.2.99.
Application of items 111 and 121 of the Financial Services Reform (Consequential Provisions) Act 2001 to amendments of the Australian Securities and Investments Commission Act 2001
CORPORATIONS ACT 2001
Division 20 Rules for dealing with liability during transition
period
10.2.100.
Application of Division 20 10.2.101.
Definitions for Division 20 10.2.102.
Liability of responsible person: general rules 10.2.103.
Conduct by a person who operates as representative and principal 10.2.104.
Operation of regulations 10.2.102 and 10.2.103
CORPORATIONS ACT 2001
Division 21 Title and transfer
10.2.105.
Loss or destruction of certificates 10.2.106.
Instrument of transfer 10.2.107.
Trustee etc may be registered as owner of shares 10.2.108.
Registration of transfer at request of transferor 10.2.109.
Notice of refusal to register transfer 10.2.110.
Duties of company with respect to issue of certificates: allotment of shares or debentures or making interests available 10.2.111.
Duties of company with respect to issue of certificates: transfer of shares, debentures or interests 10.2.112.
Notices relating to non-beneficial and beneficial ownership of shares 10.2.113.
What is a sufficient transfer of marketable securities or marketable rights: general 10.2.114.
Sufficient transfer by authorised trustee corporation 10.2.115.
Determination of who holds quoted securities for the purposes of a meeting: determination made before FSR commencement
CORPORATIONS ACT 2001
Division 22 Transitional matters under relevant old legislation:
Financial Transaction Reports Act 1988
10.2.116.
Cash dealer 10.2.117.
Exempt cash transaction
CORPORATIONS ACT 2001
Division 23 Transitional matters under relevant old legislation:
Income Tax Assessment Act 1936
10.2.118.
Offshore banking units
CORPORATIONS ACT 2001
Division 24 Transitional matters under relevant old legislation:
Insurance Act 1973
10.2.119.
Insurers carrying on class of insurance business
CORPORATIONS ACT 2001
Division 24A Transitional matters under relevant old
legislation: Insurance (Agents and Brokers) Act 1984
10.2.119A.
Debts of broker in relation to premiums etc 10.2.119B.
Disqualifications made before FSR commencement 10.2.119C.
Disqualifications made after FSR commencement
CORPORATIONS ACT 2001
Division 25 Transitional matters under relevant old legislation:
Marine Insurance Act 1909
10.2.120.
Marine policy effected through broker
CORPORATIONS ACT 2001
Division 25A Transitional matters under relevant old legislation:
Retirement Savings Accounts Regulations 1997
10.2.120A.
Continuation of RSA Regulations during transition period
CORPORATIONS ACT 2001
Division 25B Transitional matters under relevant old legislation:
Superannuation Industry (Supervision) Regulations 1994
10.2.120B.
Continuation of SIS Regulations during transition period
CORPORATIONS ACT 2001
Division 26 Transitional matters under relevant old legislation:
Superannuation (Resolution of Complaints) Act 1993
10.2.121.
Life insurance broker
CORPORATIONS ACT 2001
Division 27 Transitional matters under the Act (other than
Chapter 7)
10.2.122.
Solvency and insolvency 10.2.123.
Managed investment products held by 100 or more persons 10.2.124.
When a managed investment scheme must be registered 10.2.125.
Responsible entity to be a public company and hold an Australian financial services licence 10.2.126.
Duties of officers of responsible entity 10.2.127.
Voidable contracts 10.2.128.
Situations not giving rise to relevant interests 10.2.129.
Bidder's statement content 10.2.130.
Continuous disclosure: other disclosing entities 10.2.131.
Sale offers that need disclosure: securities issued before FSR commencement 10.2.132.
Offers that do not need disclosure: offer to sophisticated investor through licensed dealer 10.2.133.
Prospectus content: general disclosure test 10.2.134.
Prospectus content — specific disclosures 10.2.135.
Registers
CORPORATIONS ACT 2001
Division 27A Transitional matters under other legislation
10.2.135A.
References to authorised foreign exchange dealers
CORPORATIONS ACT 2001
Division 28 Retail clients and wholesale clients
10.2.136.
Securities before the FSR commencement 10.2.137.
Incomplete financial services 10.2.138.
Professional investors
CORPORATIONS ACT 2001
Division 29 Effect on definitions in old Corporations Act of
transition to licensed markets and licensed CS facilities
10.2.139.
Approved foreign bank 10.2.140.
Eligible exchange-traded options 10.2.141.
Futures law 10.2.142.