Corporations Regulations 2001
CHAPTER 7
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FINANCIAL SERVICES AND MARKETS
PART 7.2
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LICENSING OF FINANCIAL MARKETS
Division 1
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Market licensees' obligations
REGULATION 7.2.01
7.2.01
OBLIGATION TO INFORM ASIC OF CERTAIN MATTERS: CONTRAVENTIONS OF LICENCE OR ACT
For paragraph 792B(3) (b) of the Act, a matter to which that paragraph relates is any matter that, in the opinion of a market licensee, constitutes or may constitute a contravention of:
(a) a condition of a licence held by a financial services licensee; or
(b) Subdivision A or B of Division 2 of Part 7.8 of the Act; or
(c) Division 3 of Part 7.8 of the Act; or
(d) Subdivision B of Division 6 of Part 7.8 of the Act.
View history note
Hide history note[ CCH Note: Pursuant to the Corporations Amendment Regulations 2001 (No 4) (SR 2001 No 319) effective 11 March 2002, Chapter 7 (Securities) comprising reg 7.1.01 - 7.15.01 and Chapter 8 (The futures industry) comprising reg 8.1.01 - 8.7.03 are replaced by a new Chapter 7 (Financial services and markets) comprising reg 7.1.01 - 7.12.01. As the subject matter of the new Chapter 7 relates to the new financial services reform regime, " inserted " has been used in the history notes for each provision, and all references to the former provisions have been removed.]
For paragraph 792B(3) (b) of the Act, a matter to which that paragraph relates is any matter that, in the opinion of a market licensee, constitutes or may constitute a contravention of:
(a) a condition of a licence held by a financial services licensee; or
(b) Subdivision A or B of Division 2 of Part 7.8 of the Act; or
(c) Division 3 of Part 7.8 of the Act; or
(d) Subdivision B of Division 6 of Part 7.8 of the Act.
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