Corporations Regulations 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

PART 7.2 - LICENSING OF FINANCIAL MARKETS  

Division 5 - The Australian market licence: applications (financial market in foreign country)  

REGULATION 7.2.14  

7.2.14   INFORMATION  
For paragraph 795A(1) (a) of the Act, the following information is required as part of an application by the body corporate for an Australian market licence:

(a) the body corporate's name, address and contact details in this jurisdiction;

(b) the address and contact details of the body corporate's principal place of business in the foreign country in which its financial market is located (the home country );

(c) whether the body corporate is registered under Division 2 of Part 5B.2 of the Act;

(d) details of the financial products that are traded on the financial market in the home country;

(e) details of the clearing and settlement arrangements for the financial market in the home country;

(f) details of the body corporate's major shareholders and organisation, including any details that have not already been given to ASIC in accordance with Division 2 of Part 5B.2 of the Act of:

(i) each person whose duties are comparable to those of a director; and

(ii) each person whose duties are comparable to those of a secretary; and

(iii) each person whose duties are comparable to those of an executive officer of the body corporate.