Corporations Regulations 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

PART 7.3 - LICENSING OF CLEARING AND SETTLEMENT FACILITIES  

Division 5 - The Australian CS facility licence: applications (overseas clearing and settlement facility)  

REGULATION 7.3.13  

7.3.13   INFORMATION  
For paragraph 824A(1) (a) of the Act, the following information is required as part of an application by the body corporate for an Australian CS facility 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 clearing and settlement facility is located;

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

(d) the services in respect of which the Australian CS facility licence is sought, including details of the financial products for which clearing and settlement facilities are to be provided;

(e) 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.