Corporations Regulations 2001
CHAPTER 7 - FINANCIAL SERVICES AND MARKETS
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.]
PART 7.5A - REGULATION OF DERIVATIVE TRANSACTIONS AND DERIVATIVE TRADE REPOSITORIES
Division 2 - Regulation of derivative transactions: derivative transaction rules
Subdivision 2.3 - Infringement notices
REGULATION 7.5A.103
7.5A.103 DEFINITIONS FOR SUBDIVISION
In this Subdivision:
compliance period
has the meaning given by subregulation
7.5A.108(2)
.
infringement notice
means an infringement notice given under regulation
7.5A.104
.
recipient
, in relation to an infringement notice, means the person to whom ASIC gives the infringement notice or intends to give the infringement notice under regulation
7.5A.104
.
(a)
the derivative transaction rules mentioned in section
901E
of the Act; or
(b)
derivative trade repository rules mentioned in section
903D
of the Act.
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