Item

Column 1

provisions that are civil penalty provisions

Column 2

brief description of what the provisions are about

1

subsections 180(1), 181(1) and (2), 182(1) and (2) and 183(1) and (2)

officers’ duties

2

subsections 188(1) and (2)

responsibilities of secretaries etc. for corporate contraventions

3

subsection 209(2)

related parties rules

4

subsections 254L(2), 256D(3), 259F(2) and 260D(2)

share capital transactions

5

subsection 344(1)

requirements for financial reports

6

subsection 588G(2)

insolvent trading

7

subsection 601FC(5)

duties of responsible entity

8

subsection 601FD(3)

duties of officers of responsible entity

9

subsection 601FE(3)

duties of employees of responsible entity

10

subsection 601FG(2)

acquisition of interest in scheme by responsible entity

11

subsection 601JD(3)

duties of members

12

subsection 601UAA(2)

duties of officers of licensed trustee company

13

subsection 601UAB(2)

duties of employees of licensed trustee company

14

subsections 674(2), 674(2A), 675(2) and 675(2A)

continuous disclosure

15

subsection 798H(1)

complying with market integrity rules

16

section 901E

complying with derivative transaction rules

17

section 903D

complying with derivative trade repository rules

18

subsections 961K(1) and (2)

financial services licensee responsible for breach of certain best interests duties

19

section 961L

financial services licensee to ensure compliance with certain best interests duties

20

subsection 961Q(1)

authorised representative responsible for breach of certain best interests duties

21

section 962P

charging ongoing fee after termination of ongoing fee arrangement

22

subsection 962S(1)

fee recipient must give fee disclosure statement

23

subsections 963E(1) and (2)

financial services licensee responsible for breach of ban on conflicted remuneration

24

section 963F

financial services licensee must ensure representatives do not accept conflicted remuneration

25

subsection 963G(1)

authorised representative must not accept conflicted remuneration

26

section 963J

employer must not pay employees conflicted remuneration

27

section 963K

financial product issuer or seller must not give conflicted remuneration to financial services licensee or representative

28

subsection 964A(1)

platform operator must not accept volume-based shelf-space fees

29

subsections 964D(1) and (2)

financial services licensee responsible for breach of asset-based fees on borrowed amounts

30

subsection 964E(1)

authorised representative must not charge asset-based fees on borrowed amounts

31

section 965

anti-avoidance of Part 7.7A provisions

32

subsection 985E(1)

issuing or increasing limit of margin lending facility without having made assessment etc.

33

subsection 985H(1)

failure to assess a margin lending facility as unsuitable

34

subsection 985J(1)

failure to give assessment to retail client if requested before issue of facility or increase in limit

35

subsection 985J(2)

failure to give assessment to retail client if requested after issue of facility or increase in limit

36

subsection 985J(4)

demanding payment to give assessment to retail client

37

subsection 985K(1)

issuing or increasing limit of margin lending facility if unsuitable

38

section 985L

making issue of margin lending facility conditional on retail client agreeing to receive communications through agent

39

subsection 985M(1)

failure to notify of margin call where there is no agent

40

subsection 985M(2)

failure to notify of margin call where there is an agent

41

section 1041A

market manipulation

42

subsection 1041B(1)

false trading and market rigging - creating a false or misleading appearance of active trading etc.

43

subsection 1041C(1)

false trading and market rigging - artificially maintaining etc. market price

44

section 1041D

dissemination of information about illegal transactions

45

subsections 1043A(1) and (2)

insider trading

46

subclause 29(6) of Schedule 4

disclosure for proposed demutualisation