Corporations Regulations 2001
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.]
(Omitted by SR 2002 No 16, Sch 1 [ 9] (effective 11 March 2002).)
7.1.10(2) [ Stock Exchange of Newcastle Limited, Bendigo Stock Exchange Limited]
For paragraph 768A(2) (i) of the Act, the conduct of:
(a) National Stock Exchange of Australia Limited, or an agent of that body; or
(b) a participant of the National Stock Exchange of Australia Limited, or an agent of the participant; or
(c) Bendigo Stock Exchange Limited, or an agent of that body; or
(d) a participant of the Bendigo Stock Exchange Limited, or an agent of the participant;
in operating a facility in accordance with the operating rules of a licensed market does not constitute operating a clearing and settlement facility if the requirements of subregulation (3) are met.
For subregulation (2), the requirements are:
(a) the market licensee must have, and must be responsible for enforcing, operating rules that apply to a participant of the licensed market in relation to the participant ' s obligations arising from transactions carried out on the licensed market; and
(b) a participant mentioned in paragraph (a), or an agent of the participant appointed in accordance with the operating rules of the licensed market, must be responsible for fulfilling the obligations owed to another participant or agent arising from transactions carried out on the licensed market; and
(c) the market licensee is not the operator of any other clearing and settlement facility; and
(d) each participant of the licensed market is not the operator of any other clearing and settlement facility; and
(e) each agent of a participant of the licensed market is not the operator of any other clearing and settlement facility.
(Omitted by SR 2002 No 16, Sch 1 [ 9] (effective 11 March 2002).)
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