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.]
This regulation applies if a person becomes a director, secretary or executive officer of a market licensee or of a holding company of a market licensee (including when the person changes from one of those positions to another).
7.2.02(2) [ Information to be given to ASIC]For subsection 792B(5) of the Act, the information to be given to ASIC by the market licensee is:
(a) the person's name and contact details; and
(b) the date of appointment to the position; and
(c) the person's educational qualifications and financial market experience; and
(d) if the market licensee is aware of any details of a conviction of the kind mentioned in subsection 206B(1) of the Act - the details; and
(e) whether the market licensee knows whether the person:
(i) is an undischarged bankrupt; or
and, if the market licensee knows the information, details of what the market licensee knows.
(ii) has entered into a deed of arrangement or composition of a kind mentioned in subsections 206B(3) and (4) of the Act;
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