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.]
For paragraph 795A(1) (a) of the Act, the following information is required as part of an application by the body corporate for an Australian market 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 financial market is located (the home country );
(c) whether the body corporate is registered under Division 2 of Part 5B.2 of the Act;
(d) details of the financial products that are traded on the financial market in the home country;
(e) details of the clearing and settlement arrangements for the financial market in the home country;
(f) 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.
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