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.]
Modifying legislative instruments: The application of Pt 7.9 is affected by the ASIC Corporations (Disclosure of Fees and Costs) Instrument 2019/1070.
For other legislative instruments or class orders before 1 January 2022 that affect the application of Pt 7.9, please consult the legislative instruments or class orders directly. These are reproduced in the regulatory-resources section of the company-law practice area in CCH iKnowConnect.
In this Division:
reporting day
,
in relation to a short position, means a day on which the Sydney office of ASIC is open for business.
In this Division, a short position is a position in relation to a section 1020B product in a listed entity where the quantity of the product which a person has is less than the quantity of the product which the person has an obligation to deliver.
7.9.99(3) [ When the person has the product]In subregulation (2), the person has the product if:
(a) the person is holding the product on the person ' s own behalf; or
(b) another person is holding the product on the person ' s behalf; or
(c) the person has entered into an agreement to buy the product but has not received it; or
(d) the person has vested title in the product in a borrower, or in an entity nominated by the borrower, under a securities lending arrangement. 7.9.99(4) [ The product the person has an obligation to deliver]
In subregulation (2), the product which the person has an obligation to deliver is the product which the person:
(a) has an obligation to deliver under a sale agreement where the product has not been delivered; or
(b) has an obligation to vest title in a lender under a securities lending arrangement; or
(c) has any other non-contingent legal obligation to deliver. 7.9.99(5) References to time.
A reference in this Division to a time is a reference to the legal time in Sydney, New South Wales.
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