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Corporations Regulations 2001
- CHAPTER 1 - INTRODUCTORY
- PART 1.0 - MISCELLANEOUS
- REGULATION 1.0.01 NAME OF REGULATIONS
- REGULATION 1.0.01A COMMENCEMENT
- REGULATION 1.0.02 DEFINITIONS
- REGULATION 1.0.02AA MEANING OF BASIC DEPOSIT PRODUCT - PRESCRIPTION OF PRIOR NOTICE REQUIREMENT
- REGULATION 1.0.02AB MEANING OF PRESCRIBED CS FACILITY
- REGULATION 1.0.02A MEANING OF PRESCRIBED FINANCIAL MARKET
- REGULATION 1.0.02B PROPRIETARY COMPANY THRESHOLDS (ACT S 45A)
- REGULATION 1.0.03 PRESCRIBED FORMS (ACT s 350)
- REGULATION 1.0.03A DOCUMENTS THAT MUST BE IN THE PRESCRIBED FORM
- REGULATION 1.0.03B DOCUMENTS THAT MUST BE LODGED WITH ASIC
- REGULATION 1.0.03C DOCUMENTS THAT MUST BE IN A FORM APPROVED BY ASIC
- REGULATION 1.0.04 DIRECTIONS AND INSTRUCTIONS IN FORMS
- REGULATION 1.0.05 DOCUMENTS AND INFORMATION REQUIRED BY FORMS
- REGULATION 1.0.05A LODGMENT WITH ASIC
- REGULATION 1.0.06 ANNEXURES ACCOMPANYING FORMS
- REGULATION 1.0.07 GENERAL REQUIREMENTS FOR DOCUMENTS
- REGULATION 1.0.08 INFORMATION TO ACCOMPANY FINANCIAL DOCUMENTS LODGED FOR FINANCIAL YEARS
- REGULATION 1.0.09 INFORMATION TO ACCOMPANY FINANCIAL DOCUMENTS ETC LODGED FOR HALF-YEARS
- REGULATION 1.0.10 CONTINUOUS DISCLOSURE NOTICES
- REGULATION 1.0.11 CERTAIN DOCUMENTS TO BE SIGNED BY PERSONAL REPRESENTATIVES ETC
- REGULATION 1.0.12 FORM OF NOTICE OF RESOLUTION
- REGULATION 1.0.13 TIME FOR LODGING DOCUMENTS
- REGULATION 1.0.14 ADDRESS OF REGISTERED OFFICE OR PLACE OF BUSINESS
- REGULATION 1.0.15 AFFIDAVITS AND STATEMENTS IN WRITING
- REGULATION 1.0.16 CERTIFICATION AND VERIFICATION OF CERTAIN DOCUMENTS
- REGULATION 1.0.17 DOCUMENTS SIGNED OR SWORN IN ACCORDANCE WITH THE RULES OF COURT
- REGULATION 1.0.18 PRESCRIBED PROVISIONS (ACT s 53)
- REGULATION 1.0.20 COPIES OF ORDERS TO BE LODGED
- REGULATION 1.0.21 IDENTIFICATION OF LODGED ORDERS
- REGULATION 1.0.22 MEANING OF THIS JURISDICTION - SPECIFICATION OF EXTERNAL TERRITORIES FOR SPECIFIED PROVISIONS OF CHAPTER 7 OF THE ACT
- PART 1.1 - PRESCRIBED AMOUNTS
- REGULATION 1.1.01 PRESCRIBED AMOUNTS
- PART 1.2 - INTERPRETATION
- Division 1 - General
- REGULATION 1.2.01 REMUNERATION RECOMMENDATIONS (ACT s 9B)
- PART 1.2A - DISCLOSING ENTITIES
- REGULATION 1.2A.01 SECURITIES DECLARED NOT TO BE ED SECURITIES
- REGULATION 1.2A.02 FOREIGN COMPANIES ISSUING SECURITIES UNDER FOREIGN SCRIP OFFERS ETC EXEMPT FROM DISCLOSING ENTITY PROVISIONS
- REGULATION 1.2A.03 FOREIGN COMPANIES ISSUING SECURITIES UNDER EMPLOYEE SHARE SCHEME EXEMPT FROM THE DISCLOSING ENTITY PROVISIONS
- CHAPTER 2A - REGISTRATION OF COMPANIES
- PART 2A.1 - SIZE OF PARTNERSHIPS OR ASSOCIATIONS (ACT s 115(2))
- REGULATION 2A.1.01 SIZE OF PARTNERSHIPS OR ASSOCIATIONS
- PART 2A.2 - CHANGE OF PLACE OF REGISTRATION OF COMPANY (ACT s 119A(3))
- REGULATION 2A.2.01 APPROVAL OF APPLICATION FOR CHANGE OF PLACE OF REGISTRATION
- REGULATION 2A.2.02 SPECIAL RESOLUTION MAY BE SET ASIDE BY COURT ORDER
- REGULATION 2A.2.03 APPLICATION FOR CHANGE OF PLACE OF REGISTRATION
- REGULATION 2A.2.04 CHANGE OF PLACE OF REGISTRATION
- CHAPTER 2B - BASIC FEATURES OF A COMPANY
- PART 2B.6 - NAMES
- REGULATION 2B.6.01 AVAILABILITY OF NAMES (ACT s 147)
- REGULATION 2B.6.02 CONSENTS REQUIRED FOR USE OF CERTAIN LETTERS, WORDS AND EXPRESSIONS
- REGULATION 2B.6.02A EXEMPTION FROM REQUIREMENT TO INCLUDE ' LIMITED ' IN NAME
- REGULATION 2B.6.03 EXEMPTIONS FROM REQUIREMENT TO SET OUT NAME AND ACN ON CERTAIN DOCUMENTS (ACT s 155)
- CHAPTER 2C - REGISTERS
- PART 2C.1 - REGISTERS GENERALLY
- Division 2C.1.1 - Location of register
- REGULATION 2C.1.01 FORM OF NOTICE
- Division 2C.1.2 - Right to inspect and get copies of register
- REGULATION 2C.1.02 FORM OF REGISTER
- REGULATION 2C.1.03 IMPROPER PURPOSES FOR GETTING COPY OF REGISTER
- REGULATION 2C.1.04 INFORMATION TO BE INCLUDED IN APPLICATION FOR COPY OF REGISTER
- Division 2C.1.3 - Use of information on registers by bodies corporate
- REGULATION 2C.1.05 CONTACT WITH MEMBERS AFTER FAILURE TO PROVIDE COPY OF REGISTER
- PART 2C.2 - FORM OF NOTICE Pt 2C.2 repealed by SLI 2010 No 332, Sch 1 [ 2]
- CHAPTER 2D - OFFICERS AND EMPLOYEES
- PART 2D.2 - RESTRICTIONS ON INDEMNITIES, INSURANCE AND TERMINATION PAYMENTS
- Division 2D.2.2 - Termination payments
- REGULATION 2D.2.01 MEANING OF BASE SALARY
- REGULATION 2D.2.02 MEANING OF BENEFIT
- REGULATION 2D.2.03 WHEN BENEFIT GIVEN IN CONNECTION WITH RETIREMENT FROM AN OFFICE OR A POSITION
- PART 2D.6 - DISQUALIFICATION FROM MANAGING CORPORATIONS
- Division 2D.6.1 - Automatic disqualification (Act s 206B)
- REGULATION 2D.6.01 PRESCRIBED FOREIGN JURISDICTIONS (ACT s 206B(7))
- PART 2D.7 - BAN ON HEDGING REMUNERATION OF KEY MANAGEMENT PERSONNEL
- REGULATION 2D.7.01 HEDGING ARRANGEMENTS (ACT s 206J(3))
- CHAPTER 2E - RELATED PARTY TRANSACTIONS
- REGULATION 2E.1.01 SMALL AMOUNTS GIVEN TO RELATED ENTITY
- CHAPTER 2G - MEETINGS
- PART 2G.2 - MEETINGS OF MEMBERS OF COMPANIES
- Division 6 - Proxies and body corporate representatives
- REGULATION 2G.2.01 AUTHENTICATION OF APPOINTMENT OF PROXY (ACT s 250A)
- CHAPTER 2K - CHARGES
- PART 2K.2 - REGISTRATION
- REGULATION 2K.2.01 LIEN OR CHARGE ON CROP OR WOOL, OR STOCK MORTGAGE, THAT IS A REGISTRABLE SECURITY: PRESCRIBED LAW - SUBSECTION 262(5) OF THE ACT
- REGULATION 2K.2.02 TIME PERIOD FOR THE PROVISIONAL REGISTRATION OF CHARGES
- REGULATION 2K.2.03 CHARGE THAT IS A REGISTRABLE SECURITY: SPECIFIED LAW - PARAGRAPHS 273A(4)(b), 273B(3)(b) AND 273C(3)(b) OF THE ACT
- CHAPTER 2L - DEBENTURES
- PART 2L.2 - DUTIES OF BORROWER
- REGULATION 2L.2.01 REGISTER RELATING TO TRUSTEES FOR DEBENTURE HOLDERS
- CHAPTER 2M - FINANCIAL REPORTS AND AUDIT
- PART 2M.3 - FINANCIAL REPORTING
- Division 1 - Annual financial reports and directors ' reports
- REGULATION 2M.3.01 DISCLOSURES REQUIRED BY NOTES TO CONSOLIDATED FINANCIAL STATEMENTS - ANNUAL FINANCIAL REPORTS (ACT s 295)
- REGULATION 2M.3.03 PRESCRIBED DETAILS (ACT s 300A)
- REGULATION 2M.3.04 PRESCRIBED DETAILS - ANNUAL DIRECTORS ' REPORT OF A REGISTRABLE SUPERANNUATION ENTITY
- Division 9 - Reference of financial report to the Financial Reporting Panel
- PART 2M.4 - AUDITOR
- REGULATION 2M.4.01A MEMBERSHIP DESIGNATIONS (ACT s 324BE)
- REGULATION 2M.4.01 NOTICE OF APPOINTMENT OF AUDITORS
- PART 2M.4A - ANNUAL TRANSPARENCY REPORTS FOR AUDITORS
- REGULATION 2M.4A.01 APPLICATION
- REGULATION 2M.4A.02 CONTENT OF ANNUAL TRANSPARENCY REPORT (ACT s 332B)
- PART 2M.6 - MODIFICATION OF THE OPERATION OF CHAPTER 2M OF THE ACT
- REGULATION 2M.6.01 MODIFICATIONS (ACT s 343)
- REGULATION 2M.6.03 FINANCIAL REPORTING - AUSTRALIAN BANKS AND LIFE OFFICES
- REGULATION 2M.6.04 ANNUAL FINANCIAL REPORTS - LISTED COMPANIES
- REGULATION 2M.6.05 CONDUCT OF AUDITOR - RELEVANT RELATIONSHIPS
- CHAPTER 2N - UPDATING ASIC INFORMATION ABOUT COMPANIES AND REGISTERED SCHEMES
- PART 2N.2 - EXTRACT OF PARTICULARS
- REGULATION 2N.2.01 PARTICULARS ASIC MAY REQUIRE IN AN EXTRACT OF PARTICULARS (ACT s 346B)
- PART 2N.4 - RETURN OF PARTICULARS
- REGULATION 2N.4.01 PARTICULARS ASIC MAY REQUIRE IN A RETURN OF PARTICULARS (ACT s 348B)
- CHAPTER 5 - EXTERNAL ADMINISTRATION
- PART 5.1 - ARRANGEMENTS AND RECONSTRUCTIONS
- REGULATION 5.1.01 PRESCRIBED INFORMATION FOR PARAGRAPH 411(3)(b) AND SUBPARAGRAPH 412(1)(a)(ii) OF THE ACT
- REGULATION 5.1.02 GIVING NOTICE UNDER SUBSECTION 414(2) OR (9) OF THE ACT
- REGULATION 5.1.50 PRESCRIBED KINDS OF CONTRACTS, AGREEMENTS OR ARRANGEMENTS UNDER WHICH RIGHTS ARE NOT SUBJECT TO THE STAY IN SECTION 415D OF THE ACT
- PART 5.2 - RECEIVERS, AND OTHER CONTROLLERS, OF CORPORATIONS
- REGULATION 5.2.01 CONTROLLER'S NOTICE TO OWNER OR LESSOR OF PROPERTY - HOW GIVEN
- REGULATION 5.2.02 CERTIFIED COPIES OF REPORTS
- REGULATION 5.2.50 PRESCRIBED KINDS OF CONTRACTS, AGREEMENTS OR ARRANGEMENTS UNDER WHICH RIGHTS ARE NOT SUBJECT TO THE STAY IN SECTION 434J OF THE ACT
- PART 5.3A - ADMINISTRATION OF A COMPANY ' S AFFAIRS WITH A VIEW TO EXECUTING A DEED OF COMPANY ARRANGEMENT
- REGULATION 5.3A.01 ADMINISTRATOR'S NOTICE OF ENDING OF ADMINISTRATION
- REGULATION 5.3A.02 ADMINISTRATOR TO SPECIFY VOIDABLE TRANSACTIONS IN STATEMENT
- REGULATION 5.3A.03 ADMINISTRATOR TO LODGE NOTICE OF APPOINTMENT
- REGULATION 5.3A.03A NOTICE OF FIRST MEETING OF CREDITORS
- REGULATION 5.3A.03AB NOTICE OF MEETING TO DECIDE THE COMPANY ' S FUTURE
- REGULATION 5.3A.04 NOTICE OF CHANGE OF ADMINISTRATOR ' S ADDRESS
- REGULATION 5.3A.05 ADMINISTRATOR'S NOTICE TO OWNER OR LESSOR OF PROPERTY - HOW GIVEN
- REGULATION 5.3A.06 PROVISIONS INCLUDED IN DEED OF COMPANY ARRANGEMENT
- REGULATION 5.3A.06A NOTICE OF RESOLUTION TO WIND UP VOLUNTARILY
- REGULATION 5.3A.06AB NOTICE OF MEETING OF CREDITORS
- REGULATION 5.3A.07 ADMINISTRATOR BECOMES LIQUIDATOR - ADDITIONAL CASES
- REGULATION 5.3A.07A NOTICE OF APPOINTMENT OF ADMINISTRATOR
- REGULATION 5.3A.08 PUBLICATION OF NOTICE OF FAILURE TO EXECUTE INSTRUMENT OF TERMS OF DEED
- REGULATION 5.3A.09 PUBLICATION OF NOTICE OF TERMINATION OF DEED BY CREDITORS
- REGULATION 5.3A.50 PRESCRIBED KINDS OF CONTRACTS, AGREEMENTS OR ARRANGEMENTS UNDER WHICH RIGHTS ARE NOT SUBJECT TO THE STAY IN SECTION 451E OF THE ACT
- PART 5.3B - RESTRUCTURING OF A COMPANY
- Division 1 - Preliminary
- REGULATION 5.3B.01 DEFINITIONS
- Division 2 - Restructuring
- Subdivision A - Restructuring generally
- REGULATION 5.3B.02 WHEN RESTRUCTURING ENDS
- REGULATION 5.3B.03 ELIGIBILITY CRITERIA FOR RESTRUCTURING
- REGULATION 5.3B.04 TRANSACTIONS OR DEALINGS IN THE ORDINARY COURSE OF BUSINESS
- REGULATION 5.3B.05 CONSENT TO TRANSACTIONS OR DEALINGS OUTSIDE THE ORDINARY COURSE OF BUSINESS
- REGULATION 5.3B.06 TERMINATION OF RESTRUCTURING
- Subdivision B - Restructuring practitioner for company under restructuring
- REGULATION 5.3B.07 AUTHORITY
- REGULATION 5.3B.08 POWERS OF RESTRUCTURING PRACTITIONER FOR COMPANY UNDER RESTRUCTURING
- REGULATION 5.3B.09 REPLACEMENT RESTRUCTURING PRACTITIONER MUST FULFIL CERTAIN PAST REQUIREMENTS
- REGULATION 5.3B.10 RESTRUCTURING PRACTITIONER HAS QUALIFIED PRIVILEGE
- REGULATION 5.3B.11 PROTECTION FROM LIABILITY
- Subdivision C - Stay on enforcing rights merely because the company is under restructuring etc.
- REGULATION 5.3B.12 PRESCRIBED KINDS OF CONTRACTS, AGREEMENTS OR ARRANGEMENTS UNDER WHICH RIGHTS ARE NOT SUBJECT TO THE STAY IN SECTION 454N OF THE ACT
- Division 3 - Restructuring plan
- Subdivision A - Preliminary
- REGULATION 5.3B.13 AUTHORITY
- Subdivision B - Proposing a restructuring plan
- REGULATION 5.3B.14 HOW A RESTRUCTURING PLAN IS PROPOSED
- REGULATION 5.3B.15 CONTENTS OF RESTRUCTURING PLAN
- REGULATION 5.3B.16 RESTRUCTURING PROPOSAL STATEMENT
- REGULATION 5.3B.17 MEANING OF PROPOSAL PERIOD
- REGULATION 5.3B.18 RESTRUCTURING PRACTITIONER MUST MAKE DECLARATION IN RELATION TO RESTRUCTURING PLAN
- REGULATION 5.3B.19 RESTRUCTURING PRACTITIONER MUST NOTIFY COMPANY OF DEFECT IN RESTRUCTURING PLAN
- REGULATION 5.3B.20 PROPOSAL TO MAKE RESTRUCTURING PLAN LAPSES
- REGULATION 5.3B.21 PROPOSING A RESTRUCTURING PLAN TO CREDITORS
- REGULATION 5.3B.22 CREDITORS MAY DISPUTE SCHEDULE OF DEBTS AND CLAIMS BEFORE RESTRUCTURING PLAN IS MADE
- REGULATION 5.3B.23 CREDITORS MAY CHANGE VOTE
- REGULATION 5.3B.24 COMPANY UNDER RESTRUCTURING MUST DO CERTAIN THINGS
- Subdivision C - Accepting a proposal for a restructuring plan
- REGULATION 5.3B.25 ACCEPTANCE OF RESTRUCTURING PLAN
- REGULATION 5.3B.26 HOW A RESTRUCTURING PLAN IS MADE
- REGULATION 5.3B.27 STANDARD TERMS FOR RESTRUCTURING PLANS
- REGULATION 5.3B.28 PARTIES TO RESTRUCTURING PLAN
- REGULATION 5.3B.29 EFFECT OF RESTRUCTURING PLAN
- REGULATION 5.3B.30 PROTECTION OF COMPANY ' S PROPERTY FROM PERSONS BOUND BY RESTRUCTURING PLAN
- REGULATION 5.3B.31 WHEN RESTRUCTURING PLAN TERMINATES
- REGULATION 5.3B.32 EFFECT OF TERMINATION OR AVOIDANCE
- Subdivision D - Restructuring practitioner for a restructuring plan
- REGULATION 5.3B.33 APPOINTMENT OF RESTRUCTURING PRACTITIONER FOR RESTRUCTURING PLAN
- REGULATION 5.3B.34 VACANCY IN OFFICE OF RESTRUCTURING PRACTITIONER FOR RESTRUCTURING PLAN
- REGULATION 5.3B.35 DECLARATION BY NEW AND REPLACEMENT RESTRUCTURING PRACTITIONERS - RELEVANT RELATIONSHIPS
- REGULATION 5.3B.36 REPLACEMENT DECLARATIONS - RELEVANT RELATIONSHIPS
- REGULATION 5.3B.37 FUNCTIONS OF RESTRUCTURING PRACTITIONER FOR RESTRUCTURING PLAN
- REGULATION 5.3B.38 REPLACEMENT RESTRUCTURING PRACTITIONER MUST LODGE OUTSTANDING NOTICES ETC.
- REGULATION 5.3B.39 WHEN RESTRUCTURING PRACTITIONER MAY DISPOSE OF ENCUMBERED PROPERTY
- REGULATION 5.3B.40 RESTRUCTURING PRACTITIONER ACTS AS COMPANY ' S AGENT
- REGULATION 5.3B.41 RESTRUCTURING PRACTITIONER HAS QUALIFIED PRIVILEGE
- REGULATION 5.3B.42 PROTECTION FROM LIABILITY
- REGULATION 5.3B.43 RIGHT OF INDEMNITY
- REGULATION 5.3B.44 RIGHT OF INDEMNITY HAS PRIORITY OVER OTHER DEBTS
- REGULATION 5.3B.45 LIEN TO SECURE INDEMNITY
- Division 4 - The restructuring practitioner
- REGULATION 5.3B.46 AUTHORITY
- REGULATION 5.3B.47 COMPANY MUST NOTIFY RESTRUCTURING PRACTITIONER OF CERTAIN MATTERS
- Division 5 - Information, reports, documents etc.
- Subdivision A - Preliminary
- REGULATION 5.3B.48 AUTHORITY
- Subdivision B - Information, reports, documents etc. during restructuring
- REGULATION 5.3B.49 DECLARATION BY DIRECTORS - ELIGIBILITY TO BE UNDER RESTRUCTURING AND OTHER MATTERS
- REGULATION 5.3B.50 NOTICE OF APPOINTMENT OF RESTRUCTURING PRACTITIONER FOR COMPANY
- REGULATION 5.3B.51 NOTICE OF TERMINATION OF APPOINTMENT OF RESTRUCTURING PRACTITIONER FOR COMPANY
- REGULATION 5.3B.52 NOTICE OF RESTRUCTURING PLAN ETC. GIVEN TO AFFECTED CREDITORS
- REGULATION 5.3B.53 NOTICE OF END OF RESTRUCTURING
- Subdivision C - Information, reports, documents etc. once restructuring plan is made
- REGULATION 5.3B.54 NOTICE OF APPOINTMENT OF RESTRUCTURING PRACTITIONER FOR RESTRUCTURING PLAN
- REGULATION 5.3B.55 NOTICE OF MAKING OF RESTRUCTURING PLAN
- REGULATION 5.3B.56 NOTICE OF CONTRAVENTION OF RESTRUCTURING PLAN
- REGULATION 5.3B.57 NOTICE OF TERMINATION OF RESTRUCTURING PLAN
- REGULATION 5.3B.58 NOTICE OF TERMINATION OF APPOINTMENT OF RESTRUCTURING PRACTITIONER FOR RESTRUCTURING PLAN
- Division 6 - Powers of Court
- REGULATION 5.3B.59 AUTHORITY
- REGULATION 5.3B.60 COURT MAY MAKE ORDERS IN RELATION TO CREDITOR DISPUTES BEFORE RESTRUCTURING PLAN IS MADE
- REGULATION 5.3B.61 WHEN COURT MAY VARY RESTRUCTURING PLAN
- REGULATION 5.3B.62 WHEN COURT MAY VOID OR VALIDATE RESTRUCTURING PLAN
- REGULATION 5.3B.63 WHEN COURT MAY TERMINATE RESTRUCTURING PLAN
- REGULATION 5.3B.64 COURT MAY LIMIT RIGHTS OF SECURED CREDITOR OR OWNER OR LESSOR
- Division 7 - Other matters
- REGULATION 5.3B.65 APPROVED FORMS
- PART 5.4 - WINDING UP IN INSOLVENCY
- REGULATION 5.4.01AA TEMPORARY INCREASE TO THE STATUTORY MINIMUM AND STATUTORY PERIOD
- REGULATION 5.4.01AAA MEANING OF STATUTORY MINIMUM AND STATUTORY PERIOD - PRESCRIBED AMOUNTS
- REGULATION 5.4.01 APPLICATION TO COURT FOR WINDING UP - PRESCRIBED AGENCY
- REGULATION 5.4.01A NOTICE OF APPLICATION TO WIND UP A COMPANY
- REGULATION 5.4.01B NOTICE OF COURT-ORDERED WINDING UP
- REGULATION 5.4.02 COMPROMISE OF DEBT BY LIQUIDATOR - PRESCRIBED AMOUNT
- PART 5.4C - WINDING UP BY ASIC
- REGULATION 5.4C.01 NOTICE OF INTENTION TO ORDER WINDING UP OF A COMPANY
- PART 5.5 - VOLUNTARY WINDING UP
- Division 1 - Resolution for winding up
- REGULATION 5.5.01 NOTICE OF RESOLUTION TO WIND UP VOLUNTARILY
- Division 2 - Simplified liquidation process
- Subdivision A - Preliminary
- REGULATION 5.5.02 DECLARATION ABOUT ELIGIBILITY FOR SIMPLIFIED LIQUIDATION PROCESS AND OTHER MATTERS
- REGULATION 5.5.03 ELIGIBILITY CRITERIA FOR SIMPLIFIED LIQUIDATION PROCESS
- Subdivision B - Simplified liquidation process
- REGULATION 5.5.04 TRANSACTIONS THAT ARE NOT VOIDABLE
- REGULATION 5.5.05 REPORTS BY LIQUIDATOR
- REGULATION 5.5.06 NOTICE OF ADOPTION OF SIMPLIFIED LIQUIDATION PROCESS
- Subdivision C - Ceasing of simplified liquidation process
- REGULATION 5.5.07 LIQUIDATOR MUST CEASE TO FOLLOW THE SIMPLIFIED LIQUIDATION PROCESS
- REGULATION 5.5.08 TRANSITION FROM SIMPLIFIED LIQUIDATION PROCESS
- REGULATION 5.5.09 WORKING OUT WHETHER THE 25% IN VALUE OF CREDITORS TEST MET
- PART 5.6 - WINDING UP GENERALLY
- REGULATION 5.6.01 MATTERS FOR ENTRY IN LIQUIDATOR ' S OR PROVISIONAL LIQUIDATOR'S BOOKS
- REGULATION 5.6.02 INSPECTION OF BOOKS KEPT UNDER SECTION 531 OF THE ACT
- REGULATION 5.6.06 PAYMENT INTO LIQUIDATOR ' S GENERAL ACCOUNT
- REGULATION 5.6.07 DEPOSIT OF SECURITIES
- REGULATION 5.6.08 DELIVERY OF SECURITIES
- REGULATION 5.6.09 SPECIAL BANK ACCOUNT
- REGULATION 5.6.10 PAYMENTS OUT OF LIQUIDATOR ' S GENERAL ACCOUNT
- REGULATION 5.6.11 MEANING OF PROOF OF DEBT OR CLAIM
- REGULATION 5.6.11A ELECTRONIC METHODS OF GIVING OR SENDING CERTAIN NOTICES ETC
- REGULATION 5.6.12 NOTICE OF MEETING
- REGULATION 5.6.13 PROOF OF NOTICE
- REGULATION 5.6.13A IF TELEPHONE CONFERENCE FACILITIES ARE AVAILABLE
- REGULATION 5.6.13B PERSONS, OR THEIR PROXIES OR ATTORNEYS, PARTICIPATING BY TELEPHONE
- REGULATION 5.6.14 TIME AND PLACE OF MEETING
- REGULATION 5.6.14A ADVERTISEMENT OF A MEETING
- REGULATION 5.6.14B MEETINGS NOT CONVENED IN ACCORDANCE WITH REGULATIONS
- REGULATION 5.6.15 COSTS OF CONVENING MEETINGS OF CREDITORS ETC
- REGULATION 5.6.16 QUORUM
- REGULATION 5.6.17 CHAIRPERSON
- REGULATION 5.6.18 ADJOURNMENT OF MEETING
- REGULATION 5.6.19 VOTING ON RESOLUTIONS
- REGULATION 5.6.20 TAKING A POLL
- REGULATION 5.6.21 CARRYING OF RESOLUTIONS AFTER A POLL HAS BEEN DEMANDED AT A MEETING OF CREDITORS
- REGULATION 5.6.22 CARRYING OF RESOLUTION AFTER A POLL HAS BEEN DEMANDED AT A MEETING OF CONTRIBUTORIES OR MEMBERS
- REGULATION 5.6.23 CREDITORS WHO MAY VOTE
- REGULATION 5.6.23A VOTING STATUS OF PERSONS BY WHOM MONEY IS ADVANCED TO A COMPANY
- REGULATION 5.6.24 VOTES OF SECURED CREDITORS
- REGULATION 5.6.26 ADMISSION AND REJECTION OF PROOFS FOR PURPOSES OF VOTING
- REGULATION 5.6.27 MINUTES OF MEETING
- REGULATION 5.6.28 APPOINTMENT OF PROXIES
- REGULATION 5.6.29 FORM OF PROXIES
- REGULATION 5.6.30 INSTRUMENTS OF PROXY
- REGULATION 5.6.31 PROXY FORMS TO ACCOMPANY NOTICE OF MEETINGS
- REGULATION 5.6.31A PERSON MAY ATTEND AND VOTE BY ATTORNEY
- REGULATION 5.6.32 LIQUIDATOR ETC MAY ACT AS PROXY
- REGULATION 5.6.33 VOTING BY PROXY IF FINANCIALLY INTERESTED
- REGULATION 5.6.34 LIQUIDATOR ETC MAY APPOINT DEPUTY
- REGULATION 5.6.36 TIME FOR LODGING PROXIES
- REGULATION 5.6.36A FACSIMILE COPIES OF PROXIES
- REGULATION 5.6.37 ESTABLISHING TITLE TO PRIORITY
- REGULATION 5.6.39 NOTICE TO SUBMIT PARTICULARS OF DEBT OR CLAIM
- REGULATION 5.6.40 PREPARATION OF A PROOF OF DEBT OR CLAIM
- REGULATION 5.6.41 DISCLOSURE OF SECURITY
- REGULATION 5.6.42 DISCOUNTS
- REGULATION 5.6.43 PERIODICAL PAYMENTS
- REGULATION 5.6.43A DEBT OR CLAIM OF UNCERTAIN VALUE - APPEAL TO COURT
- REGULATION 5.6.44 DEBT DISCOUNT RATE (ACT s 554B)
- REGULATION 5.6.45 EMPLOYEES' WAGES
- REGULATION 5.6.46 PRODUCTION OF BILL OF EXCHANGE AND PROMISSORY NOTE
- REGULATION 5.6.47 ADMISSION OF DEBT OR CLAIM WITHOUT FORMAL PROOF
- REGULATION 5.6.48 NOTICE TO CREDITORS TO SUBMIT FORMAL PROOF
- REGULATION 5.6.49 FORMAL PROOF OF DEBT OR CLAIM
- REGULATION 5.6.50 CONTENTS OF FORMAL PROOF OF DEBT OR CLAIM
- REGULATION 5.6.51 COSTS OF PROOF
- REGULATION 5.6.52 LIQUIDATOR TO NOTIFY RECEIPT OF PROOF OF DEBT OR CLAIM
- REGULATION 5.6.53 TIME FOR LIQUIDATOR TO DEAL WITH PROOFS
- REGULATION 5.6.54 GROUNDS OF REJECTION AND NOTICE TO CREDITOR
- REGULATION 5.6.55 REVOCATION OR AMENDMENT OF DECISION OF LIQUIDATOR
- REGULATION 5.6.56 WITHDRAWAL OR VARIATION OF PROOF OF DEBT OR CLAIM
- REGULATION 5.6.57 OATHS
- REGULATION 5.6.58 LIQUIDATOR TO MAKE OUT PROVISIONAL LIST OF CONTRIBUTORIES
- REGULATION 5.6.59 TIME AND PLACE FOR SETTLEMENT OF LIST
- REGULATION 5.6.60 SETTLEMENT OF LIST OF CONTRIBUTORIES
- REGULATION 5.6.61 SUPPLEMENTARY LIST
- REGULATION 5.6.62 NOTICE TO CONTRIBUTORIES
- REGULATION 5.6.63 DIVIDEND PAYABLE ONLY ON ADMISSION OF A DEBT OR CLAIM
- REGULATION 5.6.64 APPLICATION OF REGULATIONS 5.6.37 TO 5.6.57
- REGULATION 5.6.65 LIQUIDATOR TO GIVE NOTICE OF INTENTION TO DECLARE A DIVIDEND
- REGULATION 5.6.66 TIME ALLOWED FOR DEALING WITH FORMAL PROOF OF DEBT OR CLAIM
- REGULATION 5.6.67 DECLARATION AND DISTRIBUTION OF DIVIDEND
- REGULATION 5.6.67A SINGLE DECLARATION AND DISTRIBUTION OF DIVIDEND FOR COMPANIES IN SIMPLIFIED LIQUIDATION
- REGULATION 5.6.68 RIGHTS OF CREDITOR WHO HAS NOT PROVED DEBT BEFORE DECLARATION OF DIVIDEND
- REGULATION 5.6.69 POSTPONEMENT OF DECLARATION
- REGULATION 5.6.70 PAYMENT OF DIVIDEND TO A PERSON NAMED
- REGULATION 5.6.70A PRESCRIBED RATE OF INTEREST ON DEBTS AND CLAIMS FROM RELEVANT DATE TO DATE OF PAYMENT
- REGULATION 5.6.70B NOTICE OF DISCLAIMER
- REGULATION 5.6.71 DISTRIBUTION OF SURPLUS IN A WINDING UP BY THE COURT
- REGULATION 5.6.72 DISTRIBUTION OF SURPLUS AS DIRECTED
- REGULATION 5.6.73 ELIGIBLE UNSECURED CREDITOR
- REGULATION 5.6.74 EXTERNAL ADMINISTRATION MATTERS - PRESCRIBED COUNTRIES
- REGULATION 5.6.75 PUBLICATION IN THE PRESCRIBED MANNER
- PART 5.7B - RECOVERING PROPERTY OR COMPENSATION FOR THE BENEFIT OF CREDITORS OF INSOLVENT COMPANY
- REGULATION 5.7B.01 EXTENSION OF TEMPORARY RELIEF FOR INSOLVENT TRADING SAFE HARBOUR
- CHAPTER 5B - BODIES CORPORATE REGISTERED AS COMPANIES, AND REGISTRABLE BODIES
- PART 5B.2 - REGISTRABLE BODIES
- REGULATION 5B.2.01 CERTIFIED COPIES OF CERTIFICATES OF INCORPORATION ETC
- REGULATION 5B.2.02 MANNER OF CERTIFYING CONSTITUENT DOCUMENTS
- REGULATION 5B.2.03 MANNER OF SENDING LETTERS (ACT ss 601CC(2) AND 601CL(3))
- REGULATION 5B.2.04 MANNER OF SENDING NOTICES (ACT ss 601CC(3) AND 601CL(4))
- REGULATION 5B.2.05 PRESCRIBED COUNTRIES (ACT s 601CDA(a))
- REGULATION 5B.2.06 NOTICES (ACT s 601CV(1))
- PART 5B.3 - NAMES OF REGISTRABLE AUSTRALIAN BODIES AND FOREIGN COMPANIES
- REGULATION 5B.3.01 AVAILABILITY OF NAMES (ACT s 601DC)
- REGULATION 5B.3.02 CONSENTS REQUIRED FOR USE OF CERTAIN LETTERS, WORDS AND EXPRESSIONS
- REGULATION 5B.3.03 EXEMPTIONS FROM REQUIREMENT TO SET OUT ARBN ETC ON CERTAIN DOCUMENTS (ACT s 601DG)
- REGULATION 5B.3.04 NOTICES (ACT s 601DH(1))
- CHAPTER 5C - MANAGED INVESTMENT SCHEMES
- PART 5C.1 - REGISTRATION OF MANAGED INVESTMENT SCHEMES
- REGULATION 5C.1.01 APPLYING FOR REGISTRATION
- REGULATION 5C.1.02 CHANGE OF NAME OF REGISTERED SCHEMES
- REGULATION 5C.1.03 MODIFICATION (ACT s 601QB)
- PART 5C.2 - THE RESPONSIBLE ENTITY
- REGULATION 5C.2.01 DUTY OF RESPONSIBLE ENTITIES' AGENTS - SURVEILLANCE CHECKS
- REGULATION 5C.2.02 APPOINTMENT OF TEMPORARY RESPONSIBLE ENTITIES
- REGULATION 5C.2.03 FORM OF NOTICES (ACT ss 601FL(2) AND 601FM(2))
- REGULATION 5C.2.04 NOTICE OF APPOINTMENT OF TEMPORARY RESPONSIBLE ENTITIES
- REGULATION 5C.2.05 FORM OF NOTICES (ACT s 601FP(3))
- PART 5C.4 - THE COMPLIANCE PLAN
- REGULATION 5C.4.01 AGENTS' AUTHORITIES TO BE LODGED
- REGULATION 5C.4.02 AGENTS TO ASSIST AUDITORS OF COMPLIANCE PLANS
- PART 5C.5 - THE COMPLIANCE COMMITTEE
- REGULATION 5C.5.01 RESPONSIBLE ENTITIES ETC TO ASSIST COMPLIANCE COMMITTEES
- PART 5C.9 - WINDING UP
- REGULATION 5C.9.01 NOTICE OF COMMENCEMENT OF WINDING UP
- PART 5C.11 - EXEMPTIONS AND MODIFICATIONS
- Division 1 - Exemptions
- REGULATION 5C.11.01 CERTAIN SCHEMES NOT MANAGED INVESTMENT SCHEMES
- Division 2 - Modifications
- REGULATION 5C.11.02 MODIFICATIONS
- REGULATION 5C.11.03 REGISTER OF MEMBERS OF REGISTERED SCHEMES (ACT s 169(1))
- REGULATION 5C.11.03A HOW TO WORK OUT THE VALUE OF AN INTEREST
- REGULATION 5C.11.04 NAMES OF REGISTERED SCHEMES (ACT s 601EB(1))
- REGULATION 5C.11.05A SCHEMES NOT REQUIRED TO BE REGISTERED (ACT s 601ED)
- REGULATION 5C.11.06 LIABILITY OF RESPONSIBLE ENTITIES (ACT s 601FB(4))
- CHAPTER 5D - LICENSED TRUSTEE COMPANIES
- PART 5D.1 - PRELIMINARY
- REGULATION 5D.1.01 PRESCRIBED REQUIREMENTS FOR PUBLICATION
- REGULATION 5D.1.01A MEANING OF TRUSTEE COMPANY
- REGULATION 5D.1.02 MEANING OF TRADITIONAL TRUSTEE COMPANY SERVICES AND ESTATE MANAGEMENT FUNCTIONS
- REGULATION 5D.1.03 MEANING OF MORTGAGE-BACKED SECURITY
- REGULATION 5D.1.04 INTERACTION BETWEEN TRUSTEE COMPANY PROVISIONS AND STATE AND TERRITORY LAWS
- PART 5D.2 - POWERS ETC OF LICENSED TRUSTEE COMPANIES
- Division 2.1 - Annual Information Returns
- REGULATION 5D.2.01 OBLIGATION ON LICENSED TRUSTEE COMPANY TO PROVIDE AN ANNUAL INFORMATION RETURN IF REQUESTED
- REGULATION 5D.2.02 INFORMATION TO BE INCLUDED IN ANNUAL INFORMATION RETURN
- Division 2.2 - Common funds
- REGULATION 5D.2.03 COMMON FUNDS
- REGULATION 5D.2.04 ESTABLISHMENT OF COMMON FUNDS
- REGULATION 5D.2.05 DECIDING DETAILS ABOUT COMMON FUNDS
- REGULATION 5D.2.06 OPERATION OF COMMON FUNDS
- REGULATION 5D.2.07 REGISTER OF INVESTMENTS
- REGULATION 5D.2.08 FINANCIAL REPORTS
- REGULATION 5D.2.09 ARM ' S LENGTH TRANSACTIONS
- PART 5D.3 - REGULATION OF FEES CHARGED BY LICENSED TRUSTEE COMPANIES
- REGULATION 5D.3.01 MODIFICATION OF SECTION 601TAB OF THE ACT: DISCLOSURE TO CLIENTS OF CHANGED FEES
- PART 5D.4 - OBLIGATIONS OF RECEIVING COMPANY AFTER TRANSFER
- REGULATION 5D.4.01 PRESERVING RIGHTS UNDER DISPUTE RESOLUTION SYSTEMS AND ARRANGEMENTS FOR COMPENSATION
- PART 5D.5 - ASIC-APPROVED TRANSFERS OF ESTATE ASSETS AND LIABILITIES
- REGULATION 5D.5.01 NOTICE OF CERTIFICATE
- CHAPTER 6 - TAKEOVERS
- PART 6.2 - EXCEPTIONS TO THE PROHIBITION
- REGULATION 6.2.01A PRESCRIBED REQUIREMENTS
- REGULATION 6.2.01 PRESCRIBED CIRCUMSTANCES (ACT s 611)
- REGULATION 6.2.02 OTHER PRESCRIBED CIRCUMSTANCES (ACT s 611)
- PART 6.5 - THE TAKEOVER PROCEDURE Pt 6.5 repealed by FRLI No F2022L01627, Sc
- PART 6.6 - VARIATION OF OFFERS
- REGULATION 6.6.01 RIGHT TO WITHDRAW ACCEPTANCE
- PART 6.8 - ACCEPTANCES
- REGULATION 6.8.01 ACCEPTANCE OF OFFERS MADE UNDER OFF-MARKET BID
- REGULATION 6.8.02 ACCEPTANCES BY TRANSFEREES AND NOMINEES OF OFFERS MADE UNDER OFF-MARKET BID
- PART 6.10 - REVIEW AND INTERVENTION
- REGULATION 6.10.01 APPLICATION FOR REVIEW OF TAKEOVERS PANEL DECISION
- CHAPTER 6A - COMPULSORY ACQUISITIONS AND BUY-OUTS
- PART 6A.1 - COMPULSORY ACQUISITIONS AND BUY-OUTS AFTER TAKEOVER BID
- REGULATION 6A.1.01 TERMS ON WHICH SECURITIES TO BE ACQUIRED
- CHAPTER 6CA - CONTINUOUS DISCLOSURE
- REGULATION 6CA.1.01 CONTINUOUS DISCLOSURE: OTHER DISCLOSING ENTITIES
- CHAPTER 6D - FUNDRAISING
- PART 6D.2 - DISCLOSURE TO INVESTORS ABOUT SECURITIES
- REGULATION 6D.2.01 EXEMPTION - MEMBER SHARES
- REGULATION 6D.2.02 EXEMPTION - FOREIGN COMPANIES
- REGULATION 6D.2.03 SOPHISTICATED INVESTORS
- REGULATION 6D.2.04 SIMPLE CORPORATE BONDS - BASE PROSPECTUS
- REGULATION 6D.2.05 SIMPLE CORPORATE BONDS - OFFER-SPECIFIC PROSPECTUS
- REGULATION 6D.2.06 SIMPLE CORPORATE BONDS - KEY FINANCIAL RATIOS RELEVANT TO ISSUING BODY
- PART 6D.3A - CROWD-SOURCED FUNDING
- REGULATION 6D.3A.01 OFFERS THAT ARE ELIGIBLE TO BE MADE UNDER PART 6D.3A OF THE ACT
- REGULATION 6D.3A.02 CONTENTS OF CSF OFFER DOCUMENT - GENERAL
- REGULATION 6D.3A.03 CONTENTS OF CSF OFFER DOCUMENT - SECTION 1: RISK WARNINGS
- REGULATION 6D.3A.04 CONTENTS OF CSF OFFER DOCUMENT - SECTION 2: INFORMATION ABOUT THE OFFERING COMPANY
- REGULATION 6D.3A.05 CONTENTS OF CSF OFFER DOCUMENT - SECTION 3: INFORMATION ABOUT THE OFFER
- REGULATION 6D.3A.06 CONTENTS OF CSF OFFER DOCUMENT - SECTION 4: INFORMATION ABOUT INVESTOR RIGHTS
- REGULATION 6D.3A.07 OBLIGATION OF CSF INTERMEDIARY RELATING TO THEIR PLATFORMS - APPLICANT RISK ACKNOWLEDGEMENT
- REGULATION 6D.3A.08 GATEKEEPER OBLIGATION OF CSF INTERMEDIARY - CHECKS
- REGULATION 6D.3A.09 GATEKEEPER OBLIGATION OF CSF INTERMEDIARY - REASONABLE STANDARD OF CHECKS
- REGULATION 6D.3A.10 OBLIGATION OF CSF INTERMEDIARY RELATING TO THEIR PLATFORMS - GENERAL CSF RISK WARNING
- PART 6D.5 - FUNDRAISING - MISCELLANEOUS
- REGULATION 6D.5.01 WARRANTS THAT ARE SECURITIES
- REGULATION 6D.5.02 MODIFICATION OF PARAGRAPH 708(8)(c) OF THE ACT: RENEWAL PERIOD FOR ACCOUNTANTS ' CERTIFICATES
- REGULATION 6D.5.03 MODIFICATION OF SECTION 738X OF THE ACT: REQUIREMENT TO NOTIFY RIGHT TO WITHDRAW APPLICATION ONLY APPLIES IF DEFECT IS MATERIALLY ADVERSE
- CHAPTER 7 - FINANCIAL SERVICES AND MARKETS
- PART 7.1 - PRELIMINARY
- Division 1 - General
- REGULATION 7.1.01 PRESCRIBED FINANCIAL MARKET OPERATORS
- REGULATION 7.1.02 PARTICIPANT
- REGULATION 7.1.03 MEANING OF PRESCRIBED CS FACILITY
- REGULATION 7.1.03A MEANING OF BASIC DEPOSIT PRODUCT - ADDITIONAL CONDITIONS
- REGULATION 7.1.03B SELF MANAGED SUPERANNUATION FUNDS
- REGULATION 7.1.04 DERIVATIVES
- REGULATION 7.1.04A MEANING OF KIND OF FINANCIAL PRODUCTS (SECTION 1012IA OF THE ACT)
- REGULATION 7.1.04B MEANING OF CLASS OF FINANCIAL PRODUCTS (MANAGED INVESTMENT SCHEMES)
- REGULATION 7.1.04C MEANING OF CLASS OF FINANCIAL PRODUCTS (SUPERANNUATION PRODUCTS)
- REGULATION 7.1.04CAA MEANING OF CLAIMANT INTERMEDIARY - PERSONS EXCLUDED FROM BEING CLAIMANT INTERMEDIARIES
- REGULATION 7.1.04CA KINDS OF FINANCIAL PRODUCTS
- REGULATION 7.1.04CB WHEN PROVIDING CERTAIN CLAIMS HANDING AND SETTLING SERVICES IS NOT THE PRIMARY PART OF A BUSINESS
- REGULATION 7.1.04D MEANING OF ISSUER FOR CERTAIN DERIVATIVES
- REGULATION 7.1.04E ISSUE OF A NEW INTEREST IN A SUPERANNUATION FUND
- REGULATION 7.1.04F MEANING OF CLASS OF FINANCIAL SERVICES (SUBSECTIONS 917A(3), 917C(2) AND 917C(3) OF THE ACT)
- REGULATION 7.1.04G MEANING OF ISSUER FOR A FOREIGN EXCHANGE CONTRACT
- REGULATION 7.1.04N SPECIFIC THINGS THAT ARE FINANCIAL PRODUCTS - LITIGATION FUNDING SCHEMES AND ARRANGEMENTS
- REGULATION 7.1.05 SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS: SUPERANNUATION INTERESTS
- REGULATION 7.1.06 SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS: CREDIT FACILITY
- REGULATION 7.1.06A ARRANGEMENTS FOR CERTAIN FINANCIAL PRODUCTS THAT ARE NOT CREDIT FACILITIES
- REGULATION 7.1.06B SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS: SUPERANNUATION INTERESTS
- REGULATION 7.1.07 SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS: SURETY BONDS
- REGULATION 7.1.07A SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS: RENTAL AGREEMENTS
- REGULATION 7.1.07B SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS: BANK DRAFTS
- REGULATION 7.1.07C SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS: INSURANCE UNDER AN OVERSEAS STUDENT HEALTH INSURANCE CONTRACT
- REGULATION 7.1.07D SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS: FUNERAL EXPENSES POLICY
- REGULATION 7.1.07E SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS: RIGHTS OF THE HOLDER OF A DEBENTURE
- REGULATION 7.1.07F SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS: MONEY ORDERS
- REGULATION 7.1.07G SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS: ELECTRONIC FUNDS TRANSFERS
- REGULATION 7.1.07H SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS: ACT INSURANCE
- REGULATION 7.1.07I SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS - AUSTRALIAN CARBON CREDIT UNITS AND ELIGIBLE INTERNATIONAL EMISSIONS UNITS
- REGULATION 7.1.07J SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS - CARBON ABATEMENT
- REGULATION 7.1.08AA MEANING OF FINANCIAL PRODUCT ADVICE - ADVICE THAT IS NOT REGARDED AS A NECESSARY PART OF PROVIDING CLAIMS HANDLING AND SETTLING SERVICES
- REGULATION 7.1.08 MEANING OF FINANCIAL PRODUCT ADVICE : EXEMPT DOCUMENT OR STATEMENT
- REGULATION 7.1.08A MODIFICATION OF SECTION 766D OF THE ACT - FREE CARBON UNITS
- REGULATION 7.1.09 OBLIGATIONS RELATED TO CLEARING AND SETTLEMENT FACILITY
- REGULATION 7.1.10 CONDUCT THAT DOES NOT CONSTITUTE OPERATING A CLEARING AND SETTLEMENT FACILITY
- Division 2 - Retail clients and wholesale clients
- REGULATION 7.1.11 MEANING OF RETAIL CLIENT AND WHOLESALE CLIENT : MOTOR VEHICLE INSURANCE PRODUCT
- REGULATION 7.1.12 MEANING OF RETAIL CLIENT AND WHOLESALE CLIENT : HOME BUILDING INSURANCE PRODUCT
- REGULATION 7.1.13 MEANING OF RETAIL CLIENT AND WHOLESALE CLIENT : HOME CONTENTS INSURANCE PRODUCT
- REGULATION 7.1.14 MEANING OF RETAIL CLIENT AND WHOLESALE CLIENT : SICKNESS AND ACCIDENT INSURANCE PRODUCT
- REGULATION 7.1.15 MEANING OF RETAIL CLIENT AND WHOLESALE CLIENT : CONSUMER CREDIT INSURANCE PRODUCT
- REGULATION 7.1.16 MEANING OF RETAIL CLIENT AND WHOLESALE CLIENT : TRAVEL INSURANCE PRODUCT
- REGULATION 7.1.17 MEANING OF RETAIL CLIENT AND WHOLESALE CLIENT : PERSONAL AND DOMESTIC PROPERTY INSURANCE PRODUCT
- REGULATION 7.1.17A GENERAL INSURANCE PRODUCTS: MEDICAL INDEMNITY INSURANCE PRODUCTS
- REGULATION 7.1.17B RETAIL CLIENTS AND WHOLESALE CLIENTS: AGGREGATION OF AMOUNTS FOR PRICE OR VALUE OF FINANCIAL PRODUCT
- REGULATION 7.1.17C RETAIL CLIENTS: TRADITIONAL TRUSTEE COMPANY SERVICES
- REGULATION 7.1.18 RETAIL CLIENTS AND WHOLESALE CLIENTS: PRICE OF INVESTMENT-BASED FINANCIAL PRODUCTS
- REGULATION 7.1.19 RETAIL CLIENTS AND WHOLESALE CLIENTS: VALUE OF INVESTMENT-BASED FINANCIAL PRODUCTS
- REGULATION 7.1.19A RETAIL CLIENTS AND WHOLESALE CLIENTS: PRICE OF MARGIN LENDING FACILITIES
- REGULATION 7.1.20 RETAIL CLIENTS AND WHOLESALE CLIENTS: PRICE OF INCOME STREAM FINANCIAL PRODUCTS
- REGULATION 7.1.21 RETAIL CLIENTS AND WHOLESALE CLIENTS: VALUE OF INCOME STREAM FINANCIAL PRODUCTS
- REGULATION 7.1.22 RETAIL CLIENTS AND WHOLESALE CLIENTS: VALUE OF DERIVATIVES
- REGULATION 7.1.22AA RETAIL CLIENTS AND WHOLESALE CLIENTS: CONTRACT FOR DIFFERENCE
- REGULATION 7.1.22A RETAIL CLIENTS AND WHOLESALE CLIENTS: VALUE OF FOREIGN EXCHANGE CONTRACTS
- REGULATION 7.1.23 RETAIL CLIENTS AND WHOLESALE CLIENTS: PRICE OF NON-CASH PAYMENT FINANCIAL PRODUCTS
- REGULATION 7.1.24 RETAIL CLIENTS AND WHOLESALE CLIENTS: VALUE OF NON-CASH PAYMENT PRODUCTS
- REGULATION 7.1.25 RETAIL CLIENTS AND WHOLESALE CLIENTS: LIFE RISK INSURANCE AND OTHER RISK-BASED FINANCIAL PRODUCTS
- REGULATION 7.1.26 SUPERANNUATION-SOURCED MONEY
- REGULATION 7.1.27 RETAIL CLIENTS AND WHOLESALE CLIENTS: EFFECT OF WHOLESALE STATUS
- REGULATION 7.1.28 RETAIL CLIENTS AND WHOLESALE CLIENTS: ASSETS AND INCOME
- Division 3 - When does a person provide a financial service?
- REGULATION 7.1.28AA PROVISION OF FINANCIAL PRODUCT ADVICE ABOUT DEFAULT FUNDS
- REGULATION 7.1.28A CIRCUMSTANCES IN WHICH A PERSON IS TAKEN TO BE PROVIDED A TRADITIONAL TRUSTEE COMPANY SERVICE
- REGULATION 7.1.29 CIRCUMSTANCES IN WHICH A PERSON IS TAKEN NOT TO PROVIDE A FINANCIAL SERVICE
- REGULATION 7.1.29A SELF-MANAGED SUPERANNUATION FUNDS
- REGULATION 7.1.30 INFORMATION AND ADVICE ABOUT VOTING
- REGULATION 7.1.31 PASSING ON PREPARED DOCUMENTS
- REGULATION 7.1.32 REMUNERATION PACKAGES
- REGULATION 7.1.33 HANDLING INSURANCE CLAIMS
- REGULATION 7.1.33A ALLOCATION OF FUNDS AVAILABLE FOR INVESTMENT
- REGULATION 7.1.33B GENERAL ADVICE
- REGULATION 7.1.33C OFF-MARKET OFFERS FOR FINANCIAL PRODUCTS
- REGULATION 7.1.33D INVESTMENT-LINKED LIFE INSURANCE PRODUCTS
- REGULATION 7.1.33E ADVICE ABOUT THE EXISTENCE OF A CUSTODIAL OR DEPOSITORY SERVICE
- REGULATION 7.1.33F SCHOOL BANKING
- REGULATION 7.1.33G CERTAIN GENERAL ADVICE THAT DOES NOT ATTRACT REMUNERATION ETC.
- REGULATION 7.1.33H CERTAIN GENERAL ADVICE GIVEN BY A FINANCIAL PRODUCT ISSUER
- Division 4 - Dealings in financial products
- REGULATION 7.1.34 CONDUCT THAT DOES NOT CONSTITUTE DEALING IN A FINANCIAL PRODUCT
- REGULATION 7.1.35 CONDUCT THAT DOES NOT CONSTITUTE DEALING IN A FINANCIAL PRODUCT
- REGULATION 7.1.35A CONDUCT THAT DOES NOT CONSTITUTE DEALING IN A FINANCIAL PRODUCT - LAWYERS ACTING ON INSTRUCTIONS
- REGULATION 7.1.35B CONDUCT THAT DOES NOT CONSTITUTE DEALING IN A FINANCIAL PRODUCT - ISSUING CARBON UNITS, AUSTRALIAN CARBON CREDIT UNITS OR ELIGIBLE INTERNATIONAL EMISSIONS UNITS
- REGULATION 7.1.35C CONDUCT THAT DOES NOT CONSTITUTE DEALING IN A FINANCIAL PRODUCT - CARBON UNITS, AUSTRALIAN CARBON CREDIT UNITS OR ELIGIBLE INTERNATIONAL EMISSIONS UNITS
- Division 5 - Custodial or depository services
- REGULATION 7.1.40 CONDUCT THAT DOES NOT CONSTITUTE THE PROVISION OF A CUSTODIAL OR DEPOSITORY SERVICE
- Division 6 - Operating a financial market
- REGULATION 7.1.50 OPERATING A FINANCIAL MARKET
- PART 7.2 - LICENSING OF FINANCIAL MARKETS
- Division 1 - Market licensees' obligations
- REGULATION 7.2.01 OBLIGATION TO INFORM ASIC OF CERTAIN MATTERS: CONTRAVENTIONS OF LICENCE OR ACT
- REGULATION 7.2.02 OBLIGATION TO INFORM ASIC OF CERTAIN MATTERS: BECOMING DIRECTOR, SECRETARY OR EXECUTIVE OFFICER OF MARKET LICENSEE
- REGULATION 7.2.03 OBLIGATION TO INFORM ASIC OF CERTAIN MATTERS: CEASING TO BE DIRECTOR, SECRETARY OR EXECUTIVE OFFICER OF MARKET LICENSEE
- REGULATION 7.2.04 OBLIGATION TO INFORM ASIC OF CERTAIN MATTERS: VOTING POWER IN MARKET LICENSEE
- REGULATION 7.2.05 GIVING ASIC INFORMATION ABOUT A LISTED DISCLOSING ENTITY
- REGULATION 7.2.06 ANNUAL REPORT OF MARKET LICENSEE
- Division 2 - The market's operating rules and procedures
- REGULATION 7.2.07 CONTENT OF LICENSED MARKET'S OPERATING RULES
- REGULATION 7.2.08 CONTENT OF LICENSED MARKET'S WRITTEN PROCEDURES
- Division 3 - Powers of the Minister and ASIC
- REGULATION 7.2.09 AGENCIES FOR COMPLIANCE ASSESSMENT
- Division 4 - The Australian market licence: applications (general)
- REGULATION 7.2.10 APPLICATION OF DIVISION 4
- REGULATION 7.2.11 INFORMATION
- REGULATION 7.2.12 DOCUMENTS
- Division 5 - The Australian market licence: applications (financial market in foreign country)
- REGULATION 7.2.13 APPLICATION OF DIVISION 5
- REGULATION 7.2.14 INFORMATION
- REGULATION 7.2.15 DOCUMENTS
- Division 6 - The Australian market licence: other matters
- REGULATION 7.2.16 POTENTIAL CONFLICT SITUATIONS
- PART 7.2A - SUPERVISION OF FINANCIAL MARKETS
- Division 7.2A.1 - Enforceable undertakings
- REGULATION 7.2A.01 ENFORCEABLE UNDERTAKINGS
- Division 7.2A.2 - Infringement notices
- REGULATION 7.2A.02 PURPOSE OF DIVISION
- REGULATION 7.2A.03 DEFINITIONS FOR DIVISION 7.2A.2
- REGULATION 7.2A.04 WHEN INFRINGEMENT NOTICE CAN BE GIVEN
- REGULATION 7.2A.05 STATEMENT OF REASONS MUST BE GIVEN
- REGULATION 7.2A.06 CONTENTS OF INFRINGEMENT NOTICE
- REGULATION 7.2A.07 AMOUNT OF PENALTY PAYABLE TO THE COMMONWEALTH
- REGULATION 7.2A.08 COMPLIANCE WITH INFRINGEMENT NOTICE
- REGULATION 7.2A.09 EXTENSION OF COMPLIANCE PERIOD
- REGULATION 7.2A.10 EFFECT OF COMPLIANCE WITH INFRINGEMENT NOTICE
- REGULATION 7.2A.11 APPLICATION TO WITHDRAW INFRINGEMENT NOTICE
- REGULATION 7.2A.12 WITHDRAWAL OF INFRINGEMENT NOTICE BY ASIC
- REGULATION 7.2A.13 NOTICE OF WITHDRAWAL OF INFRINGEMENT NOTICE
- REGULATION 7.2A.14 WITHDRAWAL OF NOTICE AFTER COMPLIANCE
- REGULATION 7.2A.15 PUBLICATION OF DETAILS OF INFRINGEMENT NOTICE
- PART 7.3 - LICENSING OF CLEARING AND SETTLEMENT FACILITIES
- Division 1 - Regulation of CS facility licensees: licensees' obligations
- REGULATION 7.3.01 OBLIGATION TO INFORM ASIC OF CERTAIN MATTERS: BECOMING DIRECTOR, SECRETARY OR EXECUTIVE OFFICER OF CS FACILITY LICENSEE
- REGULATION 7.3.02 OBLIGATION TO INFORM ASIC OF CERTAIN MATTERS: CEASING TO BE DIRECTOR, SECRETARY OR EXECUTIVE OFFICER OF CS FACILITY LICENSEE
- REGULATION 7.3.03 OBLIGATION TO INFORM ASIC OF CERTAIN MATTERS: VOTING POWER IN CS FACILITY LICENSEE
- REGULATION 7.3.04 ANNUAL REPORT OF CS FACILITY LICENSEE
- Division 2 - Regulation of CS facility licensees: the facility's operating rules and procedures
- REGULATION 7.3.05 CONTENT OF LICENSED CS FACILITY'S OPERATING RULES
- REGULATION 7.3.06 CONTENT OF LICENSED CS FACILITY'S WRITTEN PROCEDURES
- Division 3 - Regulation of CS facility licensees: powers of the Minister and ASIC
- REGULATION 7.3.07 AGENCIES FOR COMPLIANCE ASSESSMENT
- REGULATION 7.3.08 AGENCIES FOR COMPLIANCE ASSESSMENT
- Division 4 - The Australian CS facility licence: applications (general)
- REGULATION 7.3.09 APPLICATION OF DIVISION 4
- REGULATION 7.3.10 INFORMATION
- REGULATION 7.3.11 DOCUMENTS
- Division 5 - The Australian CS facility licence: applications (overseas clearing and settlement facility)
- REGULATION 7.3.12 APPLICATION OF DIVISION 5
- REGULATION 7.3.13 INFORMATION
- REGULATION 7.3.14 DOCUMENTS
- PART 7.4 - LIMITS ON INVOLVEMENT WITH LICENSEES
- REGULATION 7.4.01 MEANING OF WIDELY HELD MARKET BODY - PRESCRIBED BODIES CORPORATE
- REGULATION 7.4.02 RECORD-KEEPING: MARKET LICENSEE
- REGULATION 7.4.03 RECORD-KEEPING: CS FACILITY LICENSEE
- REGULATION 7.4.04 INFORMATION FOR WIDELY HELD MARKET BODY
- PART 7.5 - COMPENSATION REGIMES FOR FINANCIAL MARKETS
- Division 1 - Preliminary
- REGULATION 7.5.01 DEFINITIONS FOR PART 7.5
- REGULATION 7.5.01A MODIFICATION OF ACT: COMPENSATION REGIMES
- REGULATION 7.5.02 MEANING OF BECOMING INSOLVENT
- REGULATION 7.5.03 MEANING OF DEALER
- REGULATION 7.5.04 MEANING OF EXCLUDED PERSON
- REGULATION 7.5.05 MEANING OF GUARANTEED SECURITIES LOAN AND RELATED CONCEPTS
- REGULATION 7.5.06 MEANING OF SALE AND PURCHASE OF SECURITIES
- REGULATION 7.5.07 MEANING OF SECURITIES BUSINESS : GENERAL
- REGULATION 7.5.08 MEANING OF SECURITIES BUSINESS : SUBDIVISION 4.9
- REGULATION 7.5.09 MEANING OF SECURITY
- REGULATION 7.5.10 MEANING OF TRANSFER OF SECURITIES
- REGULATION 7.5.11 NOVATION OF AGREEMENTS
- REGULATION 7.5.12 ATTRIBUTING SECURITIES AND PAYMENTS TO TRANSACTIONS
- REGULATION 7.5.13 EFFECT OF CONTRAVENTION OF PART 7.5
- Division 2 - When there must be a compensation regime
- REGULATION 7.5.14 APPLICATION FOR AUSTRALIAN MARKET LICENCE: INFORMATION ABOUT COMPENSATION ARRANGEMENTS
- Division 3 - Approved compensation arrangements
- REGULATION 7.5.15 APPLICATION FOR APPROVAL OF COMPENSATION ARRANGEMENTS AFTER GRANT OF AUSTRALIAN MARKET LICENCE: INFORMATION ABOUT COMPENSATION ARRANGEMENTS
- REGULATION 7.5.16 NOTIFICATION OF PAYMENT OF LEVIES
- REGULATION 7.5.17 AMOUNT OF COMPENSATION
- Division 4 - NGF Compensation regime
- Subdivision 4.1 - Preliminary
- REGULATION 7.5.18 APPLICATION OF DIVISION 4
- REGULATION 7.5.18A CAPS ON COMPENSATION
- Subdivision 4.2 - Third party clearing arrangements
- REGULATION 7.5.19 CLEARING ARRANGEMENTS
- Subdivision 4.3 - Contract guarantees
- REGULATION 7.5.20 CLAIM BY SELLING DEALER IN RESPECT OF DEFAULT BY BUYING DEALER: ASTC-REGULATED TRANSFER
- REGULATION 7.5.21 CLAIM BY SELLING DEALER IN RESPECT OF DEFAULT BY BUYING DEALER: TRANSACTION OTHER THAN ASTC-REGULATED TRANSFER
- REGULATION 7.5.22 CLAIM BY BUYING DEALER IN RESPECT OF DEFAULT BY SELLING DEALER: ASTC-REGULATED TRANSFER
- REGULATION 7.5.23 CLAIM BY BUYING DEALER IN RESPECT OF DEFAULT BY SELLING DEALER: TRANSACTION OTHER THAN ASTC-REGULATED TRANSFER
- REGULATION 7.5.24 CLAIM BY SELLING CLIENT IN RESPECT OF DEFAULT BY SELLING DEALER: ASTC-REGULATED TRANSFER
- REGULATION 7.5.25 CLAIM BY SELLING CLIENT IN RESPECT OF DEFAULT BY SELLING DEALER: TRANSACTION OTHER THAN ASTC-REGULATED TRANSFER
- REGULATION 7.5.26 CLAIM BY BUYING CLIENT IN RESPECT OF DEFAULT BY BUYING DEALER: ASTC-REGULATED TRANSFER
- REGULATION 7.5.27 CLAIM BY BUYING CLIENT IN RESPECT OF DEFAULT BY BUYING DEALER: TRANSACTION OTHER THAN ASTC-REGULATED TRANSFER
- REGULATION 7.5.28 CASH SETTLEMENT OF CLAIM: ASTC-REGULATED TRANSFER
- REGULATION 7.5.29 CASH SETTLEMENT OF CLAIM: TRANSFER OTHER THAN ASTC-REGULATED TRANSFER
- REGULATION 7.5.30 MAKING OF CLAIMS
- REGULATION 7.5.31 EFFECT OF NOVATION, UNDER OPERATING RULES, OF AGREEMENT FOR PURCHASE
- REGULATION 7.5.32 EFFECT OF USING A TRANSFER DELIVERY SERVICE
- Subdivision 4.4 - Securities loans guarantees
- Subdivision 4.5 - Claims in respect of net obligations
- Subdivision 4.6 - Transfer delivery service guarantees
- Subdivision 4.7 - Unauthorised transfer
- REGULATION 7.5.53 APPLICATION OF SUBDIVISION 4.7
- REGULATION 7.5.54 CLAIM BY TRANSFEROR
- REGULATION 7.5.55 CLAIM BY TRANSFEREE OR SUB-TRANSFEREE
- REGULATION 7.5.56 HOW AND WHEN CLAIM MAY BE MADE
- REGULATION 7.5.57 HOW CLAIM IS TO BE SATISFIED
- REGULATION 7.5.58 DISCRETIONARY FURTHER COMPENSATION TO TRANSFEROR
- REGULATION 7.5.59 NEXUS WITH AUSTRALIA
- Subdivision 4.8 - Contraventions of ASTC certificate cancellation provisions
- REGULATION 7.5.60 CLAIM IN RESPECT OF CONTRAVENTION OF ASTC CERTIFICATE CANCELLATION PROVISIONS
- REGULATION 7.5.61 HOW AND WHEN CLAIM MAY BE MADE
- REGULATION 7.5.62 HOW CLAIM IS TO BE SATISFIED
- REGULATION 7.5.63 DISCRETIONARY FURTHER COMPENSATION
- Subdivision 4.9 - Claims in respect of insolvent participants
- REGULATION 7.5.64 CLAIM IN RESPECT OF PROPERTY ENTRUSTED TO, OR RECEIVED BY, DEALER BEFORE DEALER BECAME INSOLVENT
- REGULATION 7.5.65 CASH SETTLEMENT OF CLAIMS IF PROPERTY UNOBTAINABLE
- REGULATION 7.5.66 ORDERING OF ALTERNATIVE CLAIMS AND PREVENTION OF DOUBLE RECOVERY
- REGULATION 7.5.67 NO CLAIM IN RESPECT OF MONEY LENT TO DEALER
- REGULATION 7.5.68 NEXUS WITH AUSTRALIA
- REGULATION 7.5.69 NO CLAIM IN CERTAIN OTHER CASES
- REGULATION 7.5.70 MAKING OF CLAIMS
- REGULATION 7.5.71 LIMITS OF COMPENSATION
- Subdivision 4.10 - General
- REGULATION 7.5.72 POWER OF SEGC TO ALLOW AND SETTLE CLAIM
- REGULATION 7.5.72A PARTICIPANT-RELATED LIMITS OF COMPENSATION
- REGULATION 7.5.72B CLAIMANT-RELATED LIMITS OF COMPENSATION
- REGULATION 7.5.73 APPLICATION OF FUND IN RESPECT OF CERTAIN CLAIMS
- REGULATION 7.5.74 DISCRETION TO PAY AMOUNTS NOT RECEIVED ETC BECAUSE OF FAILURE TO TRANSFER SECURITIES
- REGULATION 7.5.75 REDUCTION IN COMPENSATION
- REGULATION 7.5.76 CLAIMANT MAY BE REQUIRED TO EXERCISE RIGHT OF SET-OFF
- REGULATION 7.5.77 EFFECT OF SET-OFF ON CLAIM
- REGULATION 7.5.78 CLAIMANT ENTITLED TO COSTS AND DISBURSEMENTS
- REGULATION 7.5.79 INTEREST
- REGULATION 7.5.80 SEGC TO NOTIFY CLAIMANT IF CLAIM DISALLOWED
- REGULATION 7.5.81 ARBITRATION OF AMOUNT OF CASH SETTLEMENT OF CERTAIN CLAIMS
- REGULATION 7.5.82 INSTALMENT PAYMENTS
- REGULATION 7.5.83 NOTIFICATION OF PAYMENT OF LEVIES
- REGULATION 7.5.84 NOTIFICATION OF PAYMENT OF LEVIES
- Subdivision 4.11 - Other provisions relating to compensation
- REGULATION 7.5.85 PRESCRIBED BODY CORPORATE WITH ARRANGEMENTS COVERING CLEARING AND SETTLEMENT FACILITY SUPPORT
- REGULATION 7.5.85A TRANSITIONAL PROVISION FOR JOINING OF CHI-X
- Division 5 - Provisions common to both kinds of compensation arrangements
- REGULATION 7.5.86 EXCESS MONEY IN NATIONAL GUARANTEE FUND
- REGULATION 7.5.87 EXCESS MONEY IN FIDELITY FUND
- REGULATION 7.5.88 MINISTER'S ARRANGEMENTS FOR USE OF EXCESS MONEY FROM COMPENSATION FUNDS
- REGULATION 7.5.89 PAYMENT OF EXCESS MONEY FROM NGF
- REGULATION 7.5.90 USE OF EXCESS MONEY FROM NGF
- REGULATION 7.5.91 PAYMENT OF EXCESS MONEY FROM FIDELITY FUND
- REGULATION 7.5.92 USE OF EXCESS MONEY FROM FIDELITY FUND
- REGULATION 7.5.93 QUALIFIED PRIVILEGE
- PART 7.5A - REGULATION OF DERIVATIVE TRANSACTIONS AND DERIVATIVE TRADE REPOSITORIES
- Division 2 - Regulation of derivative transactions: derivative transaction rules
- Subdivision 2.1 - Power to make derivative transaction rules
- REGULATION 7.5A.30 REPORTING REQUIREMENTS - PRESCRIBED FACILITIES
- REGULATION 7.5A.50 PERSONS ON WHOM REQUIREMENTS CANNOT BE IMPOSED
- Subdivision 2.1A - Derivative transaction rules imposing clearing requirements
- REGULATION 7.5A.60 DEFINITIONS FOR SUBDIVISION 2.1A
- REGULATION 7.5A.61 MEANING OF AUSTRALIAN CLEARING ENTITY
- REGULATION 7.5A.62 MEANING OF FOREIGN CLEARING ENTITY
- REGULATION 7.5A.63 CLEARING REQUIREMENTS - PRESCRIBED FACILITIES
- REGULATION 7.5A.64 PERSONS ON WHOM CLEARING REQUIREMENTS CANNOT BE IMPOSED
- REGULATION 7.5A.65 CIRCUMSTANCES IN WHICH CLEARING REQUIREMENTS CAN BE IMPOSED
- Subdivision 2.1B - Phase 3 reporting entities - exemption from OTC derivative reporting requirements
- REGULATION 7.5A.70 DEFINITIONS FOR SUBDIVISION 2.1B
- REGULATION 7.5A.71 EXEMPTION - SINGLE-SIDED TRANSACTION AND POSITION REPORTING
- REGULATION 7.5A.72 REPORTING COUNTERPARTIES
- REGULATION 7.5A.73 APPLICATION OF EXEMPTIONS
- REGULATION 7.5A.74 REPORTING REQUIREMENT - EXEMPTION STOPS APPLYING
- Subdivision 2.2 - Enforceable undertakings
- REGULATION 7.5A.101 ENFORCEABLE UNDERTAKINGS
- Subdivision 2.3 - Infringement notices
- REGULATION 7.5A.102 INFRINGEMENT NOTICES
- REGULATION 7.5A.103 DEFINITIONS FOR SUBDIVISION
- REGULATION 7.5A.104 WHEN INFRINGEMENT NOTICE CAN BE GIVEN
- REGULATION 7.5A.105 STATEMENT OF REASONS MUST BE GIVEN
- REGULATION 7.5A.106 CONTENTS OF INFRINGEMENT NOTICE
- REGULATION 7.5A.107 AMOUNT OF PENALTY PAYABLE TO THE COMMONWEALTH
- REGULATION 7.5A.108 COMPLIANCE WITH INFRINGEMENT NOTICE
- REGULATION 7.5A.109 EXTENSION OF COMPLIANCE PERIOD
- REGULATION 7.5A.110 EFFECT OF COMPLIANCE WITH INFRINGEMENT NOTICE
- REGULATION 7.5A.111 APPLICATION TO WITHDRAW INFRINGEMENT NOTICE
- REGULATION 7.5A.112 WITHDRAWAL OF INFRINGEMENT NOTICE BY ASIC
- REGULATION 7.5A.113 NOTICE OF WITHDRAWAL OF INFRINGEMENT NOTICE
- REGULATION 7.5A.114 WITHDRAWAL OF NOTICE AFTER COMPLIANCE
- REGULATION 7.5A.115 PUBLICATION OF DETAILS OF INFRINGEMENT NOTICE
- Division 5 - Regulation of licensed derivative trade repositories: other obligations and powers
- REGULATION 7.5A.150 OBLIGATIONS AND POWERS - CONFIDENTIAL INFORMATION
- REGULATION 7.5A.150A EUROPEAN UNION REQUESTS FOR DERIVATIVE TRADE DATA
- REGULATION 7.5A.150B OTHER REQUESTS FOR DERIVATIVE TRADE DATA
- REGULATION 7.5A.151 OBLIGATIONS RELATING TO DERIVATIVE TRADE DATA
- REGULATION 7.5A.200 ASIC MAY ASSESS LICENSEE ' S COMPLIANCE
- Division 7 - Regulation of prescribed derivative trade repositories
- REGULATION 7.5A.250 OBLIGATIONS AND POWERS - CONFIDENTIAL INFORMATION
- Division 8 - Other matters
- REGULATION 7.5A.270 RECORD-KEEPING
- PART 7.6 - LICENSING OF PROVIDERS OF FINANCIAL SERVICES
- REGULATION 7.6.01 NEED FOR AUSTRALIAN FINANCIAL SERVICES LICENCE: GENERAL
- REGULATION 7.6.01AAAA NEED FOR AUSTRALIAN FINANCIAL SERVICES LICENCE: PRESCRIBED INSURANCE PRODUCTS IN RELATION TO CLAIMANT INTERMEDIARIES
- REGULATION 7.6.01AAAB NEED FOR AUSTRALIAN FINANCIAL SERVICES LICENCE: ISSUERS OF INSURANCE PRODUCTS
- REGULATION 7.6.01AAA PARTICULAR FINANCIAL PRODUCTS NOT EXEMPTED
- REGULATION 7.6.01AA PERSONS TAKEN TO HOLD FINANCIAL SERVICES LICENCES COVERING FIRST HOME SAVER ACCOUNTS
- REGULATION 7.6.01AB OBLIGATION ON PERSONS PROVIDING EXEMPT FINANCIAL SERVICE
- REGULATION 7.6.01A PROVIDING FINANCIAL SERVICES ON BEHALF OF A PERSON WHO CARRIES ON A FINANCIAL SERVICES BUSINESS
- REGULATION 7.6.01B NEED FOR AUSTRALIAN FINANCIAL SERVICES LICENCE: FINANCIAL PRODUCT ADVICE PROVIDED BY THE MEDIA
- REGULATION 7.6.01BA MODIFICATION OF SECTION 912A OF THE ACT
- REGULATION 7.6.01C OBLIGATION TO CITE LICENCE NUMBER IN DOCUMENTS
- REGULATION 7.6.02 ALTERNATIVE DISPUTE RESOLUTION SYSTEMS
- REGULATION 7.6.02AAA ARRANGEMENTS FOR COMPENSATION IF FINANCIAL SERVICES PROVIDED TO PERSONS AS RETAIL CLIENTS (ACT s 912B)
- REGULATION 7.6.02AA MODIFICATION OF SECTION 912B OF THE ACT: PROFESSIONAL INDEMNITY INSURANCE AND SECURITY INSTEAD OF ARRANGEMENTS FOR COMPENSATION
- REGULATION 7.6.02AB MODIFICATION OF SECTION 761G OF THE ACT: MEANING OF RETAIL CLIENT AND WHOLESALE CLIENT
- REGULATION 7.6.02AC MODIFICATION OF SECTION 761G OF THE ACT: MEANING OF RETAIL CLIENT AND WHOLESALE CLIENT
- REGULATION 7.6.02AD MODIFICATION OF SECTION 761G OF THE ACT: MEANING OF RETAIL CLIENT AND WHOLESALE CLIENT
- REGULATION 7.6.02AE MODIFICATION OF SECTION 9 OF THE ACT: DEFINITION OF PROFESSIONAL INVESTOR
- REGULATION 7.6.02AF MODIFICATION OF SECTION 761G OF THE ACT: RENEWAL PERIOD FOR ACCOUNTANTS ' CERTIFICATES
- REGULATION 7.6.02AG MODIFICATION OF SECTION 911A OF THE ACT
- REGULATION 7.6.02AGA FURTHER MODIFICATION OF SECTION 911A OF THE ACT
- REGULATION 7.6.02AH MODIFICATION OF PARAGRAPH 911B(1)(e) OF THE ACT
- REGULATION 7.6.02AI OBLIGATIONS TO PROVIDE INFORMATION ABOUT RELEVANT PROVIDERS AND CONTROLLERS OF BODY CORPORATE LICENSEES
- REGULATION 7.6.02A OBLIGATION TO NOTIFY ASIC OF CERTAIN MATTERS
- REGULATION 7.6.03 APPLYING FOR AUSTRALIAN FINANCIAL SERVICES LICENCE
- REGULATION 7.6.03A AUSTRALIAN FINANCIAL SERVICES LICENCE - REQUIREMENTS FOR A FOREIGN ENTITY TO APPOINT LOCAL AGENT
- REGULATION 7.6.03B FOREIGN ENTITY MUST CONTINUE TO HAVE LOCAL AGENT
- REGULATION 7.6.03C FINANCIAL SERVICES LICENSEE MUST COOPERATE WITH AFCA
- REGULATION 7.6.04 CONDITIONS ON AUSTRALIAN FINANCIAL SERVICES LICENCE
- REGULATION 7.6.04AA TIME LIMITS FOR NOTIFICATION OF AUTHORISED REPRESENTATIVES - MODIFICATION OF SECTION 916F OF THE ACT
- REGULATION 7.6.04A EXEMPTIONS TO NOTIFICATION OF AUTHORISED REPRESENTATIVES
- REGULATION 7.6.04B NOTIFICATION OF AUTHORISED REPRESENTATIVES - BASIC DEPOSIT PRODUCTS
- REGULATION 7.6.05 REGISTER OF FINANCIAL SERVICES LICENSEES AND REGISTER OF AUTHORISED REPRESENTATIVES OF FINANCIAL SERVICES LICENSEES
- REGULATION 7.6.06 ASIC REGISTER RELATING TO PERSONS AGAINST WHOM BANNING ORDER OR DISQUALIFICATION ORDER IS MADE
- REGULATION 7.6.06A RELEVANT PROVIDER NUMBER
- REGULATION 7.6.06B REGISTER OF RELEVANT PROVIDERS
- REGULATION 7.6.06C CORRECTING REGISTERS
- REGULATION 7.6.06D REGISTER OF RELEVANT PROVIDERS - PRESCRIBED INSTRUMENTS
- REGULATION 7.6.07 RESTRICTION ON USE OF CERTAIN WORDS OR EXPRESSIONS
- REGULATION 7.6.07A MODIFICATION OF SECTION 923C
- REGULATION 7.6.07B EXAM FOR EXISTING PROVIDERS
- REGULATION 7.6.07C DEFERRAL OF REQUIREMENT FOR RELEVANT PROVIDERS TO BE REGISTERED
- PART 7.6A - AUTHORISED REPRESENTATIVES Pt 7.6A repealed by FRLI No F2022C003
- PART 7.6B - PROVISION OF INFORMATION TO APRA ABOUT CONTRACTS OF INSURANCE
- REGULATION 7.6.08A DEFINITIONS
- REGULATION 7.6.08B APPLICATION
- REGULATION 7.6.08C MODIFICATION OF SECTION 912CA OF THE ACT
- REGULATION 7.6.08D INFORMATION ABOUT GENERAL INSURANCE PRODUCTS
- REGULATION 7.6.08E INFORMATION ABOUT GENERAL INSURANCE PRODUCTS - UNAUTHORISED FOREIGN INSURERS
- PART 7.7 - FINANCIAL SERVICE DISCLOSURE
- Division 1 - Preliminary
- REGULATION 7.7.01 HOW DOCUMENTS, INFORMATION AND STATEMENTS ARE TO BE GIVEN
- Division 2 - Financial Services Guide
- REGULATION 7.7.02 SITUATIONS IN WHICH FINANCIAL SERVICES GUIDE IS NOT REQUIRED
- REGULATION 7.7.02A SITUATIONS WHEN FINANCIAL SERVICES GUIDE IS NOT REQUIRED
- REGULATION 7.7.03 FINANCIAL SERVICES GUIDE GIVEN BY FINANCIAL SERVICES LICENSEE: DESCRIPTION OF DOCUMENTS
- REGULATION 7.7.03A FINANCIAL SERVICES GUIDE GIVEN BY FINANCIAL SERVICES LICENSEE: ARRANGEMENTS FOR COMPENSATION
- REGULATION 7.7.04 FINANCIAL SERVICES GUIDE GIVEN BY FINANCIAL SERVICES LICENSEE: REMUNERATION, COMMISSION AND BENEFITS
- REGULATION 7.7.04A FINANCIAL SERVICES GUIDE GIVEN BY FINANCIAL SERVICES LICENSEE: MORE DETAILED INFORMATION ABOUT REMUNERATION ETC
- REGULATION 7.7.04AA FINANCIAL SERVICES GUIDE GIVEN BY FINANCIAL SERVICES LICENSEE: NON-MONETARY BENEFIT THAT IS NOT CONFLICTED REMUNERATION
- REGULATION 7.7.04AB FINANCIAL SERVICES GUIDE GIVEN BY AUTHORISED REPRESENTATIVE: NON-MONETARY BENEFIT THAT IS NOT CONFLICTED REMUNERATION
- REGULATION 7.7.05 RECORD OF ADVICE GIVEN BY FINANCIAL SERVICES LICENSEE
- REGULATION 7.7.05A FINANCIAL SERVICES GUIDE GIVEN BY AUTHORISED REPRESENTATIVE OF FINANCIAL SERVICES LICENSEE: AUTHORISED REPRESENTATIVE NUMBER
- REGULATION 7.7.05B PERSONALISED FINANCIAL SERVICES GUIDE
- REGULATION 7.7.05C EXEMPTION FROM PROVIDING CERTAIN INFORMATION IN A FINANCIAL SERVICES GUIDE
- REGULATION 7.7.06 FINANCIAL SERVICES GUIDE GIVEN BY AUTHORISED REPRESENTATIVE OF FINANCIAL SERVICES LICENSEE: DESCRIPTION OF DOCUMENTS
- REGULATION 7.7.06A FINANCIAL SERVICES GUIDE GIVEN BY AUTHORISED REPRESENTATIVE OF FINANCIAL SERVICES LICENSEE - LICENCE NUMBER
- REGULATION 7.7.06B FINANCIAL SERVICES GUIDE GIVEN BY AUTHORISED REPRESENTATIVE OF FINANCIAL SERVICES LICENSEE: ARRANGEMENTS FOR COMPENSATION
- REGULATION 7.7.07 FINANCIAL SERVICES GUIDE GIVEN BY AUTHORISED REPRESENTATIVE OF FINANCIAL SERVICES LICENSEE: REMUNERATION, COMMISSION AND BENEFITS
- REGULATION 7.7.07A FINANCIAL SERVICES GUIDE GIVEN BY AUTHORISED REPRESENTATIVE: MORE DETAILED INFORMATION ABOUT REMUNERATION ETC
- REGULATION 7.7.08 RECORD OF ADVICE GIVEN BY AUTHORISED REPRESENTATIVE OF FINANCIAL SERVICES LICENSEE
- Division 2A - Combined Financial Services Guide and Product Disclosure Statement
- REGULATION 7.7.08A COMBINED FINANCIAL SERVICES GUIDE AND PRODUCT DISCLOSURE STATEMENT
- Division 2AA - Combined Financial Services Guide and credit guide
- REGULATION 7.7.08B MODIFICATION OF SECTION 942DA OF THE ACT
- Division 2B - Record of small investment advice
- REGULATION 7.7.08C RECORD OF SMALL INVESTMENT ADVICE - CONTENT REQUIREMENTS
- Division 3 - Statement of Advice
- REGULATION 7.7.09 SITUATIONS IN WHICH STATEMENT OF ADVICE IS NOT REQUIRED: FURTHER ADVICE
- REGULATION 7.7.09A SITUATIONS IN WHICH STATEMENT OF ADVICE IS NOT REQUIRED: SMALL INVESTMENTS THRESHOLD
- REGULATION 7.7.09AA STATEMENT OF ADVICE FROM FINANCIAL SERVICES LICENSEE
- REGULATION 7.7.09AB MODIFICATION OF SUBSECTION 947B(4) OF THE ACT
- REGULATION 7.7.09B STATEMENT OF ADVICE FROM PROVIDING ENTITY - INFORMATION NOT INCLUDED IN THE STATEMENT
- REGULATION 7.7.09BA STATEMENT OF ADVICE FROM AUTHORISED REPRESENTATIVE
- REGULATION 7.7.09BB MODIFICATION OF SUBSECTION 947C(4) OF THE ACT
- REGULATION 7.7.09BC STATEMENT OF ADVICE GIVEN BY FINANCIAL SERVICES LICENSEE: NON-MONETARY BENEFIT THAT IS NOT CONFLICTED REMUNERATION
- REGULATION 7.7.09BD STATEMENT OF ADVICE GIVEN BY AUTHORISED REPRESENTATIVE: NON-MONETARY BENEFIT THAT IS NOT CONFLICTED REMUNERATION
- REGULATION 7.7.09C REQUIREMENT TO KEEP STATEMENT OF ADVICE AND OTHER DOCUMENTS
- REGULATION 7.7.10 PRODUCTS FOR WHICH A STATEMENT OF ADVICE IS NOT REQUIRED
- REGULATION 7.7.10AA OBLIGATION ON AUTHORISED REPRESENTATIVE TO GIVE A FINANCIAL SERVICES GUIDE
- REGULATION 7.7.10AAA RECORD OF ADVICE WITHOUT A RECOMMENDATION TO PURCHASE OR SELL - CONTENT REQUIREMENTS
- REGULATION 7.7.10AB FINANCIAL SERVICES GUIDE - CONTENTS OF GUIDE
- REGULATION 7.7.10AC FINANCIAL SERVICES GUIDE
- REGULATION 7.7.10AD FINANCIAL SERVICES GUIDE
- REGULATION 7.7.10ADA WEBSITE DISCLOSURE INFORMATION
- REGULATION 7.7.10AE SITUATIONS IN WHICH STATEMENT OF ADVICE NOT REQUIRED
- REGULATION 7.7.10AF VARIOUS CONSEQUENTIAL AMENDMENTS TO DIVISION 7 OF PART 7.7 CONCERNING SITUATIONS WHERE FINANCIAL SERVICES GUIDES DO NOT HAVE TO BE GIVEN
- REGULATION 7.7.10AG VARIOUS CONSEQUENTIAL AMENDMENTS TO DIVISION 7 OF PART 7.7
- REGULATION 7.7.10AH BUSINESS DAYS
- REGULATION 7.7.10AI OBLIGATION TO WARN CLIENT THAT ADVICE DOES NOT TAKE ACCOUNT OF CLIENT ' S OBJECTIVES, FINANCIAL SITUATION OR NEEDS - CARBON UNITS, AUSTRALIAN CARBON CREDIT UNITS AND ELIGIBLE INTERNATIONAL EMISSIONS UNITS
- REGULATION 7.7.10A STATEMENTS OF ADVICE - REQUIREMENT TO STATE INFORMATION AS AMOUNTS IN DOLLARS
- REGULATION 7.7.10B INSERTION OF DEFINITION - FURTHER ADVICE
- REGULATION 7.7.10C OMISSION OF DEFINITION - FURTHER MARKET-RELATED ADVICE
- REGULATION 7.7.10D ADDITIONAL INFORMATION IN STATEMENT OF ADVICE
- REGULATION 7.7.10E ADDITIONAL INFORMATION IN STATEMENT OF ADVICE
- REGULATION 7.7.11 STATEMENT OF ADVICE GIVEN BY FINANCIAL SERVICES LICENSEE
- REGULATION 7.7.11A STATEMENT OF ADVICE GIVEN BY AUTHORISED REPRESENTATIVE OF FINANCIAL SERVICES LICENSEE - LICENCE NUMBER
- REGULATION 7.7.11B STATEMENT OF ADVICE - DISCLOSURE OF DOLLAR AMOUNTS
- REGULATION 7.7.12 STATEMENT OF ADVICE GIVEN BY AUTHORISED REPRESENTATIVE OF FINANCIAL SERVICES LICENSEE
- REGULATION 7.7.13 STATEMENT OF ADVICE PROVIDED BY AUTHORISED REPRESENTATIVE - DISCLOSURE OF DOLLAR AMOUNTS
- REGULATION 7.7.13A ADDITIONAL INFORMATION ABOUT CHARGES OR BENEFITS - DISCLOSURE OF DOLLAR AMOUNTS
- REGULATION 7.7.13B ADDITIONAL INFORMATION ABOUT CHARGES OR BENEFITS - DISCLOSURE OF DOLLAR AMOUNTS
- Division 4 - General advice provided to a retail client
- REGULATION 7.7.14 PRODUCT DISCLOSURE STATEMENT NOT REQUIRED
- Division 5 - Other disclosure requirements
- REGULATION 7.7.20 GENERAL ADVICE TO RETAIL CLIENT - NO OBLIGATION TO WARN CLIENT
- REGULATION 7.7.20A EXTENSION OF DISCLOSURE REQUIREMENTS TO WHOLESALE CLIENTS DEALING WITH CERTAIN UNAUTHORISED INSURERS
- Division 6 - Exemptions from application of Part 7.7 of the Act
- REGULATION 7.7.21 EXEMPTION FROM APPLICATION OF PART 7.7 OF THE ACT
- PART 7.7A - BEST INTERESTS OBLIGATIONS AND REMUNERATION
- Division 2 - Best interests obligations
- Subdivision 1 - Duty to act in client ' s best interests
- REGULATION 7.7A.05 BEST INTERESTS DUTY - BASIC BANKING PRODUCTS ETC.
- REGULATION 7.7A.06 BEST INTERESTS DUTY - GENERAL INSURANCE PRODUCTS
- REGULATION 7.7A.07 BEST INTERESTS DUTY - BASIC BANKING PRODUCTS
- Division 3 - Charging ongoing fees to clients
- REGULATION 7.7A.10 ARRANGEMENTS THAT ARE NOT ONGOING FEE ARRANGEMENTS
- REGULATION 7.7A.11 FEE DISCLOSURE STATEMENTS
- REGULATION 7.7A.11AA COMPLIANCE RECORDS REQUIRED TO BE KEPT BY FEE RECIPIENTS
- Division 4 - Conflicted remuneration
- Subdivision 1 - Benefits in relation to life risk insurance products that are conflicted remuneration
- REGULATION 7.7A.11A WHAT THIS SUBDIVISION IS ABOUT
- REGULATION 7.7A.11B CIRCUMSTANCES IN WHICH BENEFITS IN RELATION TO LIFE RISK INSURANCE PRODUCTS ARE CONFLICTED REMUNERATION
- REGULATION 7.7A.11C CIRCUMSTANCES IN WHICH BENEFITS IN RELATION TO INFORMATION ABOUT LIFE RISK INSURANCE PRODUCTS ARE NOT CONFLICTED REMUNERATION
- REGULATION 7.7A.11D CIRCUMSTANCES IN WHICH BENEFITS IN RELATION TO DEALINGS IN LIFE RISK INSURANCE PRODUCTS ARE NOT CONFLICTED REMUNERATION
- Subdivision 2 - Monetary benefits that are not conflicted remuneration
- REGULATION 7.7A.12 WHAT SUBDIVISION IS ABOUT
- REGULATION 7.7A.12A LIFE RISK INSURANCE PRODUCTS
- REGULATION 7.7A.12B STAMPING FEES
- REGULATION 7.7A.12C TIME-SHARING SCHEMES
- REGULATION 7.7A.12D BROKERAGE FEES
- REGULATION 7.7A.12E FEES PAID BY CLIENTS FOR DEALING SERVICES
- REGULATION 7.7A.12EA APPLICATION OF BAN ON CONFLICTED REMUNERATION - PURCHASE OR SALE OF FINANCIAL ADVICE BUSINESS
- Subdivision 3 - Monetary benefits that relate to life risk insurance products
- REGULATION 7.7A.12EB LIFE RISK INSURANCE PRODUCTS - CLAWBACK REQUIREMENTS RELATED TO CANCELLATION ETC.
- REGULATION 7.7A.12EC LIFE RISK INSURANCE PRODUCTS - CLAWBACK REQUIREMENTS RELATED TO REDUCTION OF POLICY COST
- Subdivision 4 - Other monetary and non-monetary benefits that are not conflicted remuneration
- REGULATION 7.7A.12F WHAT SUBDIVISION IS ABOUT
- REGULATION 7.7A.12G GENERAL INSURANCE
- REGULATION 7.7A.12H BASIC BANKING AND GENERAL INSURANCE PRODUCTS
- REGULATION 7.7A.12I MIXED BENEFITS
- REGULATION 7.7A.13 NON-MONETARY BENEFIT GIVEN IN CERTAIN CIRCUMSTANCES NOT CONFLICTED REMUNERATION: PRESCRIBED AMOUNT
- REGULATION 7.7A.14 NON-MONETARY BENEFIT GIVEN IN CERTAIN CIRCUMSTANCES NOT CONFLICTED REMUNERATION: EDUCATION OR TRAINING COURSE
- REGULATION 7.7A.15 NON-MONETARY BENEFIT GIVEN IN CERTAIN CIRCUMSTANCES NOT CONFLICTED REMUNERATION: OTHER EDUCATION AND TRAINING BENEFIT
- REGULATION 7.7A.15A NON-MONETARY BENEFIT GIVEN IN CERTAIN CIRCUMSTANCES NOT CONFLICTED REMUNERATION - EDUCATION AND TRAINING IN CONDUCTING A FINANCIAL SERVICES BUSINESS
- Subdivision 4A - Ban on conflicted remuneration (rebates)
- REGULATION 7.7A.15AJ WHAT SUBDIVISION IS ABOUT
- REGULATION 7.7A.15AK OBLIGATIONS OF COVERED PERSON
- Subdivision 5 - Application provisions relating to the Corporations Amendment (Further Future of Financial Advice Measures) Act 2012
- Subdivision 6 - Application provisions relating to the Corporations Amendment (Life Insurance Remuneration Arrangements) Act 2017
- REGULATION 7.7A.16G DEFINITIONS
- REGULATION 7.7A.16H LIFE RISK INSURANCE PRODUCTS SUBSTANTIALLY RELATED TO EXISTING PRODUCTS
- Subdivision 7 - Asset-based fees on borrowed amounts
- REGULATION 7.7A.17 FINANCIAL SERVICES LICENSEES
- REGULATION 7.7A.18 AUTHORISED REPRESENTATIVES
- Division 6 - Exemptions from application of Part 7.7A of the Act
- REGULATION 7.7A.40 EXEMPTION FROM APPLICATION OF PART 7.7A OF THE ACT
- PART 7.8 - OTHER PROVISIONS RELATING TO CONDUCT ETC CONNECTED WITH FINANCIAL PRODUCTS AND FINANCIAL SERVICES, OTHER THAN FINANCIAL PRODUCT DISCLOSURE
- Division 2 - Dealing with clients ' money
- Subdivision A - Money other than loans
- REGULATION 7.8.01A WHOLESALE CLIENT MONEY
- REGULATION 7.8.01 OBLIGATION TO PAY MONEY INTO AN ACCOUNT
- REGULATION 7.8.02 ACCOUNTS MAINTAINED FOR SECTION 981B OF THE ACT
- REGULATION 7.8.02A ACCOUNTS MAINTAINED FOR THE PURPOSES OF SECTION 981B OF THE ACT - SPECIAL RULES FOR RETAIL CLIENTS
- REGULATION 7.8.03 HOW MONEY TO BE DEALT WITH IF LICENSEE CEASES TO BE LICENSED ETC
- REGULATION 7.8.04 MONEY TO WHICH SUBDIVISION A OF DIVISION 2 OF PART 7.8 OF THE ACT APPLIES TAKEN TO BE HELD IN TRUST: BREACH OF FINANCIAL SERVICES LAW
- REGULATION 7.8.05 MONEY TO WHICH SUBDIVISION A OF DIVISION 2 OF PART 7.8 OF THE ACT APPLIES TAKEN TO BE HELD IN TRUST: RISK ACCEPTED BY INSURER
- Subdivision AA - Client money reporting rules
- REGULATION 7.8.05A DEFINITIONS FOR SUBDIVISION AA OF DIVISION 2
- REGULATION 7.8.05B ENFORCEABLE UNDERTAKINGS
- REGULATION 7.8.05C CLIENT MONEY REPORTING INFRINGEMENT NOTICES
- REGULATION 7.8.05D EFFECT OF CLIENT MONEY REPORTING INFRINGEMENT NOTICE PROVISIONS
- REGULATION 7.8.05E STATEMENT OF REASONS MUST BE GIVEN
- REGULATION 7.8.05F CONTENTS OF CLIENT MONEY REPORTING INFRINGEMENT NOTICE
- REGULATION 7.8.05G AMOUNT OF PENALTY PAYABLE TO THE COMMONWEALTH
- REGULATION 7.8.05H COMPLIANCE WITH CLIENT MONEY REPORTING INFRINGEMENT NOTICE
- REGULATION 7.8.05J EXTENSION OF CLIENT MONEY REPORTING INFRINGEMENT NOTICE PERIOD
- REGULATION 7.8.05K EFFECT OF COMPLIANCE WITH CLIENT MONEY REPORTING INFRINGEMENT NOTICE
- REGULATION 7.8.05L APPLICATION TO WITHDRAW CLIENT MONEY REPORTING INFRINGEMENT NOTICE
- REGULATION 7.8.05M WITHDRAWAL OF CLIENT MONEY REPORTING INFRINGEMENT NOTICE BY ASIC
- REGULATION 7.8.05N NOTICE OF WITHDRAWAL OF CLIENT MONEY REPORTING INFRINGEMENT NOTICE
- REGULATION 7.8.05P WITHDRAWAL OF NOTICE AFTER COMPLIANCE
- REGULATION 7.8.05Q PUBLICATION OF DETAILS OF CLIENT MONEY REPORTING INFRINGEMENT NOTICE
- Subdivision B - Loan money
- REGULATION 7.8.06 STATEMENT SETTING OUT TERMS OF LOAN ETC
- Division 3 - Dealing with other property of clients
- REGULATION 7.8.06A PROPERTY EXEMPT FROM DIVISION 3 OF PART 7.8 OF THE ACT
- REGULATION 7.8.06B WHOLESALE CLIENT PROPERTY
- REGULATION 7.8.07 HOW PROPERTY TO WHICH DIVISION 3 OF PART 7.8 OF THE ACT TO BE DEALT WITH
- Division 4 - Special provisions relating to insurance
- REGULATION 7.8.08 DEBTS OF FINANCIAL SERVICES LICENSEE IN RELATION TO PREMIUMS ETC
- Division 4A - Special provisions relating to margin lending facilities
- Subdivision A - Responsible lending conduct for margin lending facilities
- REGULATION 7.8.08A LIMIT OF MARGIN LENDING FACILITY TAKEN TO BE INCREASED
- REGULATION 7.8.08B EXEMPTION FROM REQUIREMENT TO MAKE UNSUITABILITY ASSESSMENT
- REGULATION 7.8.09 REASONABLE INQUIRIES ETC ABOUT RETAIL CLIENT: INQUIRIES
- REGULATION 7.8.09A MODIFICATION OF SECTION 985G OF THE ACT
- REGULATION 7.8.10 CIRCUMSTANCES IN WHICH MARGIN LENDING FACILITY IS UNSUITABLE
- REGULATION 7.8.10A MARGIN LENDING FACILITY TAKEN NOT TO BE UNSUITABLE
- Division 6 - Financial records, statements and audit
- Subdivision B - Financial records of financial services licensees
- REGULATION 7.8.11 PARTICULAR CATEGORIES OF INFORMATION TO BE SHOWN IN RECORDS
- REGULATION 7.8.11A PARTICULAR CATEGORIES OF INFORMATION TO BE SHOWN IN RECORDS: RECORDS OF NON-MONETARY BENEFIT THAT IS NOT CONFLICTED REMUNERATION
- REGULATION 7.8.11B INFORMATION TO BE SHOWN IN RECORDS: RECORDS OF REBATES IN RELATION TO CONFLICTED REMUNERATION
- REGULATION 7.8.12 REQUIREMENTS IN RELATION TO FINANCIAL RECORDS OF FINANCIAL SERVICES LICENSEES
- Subdivision C - Financial statements of financial services licensees
- REGULATION 7.8.12A MODIFICATION OF SECTION 989B OF THE ACT
- REGULATION 7.8.13 AUDITOR ' S REPORT WITH ANNUAL PROFIT AND LOSS STATEMENT AND BALANCE SHEET
- REGULATION 7.8.13A COMPLIANCE CERTIFICATE WITH PROFIT AND LOSS STATEMENT AND BALANCE SHEET
- REGULATION 7.8.14 CONTENTS OF ANNUAL PROFIT AND LOSS STATEMENT AND BALANCE SHEET AND APPLICABLE ACCOUNTING PROCEDURES
- REGULATION 7.8.14A LODGEMENT OF ANNUAL PROFIT AND LOSS STATEMENT AND BALANCE SHEET
- Subdivision D - Appointment etc. of auditors
- REGULATION 7.8.14B MODIFICATION OF SECTION 990B OF THE ACT
- REGULATION 7.8.15 APPOINTMENT OF AUDITOR BY FINANCIAL SERVICES LICENSEE
- REGULATION 7.8.16 WHEN PERSON IS INELIGIBLE TO ACT AS AUDITOR OF FINANCIAL SERVICES LICENSEE
- Division 7 - Other rules about conduct
- REGULATION 7.8.17 PRIORITY TO CLIENTS ' ORDERS
- REGULATION 7.8.18 INSTRUCTIONS TO DEAL THROUGH LICENSED MARKETS
- REGULATION 7.8.19 RECORDS OF INSTRUCTIONS TO DEAL ON LICENSED MARKETS AND FOREIGN MARKETS
- REGULATION 7.8.20 DEALINGS WITH NON-LICENSEES
- REGULATION 7.8.20A DEALINGS INVOLVING EMPLOYEES OF FINANCIAL SERVICE LICENSEES - RISK INSURANCE PRODUCTS
- REGULATION 7.8.21 DEALINGS INVOLVING EMPLOYEES OF FINANCIAL SERVICES LICENSEES
- Division 8 - Miscellaneous
- REGULATION 7.8.21A EXCEPTIONS TO PROHIBITION ON HAWKING OF FINANCIAL PRODUCTS
- REGULATION 7.8.21B ANTI-HAWKING PROVISIONS IF NO PRODUCT DISCLOSURE STATEMENT IS REQUIRED - CARBON UNITS, AUSTRALIAN CARBON CREDIT UNITS AND ELIGIBLE INTERNATIONAL EMISSIONS UNITS
- REGULATION 7.8.22 HOURS FOR HAWKING CERTAIN FINANCIAL PRODUCTS
- REGULATION 7.8.22A MODIFICATION OF PART 7.8
- REGULATION 7.8.22B RETURN OF FINANCIAL PRODUCT: FIRST HOME SAVER ACCOUNTS
- REGULATION 7.8.23 RETURN OF FINANCIAL PRODUCT: TRANSFER BETWEEN SUPERANNUATION ENTITIES OR RSAs
- REGULATION 7.8.24 RIGHT OF RETURN NOT TO APPLY
- REGULATION 7.8.25 VARIATION OF AMOUNT TO BE REPAID
- REGULATION 7.8.26 EXEMPTION FROM APPLICATION OF SECTION 992A OF THE ACT
- PART 7.8A - DESIGN AND DISTRIBUTION REQUIREMENTS RELATING TO FINANCIAL PRODUCTS FOR RETAIL CLIENTS
- Division 1 - Preliminary
- REGULATION 7.8A.01 DEFINITIONS
- REGULATION 7.8A.02 MEANING OF REGULATED PERSON - PRESCRIBED PERSONS
- Division 2 - Financial products for which target market determinations are required
- REGULATION 7.8A.03 FINANCIAL PRODUCTS FOR WHICH TARGET MARKET DETERMINATIONS ARE REQUIRED
- REGULATION 7.8A.04 JURISDICTIONAL SCOPE OF DIVISION
- REGULATION 7.8A.05 SIMPLE CORPORATE BONDS
- REGULATION 7.8A.06 DEBENTURES OF CERTAIN BODIES
- REGULATION 7.8A.07 BASIC BANKING PRODUCTS
- REGULATION 7.8A.08 INVESTOR-DIRECTED PORTFOLIO SERVICES
- REGULATION 7.8A.09 EXCHANGE TRADED PRODUCTS
- REGULATION 7.8A.10 CUSTODIAL OR DEPOSITORY SERVICES
- Division 3 - Exemptions
- REGULATION 7.8A.20 FINANCIAL PRODUCTS FOR WHICH TARGET MARKET DETERMINATIONS ARE NOT REQUIRED
- REGULATION 7.8A.25 EXEMPTION FROM PART 7.8A - EMPLOYERS COMPLYING WITH CERTAIN SUPERANNUATION GUARANTEE OBLIGATIONS
- PART 7.9 - FINANCIAL PRODUCT DISCLOSURE AND OTHER PROVISIONS RELATING TO ISSUE AND SALE OF FINANCIAL PRODUCTS
- Division 1 - Preliminary
- REGULATION 7.9.01 INTERPRETATION
- REGULATION 7.9.02 SUB-PLANS
- REGULATION 7.9.02A ALTERNATIVE WAYS OF GIVING STATEMENT
- REGULATION 7.9.02B PRODUCT DISCLOSURE STATEMENT IN ELECTRONIC FORM
- REGULATION 7.9.02C TRUSTEES OF SELF MANAGED SUPERANNUATION FUNDS NOT REQUIRED TO LODGE NOTICE
- Division 2 - Arrangements for Product Disclosure Statements in relation to superannuation products and RSAs
- Subdivision 2.1 - Preliminary
- REGULATION 7.9.03 APPLICATION OF DIVISION 2
- Subdivision 2.2 - Late provision of Product Disclosure Statement for certain members of regulated superannuation fund, public offer superannuation fund or successor fund
- REGULATION 7.9.04 PRODUCT DISCLOSURE STATEMENT TO BE PROVIDED LATER
- Subdivision 2.3 - Product Disclosure Statement for RSA
- REGULATION 7.9.05 SITUATION IN WHICH PRODUCT DISCLOSURE STATEMENT IS NOT REQUIRED
- Subdivision 2.4 - Additional obligations for eligible rollover funds
- REGULATION 7.9.06 ADDITIONAL PERSONS TO WHICH PRODUCT DISCLOSURE STATEMENT MUST BE GIVEN
- REGULATION 7.9.06A MEANING OF RELEVANT SUPERANNUATION ENTITY
- REGULATION 7.9.06B APPLICATION FORMS
- Subdivision 2.5 - Product Disclosure Statement for insurance options
- REGULATION 7.9.07 MODIFICATION OF ACT: PRODUCT DISCLOSURE STATEMENT IN RELATION TO INSURANCE OPTIONS
- Subdivision 2.6 - Product disclosure requirements for child accounts
- REGULATION 7.9.07AA CHILD ACCOUNTS - PRODUCT DISCLOSURE STATEMENTS
- Division 2A - Product Disclosure Statement for warrants
- REGULATION 7.9.07A WARRANTS
- Division 2B - Product Disclosure Statement for market-traded derivatives
- REGULATION 7.9.07B PRODUCT DISCLOSURE STATEMENTS FOR CERTAIN MARKET-TRADED DERIVATIVES
- REGULATION 7.9.07C REMEDIES FOR PRODUCT DISCLOSURE STATEMENTS FOR CERTAIN MARKET-TRADED DERIVATIVES
- Division 2BA - Product Disclosure Statement for discretionary mutual funds
- REGULATION 7.9.07CA EXTENSION OF PRODUCT DISCLOSURE STATEMENT REQUIREMENTS TO WHOLESALE CLIENTS
- Division 2C - Situations where a Product Disclosure Statement is not required
- REGULATION 7.9.07D PRODUCT DISCLOSURE STATEMENT NOT REQUIRED FOR OFFERS OF BUNDLED CONTRACTS OF INSURANCE
- REGULATION 7.9.07E PRODUCT DISCLOSURE STATEMENT NOT REQUIRED IF OFFER OF FINANCIAL PRODUCT IS DECLINED
- REGULATION 7.9.07F PRODUCT DISCLOSURE STATEMENT NOT REQUIRED IF THE CLIENT IS NOT CONTACTABLE
- REGULATION 7.9.07FA PRODUCT DISCLOSURE STATEMENT NOT REQUIRED FOR CERTAIN SPECIFIED PRODUCTS
- REGULATION 7.9.07FB PRODUCT DISCLOSURE STATEMENT NOT REQUIRED IF CLIENT NOT IN THIS JURISDICTION
- REGULATION 7.9.07FC PRODUCT DISCLOSURE STATEMENT NOT REQUIRED GENERAL INSURANCE SITUATION
- Division 2D - Preparation and content of Product Disclosure Statements
- REGULATION 7.9.07J ONLY 1 RESPONSIBLE PERSON FOR A PRODUCT DISCLOSURE STATEMENT
- REGULATION 7.9.07K DEFINITION OF DEFECTIVE : PRODUCT DISCLOSURE STATEMENT, SHORT-FORM PDS OR REPLACEMENT PRODUCT DISCLOSURE STATEMENT
- Division 2E - Obligation to make information publicly available: registrable superannuation entities
- Subdivision 2E.1 - Obligation to make product dashboard publicly available
- REGULATION 7.9.07L MODIFICATION OF ACT
- REGULATION 7.9.07M SOURCE OF POWER FOR THIS SUBDIVISION
- REGULATION 7.9.07N DEFINITIONS
- REGULATION 7.9.07P MEANING OF MYSUPER PRODUCT DASHBOARD REPORTING STANDARDS
- REGULATION 7.9.07Q PRODUCT DASHBOARD - HOW INFORMATION MUST BE SET OUT
- REGULATION 7.9.07R PRODUCT DASHBOARD - RETURN TARGET
- REGULATION 7.9.07S PRODUCT DASHBOARD - RETURN
- REGULATION 7.9.07T PRODUCT DASHBOARD - COMPARISON BETWEEN RETURN TARGET AND RETURN
- REGULATION 7.9.07U COMPARISON TO BE SET OUT AS A GRAPH
- REGULATION 7.9.07V PRODUCT DASHBOARD - LEVEL OF INVESTMENT RISK
- REGULATION 7.9.07W PRODUCT DASHBOARD - STATEMENT OF FEES AND OTHER COSTS
- Subdivision 2E.2 - Making portfolio holding information publicly available
- REGULATION 7.9.07Z KINDS OF DISCLOSABLE ITEM FOR AGGREGATED REPORTING
- REGULATION 7.9.07ZA WAY THE INFORMATION MUST BE ORGANISED
- Subdivision 2E.3 - Additional obligations to provide information
- REGULATION 7.9.07ZB OBLIGATION TO PROVIDE INFORMATION TO THE HOLDER OF A SUPERANNUATION PRODUCT VIA WEBSITE
- REGULATION 7.9.07ZC TRANSITIONAL OBLIGATION TO PROVIDE INFORMATION TO THE HOLDER OF A SUPERANNUATION PRODUCT VIA WEBSITE
- Division 3 - Dealing with money received for financial product before the product is issued
- REGULATION 7.9.08 ACCOUNTS
- REGULATION 7.9.08A DEALING WITH INTEREST
- REGULATION 7.9.08B CREDITING OF PAYMENTS BEFORE MONEY IS RECEIVED
- REGULATION 7.9.08C MONEY HELD IN TRUST FOR A SUPERANNUATION PRODUCT OR RSA
- REGULATION 7.9.08D STATUTORY FUNDS UNDER THE LIFE INSURANCE ACT 1995
- Division 3A - Rights and obligations related to Product Disclosure Statement - first home saver accounts
- Division 4 - Content of Product Disclosure Statements
- Subdivision 4.1 - Preliminary
- REGULATION 7.9.09 APPLICATION OF THIS DIVISION
- Subdivision 4.1A - No Product Disclosure Statement for carbon units, Australian carbon credit units and eligible international emissions units
- REGULATION 7.9.09A APPLICATION OF THIS SUBDIVISION
- REGULATION 7.9.09B PROVISIONS OF PART 7.9 OF ACT THAT DO NOT APPLY IN RELATION TO CARBON UNITS, AUSTRALIAN CARBON CREDIT UNITS AND ELIGIBLE INTERNATIONAL EMISSIONS UNITS
- REGULATION 7.9.09C MODIFICATION OF ACT
- Subdivision 4.2 - Content of Product Disclosure Statements for First Home Saver Accounts
- Subdivision 4.2A - Form and content of Product Disclosure Statement for standard margin lending facility
- REGULATION 7.9.11 APPLICATION OF THIS SUBDIVISION
- REGULATION 7.9.11A PROVISIONS OF PART 7.7 OF ACT THAT DO NOT APPLY IN RELATION TO STANDARD MARGIN LENDING FACILITY
- REGULATION 7.9.11B DEFINITIONS FOR SUBDIVISION 4.2A
- REGULATION 7.9.11C MODIFICATION OF ACT - STANDARD MARGIN LENDING FACILITY
- REGULATION 7.9.11D FORM AND CONTENT OF PRODUCT DISCLOSURE STATEMENT FOR STANDARD MARGIN LENDING FACILITY
- REGULATION 7.9.11E REQUIREMENTS FOR REFERENCES TO INCORPORATED INFORMATION FOR STANDARD MARGIN LENDING FACILITY
- REGULATION 7.9.11F RETENTION OF COPIES OF PRODUCT DISCLOSURE STATEMENT FOR STANDARD MARGIN LENDING FACILITY
- REGULATION 7.9.11G REQUIREMENT TO PROVIDE COPY OF PRODUCT DISCLOSURE STATEMENT FOR STANDARD MARGIN LENDING FACILITY FREE OF CHARGE
- REGULATION 7.9.11H NOTIFICATION ABOUT CHANGE TO APPROVED SECURITIES LIST OR CURRENT INTEREST RATE FOR STANDARD MARGIN LENDING FACILITY
- Subdivision 4.2B - Content of Product Disclosure Statement for superannuation product
- REGULATION 7.9.11K APPLICATION OF THIS SUBDIVISION
- REGULATION 7.9.11L PROVISIONS OF PART 7.7 OF ACT THAT DO NOT APPLY IN RELATION TO SUPERANNUATION PRODUCT
- REGULATION 7.9.11LA ATTRIBUTION OF ACCRUED DEFAULT AMOUNT TO MYSUPER PRODUCT - EXEMPTION FROM SIGNIFICANT EVENT NOTICE REQUIREMENTS
- REGULATION 7.9.11LB ATTRIBUTION OF ACCRUED DEFAULT AMOUNT TO MYSUPER PRODUCT - MODIFICATION OF SIGNIFICANT EVENT NOTICE REQUIREMENTS
- REGULATION 7.9.11M PROVISIONS OF PART 7.9 OF ACT THAT DO NOT APPLY IN RELATION TO SUPERANNUATION PRODUCT
- REGULATION 7.9.11N MODIFICATION OF ACT - SUPERANNUATION PRODUCT
- REGULATION 7.9.11O FORM AND CONTENT OF PRODUCT DISCLOSURE STATEMENT FOR SUPERANNUATION PRODUCT
- REGULATION 7.9.11P REQUIREMENTS FOR REFERENCES TO INCORPORATED INFORMATION FOR SUPERANNUATION PRODUCT
- REGULATION 7.9.11Q RETENTION OF COPIES OF PRODUCT DISCLOSURE STATEMENT FOR SUPERANNUATION PRODUCT
- REGULATION 7.9.11R REQUIREMENT TO PROVIDE COPY OF PRODUCT DISCLOSURE STATEMENT FOR SUPERANNUATION PRODUCT FREE OF CHARGE
- Subdivision 4.2C - Content of Product Disclosure Statement for simple managed investment scheme
- REGULATION 7.9.11S APPLICATION OF THIS SUBDIVISION
- REGULATION 7.9.11T PROVISIONS OF PART 7.7 OF ACT THAT DO NOT APPLY IN RELATION TO SIMPLE MANAGED INVESTMENT SCHEME
- REGULATION 7.9.11U PROVISIONS OF PART 7.9 OF ACT THAT DO NOT APPLY IN RELATION TO SIMPLE MANAGED INVESTMENT SCHEME
- REGULATION 7.9.11V MODIFICATION OF ACT - SIMPLE MANAGED INVESTMENT SCHEME
- REGULATION 7.9.11W FORM AND CONTENT OF PRODUCT DISCLOSURE STATEMENT FOR SIMPLE MANAGED INVESTMENT SCHEME
- REGULATION 7.9.11X REQUIREMENTS FOR REFERENCES TO INCORPORATED INFORMATION FOR SIMPLE MANAGED INVESTMENT SCHEME
- REGULATION 7.9.11Y RETENTION OF COPIES OF PRODUCT DISCLOSURE STATEMENT FOR SIMPLE MANAGED INVESTMENT SCHEME
- REGULATION 7.9.11Z REQUIREMENT TO PROVIDE COPY OF PRODUCT DISCLOSURE STATEMENT FOR SIMPLE MANAGED INVESTMENT SCHEME FREE OF CHARGE
- Subdivision 4.2D - Content of Product Disclosure Statement for simple sub-fund products
- REGULATION 7.9.11ZA APPLICATION OF THIS SUBDIVISION
- REGULATION 7.9.11ZB PROVISIONS OF PART 7.7 OF ACT THAT DO NOT APPLY IN RELATION TO SIMPLE SUB-FUND PRODUCTS
- REGULATION 7.9.11ZC PROVISIONS OF PART 7.9 OF ACT THAT DO NOT APPLY IN RELATION TO SIMPLE SUB-FUND PRODUCTS
- REGULATION 7.9.11ZD MODIFICATION OF ACT - SIMPLE SUB-FUND PRODUCTS
- REGULATION 7.9.11ZE FORM AND CONTENT OF PRODUCT DISCLOSURE STATEMENT FOR SIMPLE SUB-FUND PRODUCTS
- REGULATION 7.9.11ZF REQUIREMENTS FOR REFERENCES TO INCORPORATED INFORMATION FOR SIMPLE SUB-FUND PRODUCTS
- REGULATION 7.9.11ZG RETENTION OF COPIES OF PRODUCT DISCLOSURE STATEMENT FOR SIMPLE SUB-FUND PRODUCTS
- REGULATION 7.9.11ZH REQUIREMENT TO PROVIDE COPY OF PRODUCT DISCLOSURE STATEMENT FOR SIMPLE SUB-FUND PRODUCTS FREE OF CHARGE
- Subdivision 4.3 - Other arrangements for Product Disclosure Statements and application forms
- REGULATION 7.9.12 MODIFICATION OF ACT: PRODUCT DISCLOSURE STATEMENTS AND APPLICATION FORMS FOR STANDARD EMPLOYER-SPONSORS AND SUCCESSOR FUNDS
- REGULATION 7.9.12A CHILD ACCOUNTS - APPLICATIONS AND ELIGIBLE APPLICATIONS
- REGULATION 7.9.13 OFFER OF SUPERANNUATION INTEREST WITHOUT APPLICATION OR ELIGIBLE APPLICATION
- REGULATION 7.9.13A REMEDIES FOR PERSON ACQUIRING FINANCIAL PRODUCT UNDER DEFECTIVE PRODUCT DISCLOSURE STATEMENT: FIRST HOME SAVER ACCOUNTS
- REGULATION 7.9.14 REMEDIES FOR PERSON ACQUIRING FINANCIAL PRODUCT UNDER DEFECTIVE PRODUCT DISCLOSURE STATEMENT: SUPERANNUATION AND RSAs
- REGULATION 7.9.14A TREATMENT OF ARRANGEMENTS UNDER WHICH A PERSON CAN INSTRUCT ANOTHER PERSON TO ACQUIRE A FINANCIAL PRODUCT
- Subdivision 4.4 - Product information for certain insurance products
- REGULATION 7.9.14B PRODUCT INFORMATION
- Division 4A - General
- REGULATION 7.9.14C LABOUR STANDARDS AND ENVIRONMENTAL, SOCIAL AND ETHICAL CONSIDERATIONS
- REGULATION 7.9.14D FURTHER STATEMENTS REQUIRED IN PRODUCT DISCLOSURE STATEMENT - FINANCIAL CLAIMS SCHEME
- REGULATION 7.9.15 MORE DETAILED INFORMATION IN PRODUCT DISCLOSURE STATEMENT: UNAUTHORISED FOREIGN INSURER
- REGULATION 7.9.15A PRODUCT DISCLOSURE STATEMENTS - REQUIREMENT TO STATE INFORMATION AS AMOUNTS IN DOLLARS
- REGULATION 7.9.15B PRODUCT DISCLOSURE STATEMENTS - DISCLOSURE OF DOLLAR AMOUNTS
- REGULATION 7.9.15C PRODUCT DISCLOSURE STATEMENTS - DISCLOSURE OF DOLLAR AMOUNTS
- REGULATION 7.9.15CA LESS INFORMATION IN PRODUCT DISCLOSURE STATEMENT - FINANCIAL CLAIMS SCHEME
- REGULATION 7.9.15D LESS INFORMATION IN PRODUCT DISCLOSURE STATEMENT: GENERAL INSURANCE PRODUCT
- REGULATION 7.9.15DA STATEMENT OR INFORMATION NOT INCLUDED IN A PRODUCT DISCLOSURE STATEMENT
- REGULATION 7.9.15DB REQUIREMENT TO KEEP RECORD OF PRODUCT DISCLOSURE STATEMENT AND OTHER DOCUMENTS
- REGULATION 7.9.15DC REQUIREMENT TO LODGE DOCUMENTS MENTIONED IN A PRODUCT DISCLOSURE STATEMENT WITH ASIC
- REGULATION 7.9.15E MORE DETAILED INFORMATION IN PRODUCT DISCLOSURE STATEMENT: GENERAL INSURANCE PRODUCT
- REGULATION 7.9.15F PRODUCT DISCLOSURE STATEMENT: GENERAL INSURANCE PRODUCT
- REGULATION 7.9.15FA TRANSITIONAL ARRANGEMENTS FOR REGULATIONS 7.9.15D, 7.9.15E AND 7.9.15F
- REGULATION 7.9.15G BUSINESS DAYS
- REGULATION 7.9.15H NEW SECTION 1012G: PRODUCT DISCLOSURE STATEMENT MAY SOMETIMES BE PROVIDED LATER
- REGULATION 7.9.15I MODIFICATION OF SECTION 1012IA
- REGULATION 7.9.16 MORE DETAILED INFORMATION IN PRODUCT DISCLOSURE STATEMENT: CONSUMER CREDIT INSURANCE PRODUCT
- REGULATION 7.9.16A SMALL SCALE OFFERINGS OF MANAGED INVESTMENT AND OTHER PRESCRIBED FINANCIAL PRODUCTS (20 ISSUES OR SALES IN 12 MONTHS)
- Division 4B - Ongoing disclosure
- REGULATION 7.9.16G ONGOING DISCLOSURE OF MATERIAL CHANGES AND SIGNIFICANT EVENTS
- Division 4C - Fee Disclosure for certain financial products
- Subdivision 4C.1 - Application
- REGULATION 7.9.16J APPLICATION OF THIS DIVISION TO FINANCIAL PRODUCTS
- REGULATION 7.9.16JA APPLICATION OF THIS DIVISION TO FINANCIAL PRODUCTS - TEMPORARY ARRANGEMENTS
- REGULATION 7.9.16K APPLICATION OF THIS DIVISION TO PERIODIC STATEMENTS AND PRODUCT DISCLOSURE STATEMENTS
- Subdivision 4C.2 - Product Disclosure Statements
- REGULATION 7.9.16L MORE DETAILED INFORMATION ABOUT FEES AND COSTS
- REGULATION 7.9.16M MODIFICATION OF SECTION 1015C OF THE ACT
- REGULATION 7.9.16N PRESENTATION, STRUCTURE AND FORMAT OF FEES AND COSTS IN PRODUCT DISCLOSURE STATEMENTS
- Subdivision 4C.3 - Periodic statements
- REGULATION 7.9.16O PRESENTATION, STRUCTURE AND FORMAT OF FEES AND CHARGES IN PERIODIC STATEMENTS
- Division 4D - Other requirements relating to Product Disclosure Statements and Supplementary Product Disclosure Statements
- Subdivision 4D.1 - Requirement to lodge a notice with ASIC
- REGULATION 7.9.16T VARIATION OF PARAGRAPH 1015D(2)(b) OF THE ACT
- Division 5 - Ongoing requirements for product disclosure after person becomes a member
- Subdivision 5.1 - Preliminary
- REGULATION 7.9.17 APPLICATION OF DIVISION 5
- Subdivision 5.2 - Periodic statements for retail clients for financial products that have an investment component: regulated superannuation funds, approved deposit funds and RSAs
- REGULATION 7.9.18 APPLICATION OF SUBDIVISION 5.2
- REGULATION 7.9.19 SPECIFIC REQUIREMENTS FOR PERIODIC STATEMENTS: SUPERANNUATION FUNDS (OTHER THAN SELF MANAGED SUPERANNUATION FUNDS) AND RSAs
- REGULATION 7.9.19A WITHDRAWAL BENEFIT - FEES, CHARGES OR EXPENSES
- REGULATION 7.9.19B WITHDRAWAL BENEFIT - FEES, CHARGES AND EXPENSES
- REGULATION 7.9.20 SPECIFIC REQUIREMENTS FOR CERTAIN PERIODIC STATEMENTS: SUPERANNUATION FUNDS (OTHER THAN SELF MANAGED SUPERANNUATION FUNDS)
- REGULATION 7.9.20AA SPECIFIC REQUIREMENTS FOR CERTAIN PERIODIC STATEMENTS: SUPERANNUATION FUNDS (OTHER THAN SELF MANAGED SUPERANNUATION FUNDS) - LONG-TERM RETURNS
- REGULATION 7.9.20A DETAILS OF OTHER SIGNIFICANT BENEFITS - DISCLOSURE OF FEES, CHARGES OR EXPENSES
- REGULATION 7.9.20B OTHER SIGNIFICANT BENEFITS - DISCLOSURE OF FEES, CHARGES OR EXPENSES
- REGULATION 7.9.21 SPECIFIC REQUIREMENTS IN PARTICULAR CASES: MEMBER (OTHER THAN CAPITAL GUARANTEED MEMBER) OF FUND OTHER THAN A SELF MANAGED SUPERANNUATION FUND
- REGULATION 7.9.22 SPECIFIC REQUIREMENTS: CAPITAL GUARANTEED FUNDS AND RSAs
- REGULATION 7.9.23 INFORMATION FOR CAPITAL GUARANTEED FUND: BENEFITS REACH $10 000
- REGULATION 7.9.24 MODIFICATION OF ACT: PENSIONERS, MEMBERS SUBJECT TO COMPULSORY PROTECTION OF SMALL AMOUNTS AND MEMBERS WITH SMALL AMOUNTS THAT ARE EXPECTED TO GROW QUICKLY
- Subdivision 5.3 - Periodic statements for retail clients for financial products that have an investment component: information for RSAs
- REGULATION 7.9.25 APPLICATION OF SUBDIVISION 5.3
- REGULATION 7.9.26 SPECIFIC REQUIREMENTS WHERE APPLICABLE: RSAs
- REGULATION 7.9.27 MODIFICATION OF ACT: PERIODIC STATEMENTS FOR RSA HOLDERS
- REGULATION 7.9.28 INFORMATION FOR RSA: AMOUNT REACHES $10 000
- Subdivision 5.4 - Periodic statements for retail clients for financial products that have an investment component: additional information for superannuation entities and RSA providers
- REGULATION 7.9.29 APPLICATION OF SUBDIVISION 5.4
- REGULATION 7.9.30 ADDITIONAL INFORMATION FOR CHANGE TO CHOICES
- Subdivision 5.4A - Periodic statements for retail clients for financial products that have an investment component: additional information for margin lending facilities
- REGULATION 7.9.30A APPLICATION OF SUBDIVISION 5.4A
- REGULATION 7.9.30B DETAILS TO BE INCLUDED IN PERIODIC STATEMENTS FOR MARGIN LENDING FACILITIES
- Subdivision 5.5 - Fund information for retail clients for financial products that have an investment component: superannuation
- REGULATION 7.9.31 APPLICATION OF SUBDIVISION 5.5
- REGULATION 7.9.31A TRUSTEE OF SUPERANNUATION ENTITY MUST PROVIDE FUND INFORMATION TO HOLDERS OF INTERESTS IN THE ENTITY
- REGULATION 7.9.32 FUND INFORMATION MUST BE PROVIDED FOR EACH FUND REPORTING PERIOD
- REGULATION 7.9.33 USE OF MORE THAN 1 DOCUMENT
- Subdivision 5.6 - Fund information for retail clients for financial products that have an investment component: fund information for regulated superannuation funds and approved deposit funds
- REGULATION 7.9.34 APPLICATION OF SUBDIVISION 5.6
- REGULATION 7.9.35 GENERAL REQUIREMENT
- REGULATION 7.9.36 SPECIFIC REQUIREMENTS IN ALL CASES
- REGULATION 7.9.37 SPECIFIC REQUIREMENTS IN PARTICULAR CASES
- REGULATION 7.9.38 SPECIFIC INFORMATION IN PARTICULAR CASE: SELF MANAGED SUPERANNUATION FUND
- REGULATION 7.9.39 BENEFITS DETERMINED BY LIFE INSURANCE PRODUCTS
- Subdivision 5.7 - Fund information for retail clients for financial products that have an investment component: fund information for pooled superannuation trusts
- REGULATION 7.9.40 APPLICATION OF SUBDIVISION 5.7
- REGULATION 7.9.41 SPECIFIC REQUIREMENTS IN ALL CASES
- REGULATION 7.9.42 SPECIFIC REQUIREMENTS IN PARTICULAR CASES
- Subdivision 5.8 - Ongoing disclosure of material changes and significant events
- REGULATION 7.9.43 MODIFICATION OF ACT: DISCLOSURE OF MATERIAL CHANGES AND SIGNIFICANT EVENTS IN RELATION TO SUPERANNUATION PRODUCTS AND RSAs
- REGULATION 7.9.44 BENEFITS TO BE PAID TO ELIGIBLE ROLLOVER FUND
- Subdivision 5.8A - Information in relation to inactive superannuation accounts
- REGULATION 7.9.44A MEANING OF INACTIVE
- ### REGULATIONS 7.9.44B NOTICES ABOUT INSURANCE - INACTIVITY
- REGULATION 7.9.44C NOTICES ABOUT INSURANCE - RIGHT TO CEASE INSURANCE COVER
- Subdivision 5.9 - Information on request: members
- REGULATION 7.9.45 REGULATED SUPERANNUATION FUNDS, APPROVED DEPOSIT FUNDS AND POOLED SUPERANNUATION TRUSTS
- REGULATION 7.9.46 RSAs
- Subdivision 5.10 - Information on request: payments
- REGULATION 7.9.47 MODIFICATION OF ACT: CHARGES FOR INFORMATION REQUESTED
- Subdivision 5.11 - Information about complaints
- Subdivision 5.12 - Periodic report when product holder ceases to hold product: superannuation products and RSAs
- REGULATION 7.9.49 APPLICATION OF SUBDIVISION 5.12
- REGULATION 7.9.50 MEANING OF EXIT REPORTING PERIOD
- REGULATION 7.9.51 TIME FOR COMPLIANCE
- REGULATION 7.9.52 GENERAL REQUIREMENT
- REGULATION 7.9.53 INFORMATION ON DEATH OF PRODUCT HOLDER
- REGULATION 7.9.54 SPECIFIC REQUIREMENTS IN ALL CASES
- REGULATION 7.9.55 SPECIFIC REQUIREMENTS IN PARTICULAR CASES
- REGULATION 7.9.56 EXCEPTIONS TO EXIT REPORTING PERIOD PROVISIONS: SUPERANNUATION PRODUCTS AND RSAs
- REGULATION 7.9.57 EXCEPTION - MEMBERS SUBJECT TO COMPULSORY PROTECTION OF SMALL AMOUNTS
- REGULATION 7.9.58 INFORMATION TO BE GIVEN IN CASES OTHER THAN DEATH OF RSA HOLDER
- REGULATION 7.9.59 INFORMATION TO BE GIVEN WHERE APPLICABLE
- REGULATION 7.9.60 MODIFICATION OF ACT: EXCEPTIONS TO EXIT REPORTING PERIOD PROVISIONS
- Division 5AA - General requirements for financial disclosure
- REGULATION 7.9.60A MODIFICATION OF ACT: DISCLOSURE
- REGULATION 7.9.60B DISCLOSURE OF TRANSACTIONS IN PERIODIC STATEMENTS
- Division 5AB - Short-Form Product Disclosure Statements
- REGULATION 7.9.61AA MODIFICATION OF THE ACT: SHORT-FORM PRODUCT DISCLOSURE STATEMENTS
- Division 5A - Dealing with money received for financial product before the product is issued
- REGULATION 7.9.61A LOST APPLICATION MONEY
- REGULATION 7.9.61B ISSUE OF SUBSTITUTE INSURANCE PRODUCT
- REGULATION 7.9.61C CHEQUES
- Division 5B - Confirming transactions
- REGULATION 7.9.61D TRANSACTIONS INVOLVING SUPERANNUATION PRODUCTS
- Division 5C - CGS depository interests
- REGULATION 7.9.61E MEANING OF CGS DEPOSITORY INTEREST INFORMATION WEBSITE
- Division 6 - Confirmation of transactions
- REGULATION 7.9.62 CONFIRMATION OF TRANSACTIONS NOT REQUIRED
- REGULATION 7.9.63 CONFIRMATION OF TRANSACTIONS: PRECISE COSTS OF TRANSACTION NOT KNOWN
- REGULATION 7.9.63A PERSONS WHO MUST CONFIRM TRANSACTIONS
- REGULATION 7.9.63B CONTENT OF CONFIRMATION OF TRANSACTIONS - GENERAL
- REGULATION 7.9.63C CONFIRMATION OF TRANSACTION - MULTIPLE TRANSACTIONS
- REGULATION 7.9.63D CONFIRMATION OF TRANSACTION - INFORMATION ABOUT COOLING-OFF PERIOD
- REGULATION 7.9.63E CONFIRMATION OF TRANSACTION - FACILITY THAT PROVIDES WRITTEN CONFIRMATION
- REGULATION 7.9.63F CONFIRMATION OF TRANSACTION - ACQUISITION OF FINANCIAL PRODUCT
- REGULATION 7.9.63G CONFIRMATION OF TRANSACTION - DISPOSAL OF FINANCIAL PRODUCT
- REGULATION 7.9.63H CERTAIN PRODUCT ISSUERS AND REGULATED PERSONS MUST MEET APPROPRIATE DISPUTE RESOLUTION REQUIREMENTS - SELF MANAGED SUPERANNUATION FUNDS
- REGULATION 7.9.63I CONFIRMATION OF TRANSACTION IN ELECTRONIC FORM
- Division 7 - Cooling-off periods
- REGULATION 7.9.64 COOLING-OFF PERIODS NOT TO APPLY
- REGULATION 7.9.64A NOTIFICATION OF EXERCISE OF RIGHT OF RETURN - RISK INSURANCE PRODUCTS
- REGULATION 7.9.65 RETURN OF FINANCIAL PRODUCT: GENERAL
- REGULATION 7.9.65A RETURN OF FINANCIAL PRODUCT: FIRST HOME SAVER ACCOUNTS
- REGULATION 7.9.66 RETURN OF FINANCIAL PRODUCT: SUPERANNUATION AND RSAs
- REGULATION 7.9.67 VARIATION OF AMOUNT TO BE REPAID
- REGULATION 7.9.68 MODIFICATION OF SECTION 1019B OF THE ACT: CLIENT INCLUDES STANDARD EMPLOYER-SPONSOR
- REGULATION 7.9.68A MODIFICATION OF SECTION 1019B OF THE ACT: CHILD ACCOUNTS
- REGULATION 7.9.69 MODIFICATION OF PROVISIONS OF DIVISION 5 OF PART 7.9 OF THE ACT: TERMS OF CONTRACT
- REGULATION 7.9.70 MODIFICATION OF PROVISIONS OF DIVISION 5 OF PART 7.9 OF THE ACT: DISTRIBUTIONS
- Division 8 - Other requirements
- REGULATION 7.9.71 MODIFICATION OF SECTION 1017D OF THE ACT: USE OF MORE THAN 1 DOCUMENT
- REGULATION 7.9.71A PERIODIC STATEMENTS - EXEMPTION FOR PASSBOOK ACCOUNTS
- REGULATION 7.9.72 MODIFICATION OF SECTION 1017D OF THE ACT: INFORMATION ALREADY GIVEN
- REGULATION 7.9.72A MODIFICATION OF SECTION 1013D OF THE ACT: AMOUNT PAYABLE FOR FINANCIAL PRODUCT
- REGULATION 7.9.73 REPORTING PERIODS: GENERAL
- REGULATION 7.9.74 FORM OF APPLICATION
- REGULATION 7.9.74A PERIODIC STATEMENTS - REQUIREMENT TO STATE INFORMATION AS AMOUNTS IN DOLLARS
- REGULATION 7.9.74B PERIODIC STATEMENTS - ADDITIONAL DETAILS FOR FIRST HOME SAVER ACCOUNTS
- REGULATION 7.9.75 CONTENT OF PERIODIC STATEMENTS: COSTS OF TRANSACTIONS
- REGULATION 7.9.75A WAYS OF GIVING INFORMATION
- REGULATION 7.9.75B INFORMATION IN ELECTRONIC FORM
- REGULATION 7.9.75BA FUND INFORMATION MADE AVAILABLE ON A WEBSITE
- REGULATION 7.9.75C PERIODIC STATEMENTS - DISCLOSURE OF AMOUNTS
- REGULATION 7.9.75D PERIODIC STATEMENTS - DISCLOSURE OF AMOUNTS
- REGULATION 7.9.76 CONSENTS TO CERTAIN STATEMENTS
- REGULATION 7.9.77 ALTERNATIVE DISPUTE RESOLUTION REQUIREMENTS - PRODUCT ISSUER THAT IS NOT A FINANCIAL SERVICES LICENSEE
- REGULATION 7.9.77A DISPUTE RESOLUTION REQUIREMENT - OBLIGATION TO COOPERATE WITH AFCA
- REGULATION 7.9.78 ADDITIONAL STATEMENT: TRUSTEE REQUIRED TO PROVIDE BENEFITS
- REGULATION 7.9.79 SHORT SELLING OF SECURITIES, MANAGED INVESTMENT PRODUCTS AND CERTAIN OTHER FINANCIAL PRODUCTS
- REGULATION 7.9.80 MODIFICATION OF SECTION 1013D OF THE ACT: AMOUNT PAYABLE FOR FINANCIAL PRODUCT
- REGULATION 7.9.80A SHORT SELLING OF SECURITIES, MANAGED INVESTMENT PRODUCTS AND CERTAIN OTHER FINANCIAL PRODUCTS
- REGULATION 7.9.80B SHORT SELLING OF CERTAIN WARRANTS
- REGULATION 7.9.80C PRODUCT DISCLOSURE STATEMENT MAY SOMETIMES BE PROVIDED LATER - ISSUE SITUATION
- REGULATION 7.9.80D PRODUCT DISCLOSURE STATEMENT MAY SOMETIMES BE PROVIDED LATER - RECOMMENDATION SITUATION
- Division 9 - Additional requirements for transfer of lost members and lost RSA holders
- REGULATION 7.9.81 LOST MEMBERS
- REGULATION 7.9.82 LOST RSA HOLDERS
- Division 10 - References to responsible person
- REGULATION 7.9.83 REFERENCES
- Division 11 - Superannuation to which arrangements apply under the Family Law Act 1975
- REGULATION 7.9.84 DEFINITIONS FOR DIVISION 11
- REGULATION 7.9.85 APPLICATION OF DIVISION 11
- REGULATION 7.9.86 ACQUISITION OF FINANCIAL PRODUCT
- REGULATION 7.9.87 MODIFICATION OF ACT: PRODUCT DISCLOSURE STATEMENT IN RELATION TO SUPERANNUATION INTEREST UNDER FAMILY LAW ACT
- REGULATION 7.9.88 STATEMENT CONTENT IN RELATION TO SUPERANNUATION INTEREST UNDER FAMILY LAW ACT: SUPERANNUATION FUND
- REGULATION 7.9.89 STATEMENT CONTENT IN RELATION TO SUPERANNUATION INTEREST UNDER FAMILY LAW ACT: RSA
- REGULATION 7.9.90 INFORMATION FOR EXISTING HOLDERS OF SUPERANNUATION PRODUCTS AND RSAs IN RELATION TO SUPERANNUATION INTEREST
- REGULATION 7.9.91 PERIODIC STATEMENTS FOR RETAIL CLIENTS FOR FINANCIAL PRODUCTS THAT HAVE AN INVESTMENT COMPONENT - GENERAL
- REGULATION 7.9.92 PERIODIC STATEMENTS FOR RETAIL CLIENTS FOR FINANCIAL PRODUCTS THAT HAVE AN INVESTMENT COMPONENT - SUPERANNUATION INTEREST OTHER THAN PERCENTAGE-ONLY INTEREST
- REGULATION 7.9.93 TRUSTEES OF SUPERANNUATION ENTITIES - ADDITIONAL OBLIGATION TO PROVIDE INFORMATION IN RELATION TO SUPERANNUATION INTEREST
- REGULATION 7.9.94 DIVISION 5 OF PART 7.9 OF THE ACT NOT TO APPLY IN RELATION TO NON-MEMBER SPOUSE
- Division 12 - Medical indemnity insurance
- REGULATION 7.9.95 MEDICAL INDEMNITY INSURANCE - EXEMPTION FROM PRODUCT DISCLOSURE PROVISIONS
- Division 13 - Unsolicited offers to purchase financial products off market
- Subdivision A - Modifying provisions of Part 7.9 of the Act: offers to purchase securities in certain proprietary companies
- REGULATION 7.9.95A OFFERS TO WHICH THIS SUBDIVISION APPLIES
- REGULATION 7.9.95B DURATION AND WITHDRAWAL OF THE OFFER
- REGULATION 7.9.95C VARYING THE TERMS OF THE OFFER
- REGULATION 7.9.95D RIGHTS IF REQUIREMENTS NOT COMPLIED WITH
- Subdivision B - Other matters
- REGULATION 7.9.96 PERCENTAGE INCREASE OR DECREASE IN THE MARKET VALUE OF A PRODUCT
- REGULATION 7.9.97 OFF-MARKET TRADING BY PROFESSIONAL INVESTORS ETC
- REGULATION 7.9.97A INFORMATION IN OFFER DOCUMENT IF PAYMENT IS TO BE MADE IN INSTALMENTS
- Division 14 - Exemptions from Parts 7.7, 7.8 and 7.9 of the Act
- REGULATION 7.9.98 CERTAIN PROVIDERS OF FINANCIAL SERVICES EXEMPTED FROM THE REQUIREMENTS OF PARTS 7.7, 7.8 AND 7.9 OF THE ACT
- REGULATION 7.9.98A EXEMPTION FROM APPLICATION OF PART 7.9 OF THE ACT
- Division 15 - Disclosure in relation to short sales covered by securities lending arrangement of listed section 1020B products
- REGULATION 7.9.99 INTERPRETATION
- REGULATION 7.9.100 SELLER DISCLOSURE
- REGULATION 7.9.100A SELLER DISCLOSURE OF EXISTING SHORT POSITION
- REGULATION 7.9.101 LICENSEE DISCLOSURE
- REGULATION 7.9.102 PUBLIC DISCLOSURE OF INFORMATION
- PART 7.10 - MARKET MISCONDUCT AND OTHER PROHIBITED CONDUCT RELATING TO FINANCIAL PRODUCTS AND FINANCIAL SERVICES
- REGULATION 7.10.01 MEANING OF DIVISION 3 FINANCIAL PRODUCTS - EXCLUDED SUPERANNUATION PRODUCTS
- REGULATION 7.10.02 PROFESSIONAL STANDARDS SCHEMES
- REGULATION 7.10.03 EXEMPTION FOR MARKET PARTICIPANTS OF QUALIFYING GAS TRADING EXCHANGE
- PART 7.10B - FINANCIAL SERVICES COMPENSATION SCHEME OF LAST RESORT
- REGULATION 7.10B.50 REPORTING BY CSLR OPERATOR IF SUB-SECTOR LEVY CAP COULD BE EXCEEDED (OR FURTHER EXCEEDED)
- REGULATION 7.10B.55 REPORTING BY CSLR OPERATOR AFTER THE END OF EACH LEVY PERIOD
- PART 7.11 - TITLE AND TRANSFER
- Division 1 - Preliminary
- REGULATION 7.11.01 DEFINITIONS
- REGULATION 7.11.02 AUTHORISED TRUSTEE CORPORATION
- REGULATION 7.11.03 ARRANGEMENTS ABOUT DIVISION 4 FINANCIAL PRODUCTS
- REGULATION 7.11.04 ARRANGEMENTS FOR FORMS
- REGULATION 7.11.05 DOCUMENT DULY COMPLETED IN ACCORDANCE WITH A PARTICULAR FORM
- REGULATION 7.11.06 STAMPING OF DOCUMENTS
- REGULATION 7.11.07 APPLICATION OF DIVISION 3 OF PART 7.11 OF THE ACT TO CERTAIN BODIES
- REGULATION 7.11.08 INTERESTS IN REGISTERED SCHEMES
- Division 2 - Application of Part 7.11
- REGULATION 7.11.09 APPLICATION
- Division 3 - Transfer of Division 3 securities effected otherwise than through a prescribed CS facility
- REGULATION 7.11.10 APPLICATION OF DIVISION 3
- REGULATION 7.11.11 SUFFICIENT TRANSFER: GENERAL
- REGULATION 7.11.12 SUFFICIENT TRANSFER OF DIVISION 3 ASSETS: LICENSED TRUSTEE COMPANY OR PUBLIC TRUSTEE OF A STATE OR TERRITORY
- REGULATION 7.11.13 SUFFICIENT TRANSFER OF DIVISION 3 RIGHTS: LICENSED TRUSTEE COMPANY OR PUBLIC TRUSTEE OF A STATE OR TERRITORY
- REGULATION 7.11.14 SUFFICIENT TRANSFER
- REGULATION 7.11.15 TRANSFEREE'S EXECUTION OF TRANSFER OF DIVISION 3 ASSETS
- REGULATION 7.11.16 TRANSFEREE'S EXECUTION OF TRANSFER OF DIVISION 3 RIGHTS
- REGULATION 7.11.17 TRANSFER DOCUMENT THAT PURPORTS TO BEAR STAMP OF TRANSFEROR'S BROKER
- REGULATION 7.11.18 WARRANTIES BY MARKET LICENSEE IF TRANSFER DOCUMENT PURPORTS TO BEAR ITS STAMP
- REGULATION 7.11.19 INDEMNITIES BY MARKET LICENSEE AND BROKER IF TRANSFER DOCUMENT PURPORTS TO BEAR THEIR STAMPS
- REGULATION 7.11.20 JOINT AND SEVERAL WARRANTIES AND LIABILITIES
- REGULATION 7.11.21 REGISTRATION OF CERTAIN INSTRUMENTS
- REGULATION 7.11.22 DETAILS TO BE INCLUDED IN INSTRUMENT OF TRANSFER
- Division 4 - Transfer of Division 4 financial products effected through prescribed CS facility
- REGULATION 7.11.23 APPLICATION OF DIVISION 4
- REGULATION 7.11.24 APPLICATION OF ASTC OPERATING RULES
- REGULATION 7.11.25 PARTICIPANT'S AUTHORITY TO ENTER INTO TRANSACTION CONTINUES DESPITE CLIENT'S DEATH
- REGULATION 7.11.26 AUTHORITY TO ENTER INTO TRANSACTION GIVES AUTHORITY TO TRANSFER
- REGULATION 7.11.27 EFFECT OF PROPER ASTC TRANSFER ON TRANSFEREE: DIVISION 4 FINANCIAL PRODUCTS OTHER THAN RIGHTS
- REGULATION 7.11.28 EFFECT OF PROPER ASTC TRANSFER ON TRANSFEREE: RIGHTS
- REGULATION 7.11.29 WARRANTIES BY PARTICIPANT IF IDENTIFICATION CODE IS INCLUDED IN TRANSFER DOCUMENT
- REGULATION 7.11.30 INDEMNITIES IN RESPECT OF WARRANTED MATTERS: TRANSFER NOT EFFECTED BY THE PARTICIPANT
- REGULATION 7.11.31 INDEMNITIES IN RESPECT OF WARRANTED MATTERS: TRANSFEROR NOT LEGALLY ENTITLED OR AUTHORISED TO TRANSFER DIVISION 4 FINANCIAL PRODUCTS
- REGULATION 7.11.32 INDEMNITIES IN RESPECT OF WARRANTED MATTERS: PARTICIPANT NOT AUTHORISED TO EFFECT TRANSFER
- REGULATION 7.11.33 JOINT AND SEVERAL WARRANTIES AND LIABILITIES
- REGULATION 7.11.34 ASTC ENTITLED TO ASSUME ITS OPERATING RULES COMPLIED WITH
- REGULATION 7.11.35 ASTC-REGULATED TRANSFER NOT TO BE REGISTERED UNLESS PROPER ASTC TRANSFER
- REGULATION 7.11.36 ISSUER NOT TO REFUSE TO REGISTER PROPER ASTC TRANSFER
- REGULATION 7.11.37 DETERMINATION OF WHO HOLDS DIVISION 4 FINANCIAL PRODUCTS FOR THE PURPOSES OF MEETING
- REGULATION 7.11.38 DETERMINATION OF WHO HOLDS DIVISION 4 FINANCIAL PRODUCTS IN CLASS OF DIVISION 4 FINANCIAL PRODUCTS FOR THE PURPOSES OF MEETING
- REGULATION 7.11.39 DETERMINATION OF WHO HOLDS DIVISION 4 FINANCIAL PRODUCTS FOR THE PURPOSES OF CONFERRING SECURITY BENEFITS
- Division 5 - Offences
- REGULATION 7.11.40 STAMPING OF BROKER ' S STAMP ON SUFFICIENT TRANSFER
- REGULATION 7.11.41 INCLUSION OF IDENTIFICATION CODES IN PROPER ASTC TRANSFERS
- REGULATION 7.11.42 CONTRAVENTION BY PARTICIPANT OF THE ASTC CERTIFICATE CANCELLATION PROVISIONS RELATING TO USE OF CANCELLATION STAMPS
- Division 6 - Civil liability
- REGULATION 7.11.43 CONTRAVENTION BY PARTICIPANT OF THE ASTC CERTIFICATE CANCELLATION PROVISIONS
- PART 7.12 - MISCELLANEOUS
- REGULATION 7.12.01 DESTRUCTION OF RECORDS BY ASIC
- CHAPTER 8 - MUTUAL RECOGNITION OF SECURITIES OFFERS
- PART 8.1 - PRELIMINARY
- REGULATION 8.1.01 MEANING OF FOREIGN RECOGNITION SCHEME
- REGULATION 8.1.02 MEANING OF OFFEROR - PRESCRIBED OFFER AND KIND OF PERSON
- REGULATION 8.1.03 MEANING OF RECOGNISED JURISDICTION
- PART 8.2 - FOREIGN OFFERS THAT ARE RECOGNISED IN THIS JURISDICTION
- Division 1 - Recognised offers
- REGULATION 8.2.01 PRESCRIBED OFFER (ACT s 1200C(4))
- REGULATION 8.2.02 PRESCRIBED WARNING STATEMENTS (ACT s 1200E)
- REGULATION 8.2.03 PRESCRIBED DETAILS TO BE GIVEN IN WARNING STATEMENTS (ACT s 1200E(b))
- REGULATION 8.2.04 PRESCRIBED HOME REGULATORS (ACT s 1200G(13) AND (14))
- Division 4 - Modification of the Act in relation to its application to recognised offers for interests in New Zealand managed investment schemes (Act s 1020G, 1200M)
- REGULATION 8.4.01 MODIFICATION OF PART 7.9 OF THE ACT - NEW ZEALAND OFFER DOCUMENTS REPLACE PRODUCT DISCLOSURE STATEMENTS
- REGULATION 8.4.02 MODIFICATION OF PART 6D.2 OF THE ACT AND PART 7.9 OF THE ACT - CERTAIN DISCLOSURE OBLIGATIONS NOT TO APPLY
- CHAPTER 8A - ASIA REGION FUNDS PASSPORT
- PART 8A.4 - NOTIFIED FOREIGN PASSPORT FUNDS
- Division 1 - Becoming a notified foreign passport fund
- REGULATION 8A.4.10 REJECTING A NOTICE OF INTENTION - NAME OF FUND IDENTICAL TO ANOTHER OR UNACCEPTABLE
- Division 4 - Providing key information in relation to notified foreign passport funds
- REGULATION 8A.4.40 REGISTER OF MEMBERS - PURPOSES FOR WHICH A PERSON MAY OBTAIN AND USE A COPY
- REGULATION 8A.4.45 DESTRUCTION OF RECORDS BY ASIC - PERIOD BEFORE DOCUMENTS MAY BE DESTROYED
- PART 8A.5 - REGISTER OF PASSPORT FUNDS
- REGULATION 8A.5.10 PRESCRIBED DETAILS FOR THE REGISTER OF PASSPORT FUNDS
- PART 8A.7 - DEREGISTRATION AND DENOTIFICATION
- REGULATION 8A.7.10 AUTHORITY
- REGULATION 8A.7.15 CONTINUED APPLICATION OF CORPORATIONS LEGISLATION TO DEREGISTERED AUSTRALIAN PASSPORT FUNDS
- REGULATION 8A.7.20 CONTINUED APPLICATION OF CORPORATIONS LEGISLATION TO FUNDS THAT HAVE BEEN REMOVED AS NOTIFIED FOREIGN PASSPORT FUNDS
- CHAPTER 8B - CORPORATE COLLECTIVE INVESTMENT VEHICLES
- PART 8B.4 - CORPORATE FINANCE AND FINANCIAL REPORTING FOR CCIVs
- Division 1 - Shares
- REGULATION 8B.4.10 CROSS INVESTMENT BETWEEN SUB-FUNDS OF A CCIV - RESTRICTION FOR CIRCULAR CROSS-INVESTMENT
- REGULATION 8B.4.15 CROSS INVESTMENT BETWEEN SUB-FUNDS OF A CCIV - REQUIREMENTS AND RESTRICTIONS ON MEMBERSHIP RIGHTS
- Division 4 - Financial reports and audit of CCIVs
- REGULATION 8B.4.40 KEEPING FINANCIAL RECORDS FOR SUB-FUNDS - FURTHER REQUIREMENT FOR CROSS-INVESTMENT
- REGULATION 8B.4.45 ANNUAL FINANCIAL REPORTS FOR SUB-FUNDS - FURTHER REQUIREMENT FOR CROSS-INVESTMENT
- REGULATION 8B.4.50 COMBINING FINANCIAL REPORTS, AND DIRECTORS ' REPORTS ETC., FOR SUB-FUNDS OF THE SAME CCIV
- PART 8B.5 - OPERATING A CCIV
- REGULATION 8B.5.10 WHO MAY HOLD CCIV ASSETS - MINIMUM STANDARDS AND OTHER REQUIREMENTS
- REGULATION 8B.5.15 HOLDING MONEY AND PROPERTY OF A CCIV ON TRUST - EXCEPTION
- REGULATION 8B.5.20 HOLDING MONEY AND PROPERTY OF A CCIV SEPARATELY - EXCEPTION AND OTHER REQUIREMENTS FOR CERTAIN CLASSES OF ASSETS
- CHAPTER 9 - MISCELLANEOUS
- PART 9.1 - REGISTERS AND REGISTRATION OF DOCUMENTS
- REGULATION 9.1.01 PRESCRIBED REGISTERS
- REGULATION 9.1.02 PRESCRIBED INFORMATION
- PART 9.2 - REGISTRATION OF AUDITORS
- Division 2 - Registration
- REGULATION 9.2.01 PRACTICAL EXPERIENCE IN AUDITING (ACT s 1280(2))
- REGULATION 9.2.02 PRESCRIBED UNIVERSITIES AND INSTITUTIONS (ACT ss 1280(2A))
- REGULATION 9.2.03 PRESCRIBED COURSES (ACT s 1280(2A))
- REGULATION 9.2.04 PRESCRIBED BODIES (ACT s 1282(2))
- REGULATION 9.2.05 APPLICATION OF SECURITY UNDER SUBSECTION 1284(2) OF THE ACT
- REGULATION 9.2.06 DISCHARGE, RETURN OR RELEASE OF SECURITY
- REGULATION 9.2.07 EFFECT OF DISCHARGE OF SECURITY
- Division 2A - Conditions on registration
- REGULATION 9.2.08 KINDS OF CONDITIONS (ACT s 1289A)
- PART 9.2A - AUTHORISED AUDIT COMPANIES
- Division 1 - Registration
- REGULATION 9.2A.01 APPLICATION FOR REGISTRATION AS AUTHORISED AUDIT COMPANY (ACT s 1299A)
- REGULATION 9.2A.03 ANNUAL STATEMENTS BY AUTHORISED AUDIT COMPANY (ACT s 1299G)
- PART 9.4 - PENALTY NOTICE OFFENCES AND PENALTIES Pt 9.4 repealed by FRLI No
- PART 9.4A - REGISTER AND INDEX
- REGULATION 9.4A.01 DEFINITIONS FOR PART 9.4A
- REGULATION 9.4A.02 REGISTER AND INDEX MUST BE KEPT UP TO DATE: SUBSECTION 1306(4A) OF THE ACT
- PART 9.4AB - INFRINGEMENT NOTICES
- REGULATION 9.4AB.01 PRESCRIBED OFFENCES (ACT S 1317DAN)
- REGULATION 9.4AB.02 PRESCRIBED CIVIL PENALTY PROVISIONS (ACT S 1317DAN)
- PART 9.5 - DELEGATION OF POWERS AND FUNCTIONS UNDER THE ACT
- REGULATION 9.5.01 PRESCRIBED FUNCTIONS (LAW s 1345A(1))
- PART 9.7 - UNCLAIMED PROPERTY
- REGULATION 9.7.01 ENTITLEMENT TO UNCLAIMED PROPERTY
- PART 9.10 - FEES IMPOSED BY THE CORPORATIONS (FEES) ACT 2001 AND THE CORPORATIONS (REVIEW FEES) ACT 2003
- REGULATION 9.10.01 PENALTY FOR FAILURE TO PAY REVIEW FEE ON TIME - PRESCRIBED PENALTY (ACT S 1364)
- PART 9.12 - MATTERS RELATING TO REGULATIONS
- REGULATION 9.12.01 EXEMPTIONS FROM CHAPTER 7
- REGULATION 9.12.02 EXEMPTION FROM PROVISIONS OF CHAPTER 7 - CLS BANK
- REGULATION 9.12.03 PARTIAL EXEMPTION OF FOREIGN-BASED MARKET LICENSEES FROM CERTAIN NOTIFICATION OBLIGATIONS
- REGULATION 9.12.03A EXEMPTION FROM PROVISIONS OF CHAPTER 7 - COMPLIANCE WITH ASIC EXEMPTIONS
- REGULATION 9.12.04 EXEMPTION FROM PROVISIONS OF CHAPTER 7 - CARBON UNIT AUCTIONS
- REGULATION 9.12.05 EXEMPTION FROM PROVISIONS OF CHAPTER 7 - GAS TRADING EXCHANGE
- CHAPTER 10 - REPEALS, TRANSITIONAL MATTERS AND APPLICATION PROVISIONS
- PART 10.1 - OLD CORPORATIONS REGULATIONS Pt 10.1 (comprising reg 10.1.01 -
- PART 10.2 - TRANSITIONAL ARRANGEMENTS RELATING TO FINANCIAL SERVICES REFORM LEGISLATION
- Division 1 - Preliminary
- REGULATION 10.2.01 APPLICATION OF PART 10.2
- REGULATION 10.2.02 DEFINITIONS
- REGULATION 10.2.02A REFERENCES TO TRANSITION PERIODS
- REGULATION 10.2.02B REFERENCES TO THE APPLICATION OF DIVISION 2 OF PART 7.9 OF THE ACT
- Division 1A - Treatment of proposed markets that have not started to operate by the FSR commencement
- REGULATION 10.2.02C PROPOSED MARKETS
- Division 2 - Transitional arrangements relating to business rules or listing rules
- Subdivision 2.1 - Business rules
- REGULATION 10.2.03 AMENDMENT OF BUSINESS RULES OF SECURITIES EXCHANGE BEFORE FSR COMMENCEMENT
- REGULATION 10.2.04 AMENDMENT OF SCH BUSINESS RULES BEFORE FSR COMMENCEMENT
- REGULATION 10.2.05 AMENDMENT OF SEGC BUSINESS RULES BEFORE FSR COMMENCEMENT
- REGULATION 10.2.06 AMENDMENT OF BUSINESS RULES OF FUTURES BODY BEFORE FSR COMMENCEMENT
- Subdivision 2.2 - Listing rules
- REGULATION 10.2.07 AMENDMENT OF LISTING RULES OF SECURITIES EXCHANGE BEFORE FSR COMMENCEMENT
- Division 3 - Status of directions and notices
- REGULATION 10.2.08 DIRECTION TO SECURITIES EXCHANGE TO COMPLY WITH ONGOING REQUIREMENTS
- REGULATION 10.2.09 NOTICE TO SECURITIES EXCHANGE OF NEED TO PROHIBIT TRADING
- REGULATION 10.2.10 NOTICE TO SECURITIES EXCHANGE PROHIBITING TRADING
- REGULATION 10.2.11 DIRECTION TO FUTURES EXCHANGE - ORDERLY MARKET
- Division 4 - Assistance to ASIC
- REGULATION 10.2.12 OBLIGATIONS OF SECURITIES EXCHANGE: DISCIPLINARY ACTION
- REGULATION 10.2.13 OBLIGATIONS OF SECURITIES EXCHANGE: PARTICULARS OF CONTRAVENTION
- REGULATION 10.2.14 OBLIGATIONS OF SECURITIES EXCHANGE: INFORMATION ABOUT LISTED DISCLOSING ENTITY
- REGULATION 10.2.15 OBLIGATIONS OF SECURITIES CLEARING HOUSE: DISCIPLINARY ACTION
- REGULATION 10.2.16 OBLIGATIONS OF FUTURES BODY: DISCIPLINARY ACTION
- REGULATION 10.2.17 OBLIGATIONS OF FUTURES BODY: PARTICULARS OF CONTRAVENTION
- REGULATION 10.2.18 OBLIGATIONS OF CLEARING HOUSE FOR FUTURES EXCHANGE: INFORMATION ABOUT LISTED DISCLOSING ENTITY
- Division 5 - Special reports
- REGULATION 10.2.19 SPECIAL REPORT BY SECURITIES EXCHANGE ABOUT COMPLIANCE WITH ONGOING REQUIREMENTS
- REGULATION 10.2.20 SPECIAL REPORT BY SECURITIES EXCHANGE ABOUT COMPLIANCE WITH ONGOING REQUIREMENTS: ASIC REQUIREMENTS
- Division 5A - Transactions by holder of financial services licence or a representative of the holder of such a licence
- REGULATION 10.2.20A REFERENCES TO FINANCIAL SERVICE LICENSEE
- Division 5B - Obligation to pay money into account
- REGULATION 10.2.20B FINANCIAL PRODUCTS QUOTED ON AUSTRALIAN STOCK EXCHANGE LIMITED
- Division 6 - Self-listing
- REGULATION 10.2.21 STATUS OF ARRANGEMENTS FOR SELF-LISTING
- REGULATION 10.2.22 STATUS OF EXEMPTION RELATING TO SELF-LISTING
- Division 7 - Decisions about membership of futures exchange
- REGULATION 10.2.23 STATUS OF NOTICE TO APPLICANT
- REGULATION 10.2.24 STATUS OF NOTICE TO ASIC
- Division 8 - National Guarantee Fund
- REGULATION 10.2.25 STATUS OF CLAIM AGAINST THE NATIONAL GUARANTEE FUND
- REGULATION 10.2.26 ENTITLEMENT TO MAKE CLAIM AGAINST THE NATIONAL GUARANTEE FUND
- REGULATION 10.2.27 STATUS OF FUTURE CLAIM AGAINST THE NATIONAL GUARANTEE FUND
- REGULATION 10.2.27A EXPENDITURE OF EXCESS FUNDS FROM NATIONAL GUARANTEE FUND
- Division 9 - Claims against fidelity funds
- REGULATION 10.2.28 STATUS OF CLAIM AGAINST FIDELITY FUND
- REGULATION 10.2.29 ENTITLEMENT TO MAKE CLAIM AGAINST FIDELITY FUND
- REGULATION 10.2.29A STATUS OF INCOMPLETE CLAIM AGAINST FIDELITY FUND
- REGULATION 10.2.30 STATUS OF FUTURE CLAIM AGAINST FIDELITY FUND
- Division 10 - Status of netting markets
- REGULATION 10.2.31 NETTING MARKETS
- REGULATION 10.2.32 NETTING MARKET APPROVAL GRANTED BEFORE THE FSR COMMENCEMENT
- Division 11 - Status of listed securities
- REGULATION 10.2.33 SECURITIES OF EXEMPT STOCK MARKETS
- Division 12 - Miscellaneous
- REGULATION 10.2.34 PRESERVATION OF NOMINATION OF BODY CORPORATE AS SEGC
- Division 13 - Regulated principals
- REGULATION 10.2.35 DEFINITIONS
- REGULATION 10.2.35A STREAMLINED LICENSING PROCEDURE FOR CERTAIN REGULATED PRINCIPALS
- REGULATION 10.2.36 PERSONS WHO ARE NOT COVERED BY SECTION 1433 OF THE ACT
- REGULATION 10.2.37 VARIATION OF CONDITIONS ON FINANCIAL SERVICES LICENCE
- REGULATION 10.2.38 PERSONS TAKEN TO BE REGULATED PRINCIPALS: GIVING OF INCIDENTAL ADVICE AND PREVIOUSLY EXEMPT PERSONS
- REGULATION 10.2.39 REFERENCE TO OFFER COVERED BY AUSTRALIAN FINANCIAL SERVICES LICENCE: SECTION 911A OF THE ACT
- REGULATION 10.2.40 REFERENCE TO FINANCIAL SERVICES LICENSEE: SECTION 911A OF THE ACT
- REGULATION 10.2.40A NEED FOR AN AUSTRALIAN FINANCIAL SERVICES LICENCE
- REGULATION 10.2.41 REFERENCE TO SECOND PRINCIPAL: SECTION 911B OF THE ACT
- REGULATION 10.2.42 REFERENCE TO FINANCIAL SERVICES LICENSEE: SECTION 916D OF THE ACT
- REGULATION 10.2.43 STATUS OF INSURANCE AGENT: SECTION 1436A OF THE ACT
- REGULATION 10.2.44 COMPENSATION ARRANGEMENTS IF FINANCIAL SERVICES PROVIDED TO PERSONS AS RETAIL CLIENTS: SECTION 912B OF THE ACT
- REGULATION 10.2.44A OBLIGATION TO CITE LICENCE NUMBER IN DOCUMENTS
- REGULATION 10.2.45 CONDITIONS ON ACTIVITY
- REGULATION 10.2.46 WHEN AUSTRALIAN FINANCIAL SERVICES LICENCE MAY BE GRANTED
- REGULATION 10.2.46A WHEN AUSTRALIAN FINANCIAL SERVICES LICENCE MAY BE VARIED
- REGULATION 10.2.47 DISPUTE RESOLUTION REQUIREMENTS: NO EXTERNAL DISPUTE RESOLUTION SCHEME
- REGULATION 10.2.47A MODIFICATION OF PRE-FSR AUTHORITY
- Division 14 - Financial services disclosure
- REGULATION 10.2.48 OBLIGATION TO GIVE FINANCIAL SERVICES GUIDE FOR SERVICE ARRANGED BEFORE APPLICATION OF PART 7.7 OF THE ACT
- REGULATION 10.2.48A OBLIGATION TO GIVE A FINANCIAL SERVICES GUIDE FOR A CUSTODIAL AND DEPOSITORY SERVICE
- REGULATION 10.2.49 OBLIGATION TO GIVE FINANCIAL SERVICES GUIDE IN RELATION TO EXISTING CLIENTS
- REGULATION 10.2.50 CONTENT OF FINANCIAL SERVICES GUIDE FOR AN AUTHORISED REPRESENTATIVE THAT IS A REGULATED PRINCIPAL OR A REPRESENTATIVE OF A REGULATED PRINCIPAL
- REGULATION 10.2.50A TREATMENT OF ARRANGEMENTS UNDER WHICH A PERSON CAN INSTRUCT ANOTHER PERSON TO ACQUIRE A FINANCIAL PRODUCT
- Division 15 - Other provisions relating to conduct etc
- REGULATION 10.2.51 SALE OFFERS THAT NEED DISCLOSURE
- REGULATION 10.2.52 OFFERS THAT DO NOT NEED DISCLOSURE: SMALL SCALE OFFERINGS
- REGULATION 10.2.52A OFFERS THAT DO NOT NEED DISCLOSURE
- REGULATION 10.2.53 MONEY OTHER THAN LOANS: FINANCIAL SERVICES LICENSEE WHO FORMERLY HELD DEALER'S LICENCE
- REGULATION 10.2.54 MONEY OTHER THAN LOANS: FINANCIAL SERVICES LICENSEE WHO FORMERLY HELD FUTURES BROKER'S LICENCE
- REGULATION 10.2.55 MONEY OTHER THAN LOANS: FINANCIAL SERVICES LICENSEE WHO WAS FORMERLY A REGISTERED INSURANCE BROKER
- REGULATION 10.2.56 MONEY OTHER THAN LOANS: FINANCIAL SERVICES LICENSEE WHO CEASES TO BE LICENSED
- REGULATION 10.2.57 LOAN MONEY: FINANCIAL SERVICES LICENSEE WHO FORMERLY HELD DEALER'S LICENCE
- REGULATION 10.2.58 OTHER PROPERTY OF CLIENTS: FINANCIAL SERVICES LICENSEE WHO FORMERLY HELD DEALER'S LICENCE
- REGULATION 10.2.59 OTHER PROPERTY OF CLIENTS: FINANCIAL SERVICES LICENSEE WHO FORMERLY HELD FUTURES BROKER'S LICENCE
- REGULATION 10.2.60 SPECIAL PROVISIONS RELATING TO INSURANCE: FINANCIAL SERVICES LICENSEE WHO WAS FORMERLY A REGISTERED INSURANCE BROKER
- REGULATION 10.2.61 OBLIGATION TO REPORT: FINANCIAL SERVICES LICENSEE WHO FORMERLY HELD A FUTURES BROKER'S LICENCE
- REGULATION 10.2.62 REPORTING IN RELATION TO DEALINGS IN DERIVATIVES: FINANCIAL SERVICES LICENSEE WHO FORMERLY HELD A DEALER'S LICENCE
- REGULATION 10.2.63 FINANCIAL STATEMENTS OF FINANCIAL SERVICES LICENSEE: GENERAL
- REGULATION 10.2.64 FINANCIAL STATEMENTS OF FINANCIAL SERVICES LICENSEES WHO WERE CERTAIN REGULATED PRINCIPALS
- REGULATION 10.2.65 AUDITORS: CERTAIN FINANCIAL SERVICES LICENSEE WHO FORMERLY HELD DEALER'S LICENCE
- REGULATION 10.2.66 AUDITORS: CERTAIN FINANCIAL SERVICES LICENSEES WHO HELD A FUTURES BROKER'S LICENCE
- REGULATION 10.2.67 AUDITOR'S REPORT IN CERTAIN MATTERS: FINANCIAL SERVICES LICENSEE WHO FORMERLY HELD A DEALER'S LICENCE
- REGULATION 10.2.68 AUDITOR'S REPORT ON CERTAIN MATTERS: FINANCIAL SERVICES LICENSEE WHO FORMERLY HELD A FUTURES BROKER'S LICENCE
- REGULATION 10.2.69 AUDITOR'S REPORT ON CERTAIN MATTERS: FINANCIAL SERVICES LICENSEE WHO WAS FORMERLY A REGISTERED INSURANCE BROKER
- REGULATION 10.2.70 PRIORITY TO CLIENTS' ORDERS: FINANCIAL SERVICES LICENSEE WHO HELD A DEALERS LICENCE
- REGULATION 10.2.71 SEQUENCING OF INSTRUCTIONS TO DEAL THROUGH LICENSED MARKETS: FINANCIAL SERVICES LICENSEE WHO FORMERLY HELD A FUTURES BROKERS LICENCE
- REGULATION 10.2.72 RECORDS RELATING TO INSTRUCTIONS TO DEAL THROUGH LICENSED MARKETS: FINANCIAL SERVICES LICENSEE WHO HELD A FUTURES BROKERS LICENCE
- REGULATION 10.2.73 DEALING WITH NON-LICENSEES: FINANCIAL SERVICES LICENSEE WHO HELD A DEALERS LICENCE
- REGULATION 10.2.73A ADVERTISING FOR FINANCIAL PRODUCTS
- REGULATION 10.2.73B FREEZING ACCOUNTS
- Division 16 - Product disclosure provisions for existing products during transition period
- REGULATION 10.2.74 FINANCIAL PRODUCTS IN THE SAME CLASS
- REGULATION 10.2.75 REFERENCES TO FINANCIAL SERVICES LICENSEE
- REGULATION 10.2.76 REFERENCES TO RETAIL CLIENT
- REGULATION 10.2.77 REFERENCES TO ISSUE OF PRODUCT
- REGULATION 10.2.78 REFERENCES TO PRODUCT DISCLOSURE STATEMENT: OFFER PREVIOUSLY ACCEPTED
- REGULATION 10.2.79 REFERENCES TO PRODUCT DISCLOSURE STATEMENT: MANAGED INVESTMENT PRODUCTS
- REGULATION 10.2.80 LODGMENT OF PRODUCT DISCLOSURE STATEMENT AFTER LODGMENT OF NOTICE
- REGULATION 10.2.81 ONGOING DISCLOSURE
- REGULATION 10.2.82 MONEY RECEIVED FOR FINANCIAL PRODUCT BEFORE THE PRODUCT IS ISSUED: GENERAL
- REGULATION 10.2.83 MONEY RECEIVED FOR FINANCIAL PRODUCT BEFORE THE PRODUCT IS ISSUED: REQUIREMENT BEFORE APPLICATION OF SUBSECTION 37(2) OF INSURANCE (AGENTS AND BROKERS) ACT 1984
- REGULATION 10.2.84 CONFIRMATION OF TRANSACTIONS
- REGULATION 10.2.85 DISPUTE RESOLUTION REQUIREMENTS: FINANCIAL PRODUCTS
- REGULATION 10.2.86 DISPUTE RESOLUTION REQUIREMENTS: REGULATED PRINCIPALS
- REGULATION 10.2.87 DISPUTE RESOLUTION REQUIREMENTS: NO EXTERNAL DISPUTE RESOLUTION SCHEME
- REGULATION 10.2.87A MEANING OF FINANCIAL PRODUCT ADVICE : EXEMPT DOCUMENT OR STATEMENT
- Division 17 - Arrangements relating to enforcement of matters by ASIC
- REGULATION 10.2.88 DEFINITION
- REGULATION 10.2.89 FINANCIAL SERVICES LAW
- REGULATION 10.2.90 ASIC MAY HAVE REGARD TO PRIOR CONDUCT AND EVENTS
- REGULATION 10.2.91 POWER TO ACT IN RELATION TO RELEVANT OLD LEGISLATION
- Division 18 - Specific kinds of documents in existence before FSR commencement
- REGULATION 10.2.92 BANNING ORDERS MADE BEFORE FSR COMMENCEMENT
- REGULATION 10.2.93 BANNING ORDERS MADE UNDER RELEVANT OLD LEGISLATION AFTER FSR COMMENCEMENT
- REGULATION 10.2.94 BANNING ORDERS MADE UNDER THE ACT AFTER FSR COMMENCEMENT
- REGULATION 10.2.94A PROHIBITIONS UNDER PARAGRAPHS 827(1)(d) AND 1192(1)(d) OF THE OLD CORPORATIONS ACT MADE BEFORE FSR COMMENCEMENT
- REGULATION 10.2.94B PROHIBITIONS UNDER PARAGRAPHS 827(1)(d) AND 1192(1)(d) OF THE OLD CORPORATIONS ACT MADE AFTER FSR COMMENCEMENT
- REGULATION 10.2.95 UNDERTAKINGS
- REGULATION 10.2.96 REGISTERS IN EXISTENCE BEFORE FSR COMMENCEMENT
- REGULATION 10.2.97 REGISTERS CREATED AFTER FSR COMMENCEMENT
- REGULATION 10.2.98 REGISTERS, DOCUMENTS AND THINGS KEPT BEFORE FSR COMMENCEMENT
- REGULATION 10.2.98A LICENSES, REGISTRATION, ETC IN FORCE BEFORE FSR COMMENCEMENT
- Division 19 - Extension of limitation periods
- REGULATION 10.2.99 APPLICATION OF ITEMS 111 AND 121 OF THE FINANCIAL SERVICES REFORM (CONSEQUENTIAL PROVISIONS) ACT 2001 TO AMENDMENTS OF THE AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION ACT 2001
- Division 20 - Rules for dealing with liability during transition period
- REGULATION 10.2.100 APPLICATION OF DIVISION 20
- REGULATION 10.2.101 DEFINITIONS FOR DIVISION 20
- REGULATION 10.2.102 LIABILITY OF RESPONSIBLE PERSON: GENERAL RULES
- REGULATION 10.2.103 CONDUCT BY A PERSON WHO OPERATES AS REPRESENTATIVE AND PRINCIPAL
- REGULATION 10.2.104 OPERATION OF REGULATIONS 10.2.102 AND 10.2.103
- Division 21 - Title and transfer
- REGULATION 10.2.105 LOSS OR DESTRUCTION OF CERTIFICATES
- REGULATION 10.2.106 INSTRUMENT OF TRANSFER
- REGULATION 10.2.107 TRUSTEE ETC MAY BE REGISTERED AS OWNER OF SHARES
- REGULATION 10.2.108 REGISTRATION OF TRANSFER AT REQUEST OF TRANSFEROR
- REGULATION 10.2.109 NOTICE OF REFUSAL TO REGISTER TRANSFER
- REGULATION 10.2.110 DUTIES OF COMPANY WITH RESPECT TO ISSUE OF CERTIFICATES: ALLOTMENT OF SHARES OR DEBENTURES OR MAKING INTERESTS AVAILABLE
- REGULATION 10.2.111 DUTIES OF COMPANY WITH RESPECT TO ISSUE OF CERTIFICATES: TRANSFER OF SHARES, DEBENTURES OR INTERESTS
- REGULATION 10.2.112 NOTICES RELATING TO NON-BENEFICIAL AND BENEFICIAL OWNERSHIP OF SHARES
- REGULATION 10.2.113 WHAT IS A SUFFICIENT TRANSFER OF MARKETABLE SECURITIES OR MARKETABLE RIGHTS: GENERAL
- REGULATION 10.2.114 SUFFICIENT TRANSFER BY AUTHORISED TRUSTEE CORPORATION
- REGULATION 10.2.115 DETERMINATION OF WHO HOLDS QUOTED SECURITIES FOR THE PURPOSES OF A MEETING: DETERMINATION MADE BEFORE FSR COMMENCEMENT
- Division 22 - Transitional matters under relevant old legislation: Financial Transaction Reports Act 1988
- REGULATION 10.2.116 CASH DEALER
- REGULATION 10.2.117 EXEMPT CASH TRANSACTION
- Division 23 - Transitional matters under relevant old legislation: Income Tax Assessment Act 1936
- REGULATION 10.2.118 OFFSHORE BANKING UNITS
- Division 24 - Transitional matters under relevant old legislation: Insurance Act 1973
- REGULATION 10.2.119 INSURERS CARRYING ON CLASS OF INSURANCE BUSINESS
- Division 24A - Transitional matters under relevant old legislation: Insurance (Agents and Brokers) Act 1984
- REGULATION 10.2.119A DEBTS OF BROKER IN RELATION TO PREMIUMS ETC
- REGULATION 10.2.119B DISQUALIFICATIONS MADE BEFORE FSR COMMENCEMENT
- REGULATION 10.2.119C DISQUALIFICATIONS MADE AFTER FSR COMMENCEMENT
- Division 25 - Transitional matters under relevant old legislation: Marine Insurance Act 1909
- REGULATION 10.2.120 MARINE POLICY EFFECTED THROUGH BROKER
- Division 25A - Transitional matters under relevant old legislation: Retirement Savings Accounts Regulations 1997
- REGULATION 10.2.120A CONTINUATION OF RSA REGULATIONS DURING TRANSITION PERIOD
- Division 25B - Transitional matters under relevant old legislation: Superannuation Industry (Supervision) Regulations 1994
- REGULATION 10.2.120B CONTINUATION OF SIS REGULATIONS DURING TRANSITION PERIOD
- Division 26 - Transitional matters under relevant old legislation: Superannuation (Resolution of Complaints) Act 1993
- Division 27 - Transitional matters under the Act (other than Chapter 7)
- REGULATION 10.2.122 SOLVENCY AND INSOLVENCY
- REGULATION 10.2.123 MANAGED INVESTMENT PRODUCTS HELD BY 100 OR MORE PERSONS
- REGULATION 10.2.124 WHEN A MANAGED INVESTMENT SCHEME MUST BE REGISTERED
- REGULATION 10.2.125 RESPONSIBLE ENTITY TO BE A PUBLIC COMPANY AND HOLD AN AUSTRALIAN FINANCIAL SERVICES LICENCE
- REGULATION 10.2.126 DUTIES OF OFFICERS OF RESPONSIBLE ENTITY
- REGULATION 10.2.127 VOIDABLE CONTRACTS
- REGULATION 10.2.128 SITUATIONS NOT GIVING RISE TO RELEVANT INTERESTS
- REGULATION 10.2.129 BIDDER'S STATEMENT CONTENT
- REGULATION 10.2.130 CONTINUOUS DISCLOSURE: OTHER DISCLOSING ENTITIES
- REGULATION 10.2.131 SALE OFFERS THAT NEED DISCLOSURE: SECURITIES ISSUED BEFORE FSR COMMENCEMENT
- REGULATION 10.2.132 OFFERS THAT DO NOT NEED DISCLOSURE: OFFER TO SOPHISTICATED INVESTOR THROUGH LICENSED DEALER
- REGULATION 10.2.133 PROSPECTUS CONTENT: GENERAL DISCLOSURE TEST
- REGULATION 10.2.134 PROSPECTUS CONTENT - SPECIFIC DISCLOSURES
- REGULATION 10.2.135 REGISTERS
- Division 27A - Transitional matters under other legislation
- REGULATION 10.2.135A REFERENCES TO AUTHORISED FOREIGN EXCHANGE DEALERS
- Division 28 - Retail clients and wholesale clients
- REGULATION 10.2.136 SECURITIES BEFORE THE FSR COMMENCEMENT
- REGULATION 10.2.137 INCOMPLETE FINANCIAL SERVICES
- REGULATION 10.2.138 PROFESSIONAL INVESTORS
- Division 29 - Effect on definitions in old Corporations Act of transition to licensed markets and licensed CS facilities
- REGULATION 10.2.139 APPROVED FOREIGN BANK
- REGULATION 10.2.140 ELIGIBLE EXCHANGE-TRADED OPTIONS
- REGULATION 10.2.141 FUTURES LAW
- REGULATION 10.2.142 MEMBER ORGANISATION
- REGULATION 10.2.143 NON-BROKER
- REGULATION 10.2.144 NON-DEALER
- REGULATION 10.2.145 SECURITIES LAW
- REGULATION 10.2.146 MARKETABLE PARCEL
- Division 30 - Effect on certain conduct of transition to licensed markets and licensed CS facilities
- REGULATION 10.2.147 OWN ACCOUNT DEALINGS AND TRANSACTIONS: FUTURES CONTRACTS
- REGULATION 10.2.148 CONDITIONS OF DEALERS LICENCE
- REGULATION 10.2.149 PERSONS WHO ARE NOT CLIENTS
- REGULATION 10.2.150 DEALINGS AND TRANSACTIONS ON A DEALER'S OWN ACCOUNT
- REGULATION 10.2.151 DEALER TO GIVE PRIORITY TO CLIENTS' ORDERS
- REGULATION 10.2.152 DEALERS' FINANCIAL RECORDS
- REGULATION 10.2.153 AUDITOR TO REPORT TO ASIC ON CERTAIN MATTERS
- REGULATION 10.2.154 QUALIFIED PRIVILEGE FOR AUDITOR
- REGULATION 10.2.155 COURT MAY FREEZE CERTAIN BANK ACCOUNTS OF DEALERS AND FORMER DEALERS
- REGULATION 10.2.156 INTERPRETATION - REGISTERS
- REGULATION 10.2.157 CONDITIONS OF FUTURES BROKER'S LICENCE: MEMBERSHIP OF FUTURES ORGANISATION
- REGULATION 10.2.158 FUTURES ORGANISATION TO BE INFORMED ABOUT CONDITIONS OF FUTURES BROKERS LICENCE
- REGULATION 10.2.159 LICENSEE TO NOTIFY BREACH OF LICENCE CONDITION
- REGULATION 10.2.160 REGISTER OF FUTURES LICENSEES
- REGULATION 10.2.161 EXCLUDED CLIENTS
- REGULATION 10.2.162 SEGREGATION OF CLIENT MONEY AND PROPERTY
- REGULATION 10.2.163 ACCOUNTS TO BE KEPT BY FUTURES BROKERS
- REGULATION 10.2.164 PROPERTY IN CUSTODY OF FUTURES BROKER
- REGULATION 10.2.165 AUDITOR TO REPORT TO ASIC IN CERTAIN CASES
- REGULATION 10.2.166 DEFAMATION
- REGULATION 10.2.167 POWER OF COURT TO RESTRAIN DEALINGS WITH FUTURES BROKER'S BANK ACCOUNTS
- REGULATION 10.2.168 POWER OF COURT TO RESTRAIN DEALINGS WITH FUTURES BROKER'S BANK ACCOUNTS
- REGULATION 10.2.169 SEQUENCE OF TRANSMISSION AND EXECUTION OF ORDERS
- REGULATION 10.2.170 DEALINGS BY EMPLOYEES OF FUTURES BROKERS AND FUTURES ADVISERS
- Division 31 - Effect on fundraising of transition to licensed markets and licensed CS facilities
- REGULATION 10.2.171 SALE OFFERS THAT NEED DISCLOSURE
- REGULATION 10.2.172 PROSPECTUS CONTENT - SPECIFIC DISCLOSURES
- REGULATION 10.2.173 ISSUING OR TRANSFERRING THE SECURITIES UNDER A DISCLOSURE DOCUMENT
- REGULATION 10.2.174 CHOICES OPEN TO PERSON MAKING AN OFFER IF DISCLOSURE DOCUMENT CONDITION NOT MET OR DISCLOSURE DOCUMENT DEFECTIVE
- REGULATION 10.2.175 RESTRICTIONS ON ADVERTISING AND PUBLICITY
- Division 32 - Effect on product disclosure of transition to licensed markets and licensed CS facilities
- REGULATION 10.2.176 OFFERS THAT DO NOT NEED DISCLOSURE
- REGULATION 10.2.177 PROSPECTUS CONTENT - GENERAL DISCLOSURE TEST
- REGULATION 10.2.178 PROSPECTUS CONTENT - SPECIFIC DISCLOSURES
- REGULATION 10.2.179 FUTURES BROKER TO GIVE CERTAIN INFORMATION TO PROSPECTIVE CLIENT
- Division 33 - Effect on Corporations Regulations 2001 of transition of financial service providers and transition to licensed markets and licensed CS facilities
- REGULATION 10.2.180 LICENCE CONDITIONS - INVESTMENT ADVICE TO RETAIL INVESTORS
- REGULATION 10.2.181 EXEMPTION FROM LICENSING - CERTAIN DEALINGS
- REGULATION 10.2.182 EXEMPTION FROM LICENSING - MANAGED INVESTMENT SCHEMES
- REGULATION 10.2.183 EXEMPT DEALER
- REGULATION 10.2.184 EXEMPT SECURITIES AND INTERESTS
- REGULATION 10.2.185 TRANSACTIONS IN PRESCRIBED CIRCUMSTANCES
- REGULATION 10.2.186 EXEMPTED TRANSACTION
- REGULATION 10.2.187 CHARGING BROKERAGE ON PRINCIPAL TRANSACTIONS
- REGULATION 10.2.188 EXEMPTION FROM SUBSECTION 844(2) OF OLD CORPORATIONS ACT
- REGULATION 10.2.189 EXEMPTION: PART 8.3 OF OLD CORPORATIONS ACT - CERTAIN FUTURES CONTRACTS
- REGULATION 10.2.190 EXEMPTION OF CERTAIN TRANSACTIONS FROM SUBSECTION 1206(1) OF OLD CORPORATIONS ACT
- REGULATION 10.2.191 EXEMPTION OF CERTAIN TRANSACTIONS FROM SUBSECTION 1207(1) OF THE OLD CORPORATIONS ACT
- REGULATION 10.2.192 WHICH FUTURES BROKER TO COMPLY WITH SUBSECTION 1207(1) OF OLD CORPORATIONS ACT IN RELATION TO CERTAIN TRANSACTIONS
- REGULATION 10.2.193 EXEMPTION OF CERTAIN TRANSACTIONS FROM PARAGRAPHS 1207(1)(g) AND (h) OF OLD CORPORATIONS ACT
- Division 34 - Effect on certain instruments of transition of financial service providers and transition to licensed markets and licensed CS facilities
- REGULATION 10.2.194 REFERENCES TO CERTAIN MATTERS
- Division 35 - Streamlined licensing
- REGULATION 10.2.195 SUSPENSION OR CANCELLATION OF STREAMLINED LICENCE
- Division 36 - Insurance multi-agents
- REGULATION 10.2.196 APPLICATION BY HOLDER OF QUALIFIED LICENCE
- Division 37 - Hawking of managed investment products
- REGULATION 10.2.197 HAWKING INTEREST IN MANAGED INVESTMENT SCHEME
- REGULATION 10.2.198 HAWKING FINANCIAL PRODUCT - OTHER ARRANGEMENTS
- Division 38 - Security bonds issued before FSR commencement
- REGULATION 10.2.199 SECURITY BONDS
- Division 39 - Disclosure documents
- REGULATION 10.2.200 DISCLOSURE DOCUMENTS - COOLING-OFF PERIOD
- Division 40 - Telephone monitoring during takeovers
- REGULATION 10.2.201 TELEPHONE MONITORING
- REGULATION 10.2.201A REFERENCES TO FINANCIAL SERVICES LICENSEES
- Division 41 - Requirements if Product Disclosure Statement is not in existence
- REGULATION 10.2.202 DOCUMENTS EQUIVALENT TO PRODUCT DISCLOSURE STATEMENT
- Division 42 - Dealing with money received for financial product before the product is issued
- REGULATION 10.2.203 PAYMENT OF MONEY INTO ACCOUNT
- Division 43 - Arrangements related to deposits with stock exchanges
- REGULATION 10.2.204 WITHDRAWALS FROM TRUST ACCOUNT
- Division 44 - Superannuation to which arrangements apply under the Family Law Act 1975
- REGULATION 10.2.205 APPLICATION OF AMENDMENTS
- Division 45 - Arrangements relating to certain reporting periods
- REGULATION 10.2.206 FUND INFORMATION FOR RETAIL CLIENTS FOR FINANCIAL PRODUCTS THAT HAVE AN INVESTMENT COMPONENT: SUPERANNUATION
- REGULATION 10.2.207 PERIODIC STATEMENTS FOR RETAIL CLIENTS FOR FINANCIAL PRODUCTS THAT HAVE AN INVESTMENT COMPONENT
- Division 46 - Arrangements relating to passbook accounts
- REGULATION 10.2.208 PERIODIC STATEMENTS
- REGULATION 10.2.209 CONFIRMATION OF TRANSACTIONS
- Division 47 - Agreements with unlicensed persons relating to the provision of financial services
- REGULATION 10.2.210 AGREEMENTS
- Division 48 - Arrangements for Lloyd's
- REGULATION 10.2.211 LLOYD'S
- Division 49 - Hawking of certain financial products
- REGULATION 10.2.212 HAWKING OF MANAGED INVESTMENT PRODUCTS
- Division 50 - Warrants or options to acquire issued securities
- REGULATION 10.2.213 WARRANTS OR OPTIONS TO ACQUIRE ISSUED SECURITIES
- Division 51 - Further market-related advice
- Division 52 - Winding up of fidelity funds if market ceases to operate
- REGULATION 10.2.215 WINDING UP OF FIDELITY FUNDS IF MARKET CEASES TO OPERATE
- PART 10.5 - TRANSITIONAL PROVISIONS RELATING TO THE CORPORATE LAW ECONOMIC REFORM PROGRAM (AUDIT REFORM AND CORPORATE DISCLOSURE) ACT 2004
- REGULATION 10.5.01 ADOPTION OF AUDITING STANDARDS MADE BY ACCOUNTING PROFESSION BEFORE COMMENCEMENT (ACT ss 1455(1) AND (3))
- PART 10.15 - TRANSITIONAL PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (FINANCIAL MARKET SUPERVISION) ACT 2010
- REGULATION 10.15.01 APPLICATION OF PART 10.15
- REGULATION 10.15.02 AMENDMENTS NOT TO APPLY TO CERTAIN OPERATORS OF LICENSED MARKETS
- REGULATION 10.15.03 TRANSFER OF DOCUMENTS
- REGULATION 10.15.04 NOTIFICATIONS, CONSENTS, WAIVERS, ETC
- REGULATION 10.15.05 NOTIFICATION GIVEN BY PARTICIPANT TO OPERATOR OF LICENSED MARKET
- REGULATION 10.15.06 REGISTERS
- PART 10.18 - TRANSITIONAL PROVISIONS RELATING TO CORPORATIONS AMENDMENT (FURTHER FUTURE OF FINANCIAL ADVICE MEASURES) ACT 2012
- REGULATION 10.18.01 BAN ON CONFLICTED REMUNERATION DOES NOT APPLY IN CERTAIN CIRCUMSTANCES
- PART 10.19 - TRANSITIONAL MATTERS RELATING TO MYSUPER MEASURES
- REGULATION 10.19.01 CHANGES TO PRODUCT DISCLOSURE STATEMENTS AND PERIODIC STATEMENTS
- PART 10.20 - TRANSITIONAL MATTERS RELATING TO RELEVANT PROVIDERS AND PERSONS
- PART 10.21 - APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (CENTRAL CLEARING AND SINGLE-SIDED REPORTING) REGULATION 2015
- REGULATION 10.21.01 FIRST APPLICATION OF 7.5A.73 - EXISTING PHASE 3 REPORTING ENTITIES
- PART 10.22 - APPLICATION PROVISIONS RELATED TO THE CORPORATIONS AMENDMENT (FINANCIAL SERVICES INFORMATION LODGEMENT PERIODS) REGULATION 2015
- REGULATION 10.22.01 APPLICATION OF AMENDMENT OF PARAGRAPH 7.6.04(1)(C)
- REGULATION 10.22.02 APPLICATION OF MODIFICATION OF SUBSECTIONS 916F(1) AND (3)
- PART 10.23 - APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (REMUNERATION DISCLOSURES) REGULATION 2016
- REGULATION 10.23.01 APPLICATION - REMUNERATION DISCLOSURES
- PART 10.24 - APPLICATION PROVISIONS RELATING TO THE FINANCIAL SERVICES LEGISLATION AMENDMENT (WHOLESALE MARGINING) REGULATION 2016
- REGULATION 10.24.01 APPLICATION OF REGULATIONS 7.8.01A AND 7.8.06B
- PART 10.25 - TRANSITION TO PART 3 OF THE INSOLVENCY PRACTICE SCHEDULE (CORPORATIONS)
- REGULATION 10.25.01 TRANSITION TO PART 3 OF THE INSOLVENCY PRACTICE SCHEDULE (CORPORATIONS)
- REGULATION 10.25.02 APPLICATION OF CERTAIN AMENDMENTS RELATING TO THE ENACTMENT OF THE INSOLVENCY PRACTICE SCHEDULE (CORPORATIONS)
- PART 10.25 - APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (FAIR AND SUSTAINABLE SUPERANNUATION) REGULATIONS 2017
- REGULATION 10.25.01 APPLICATION OF AMENDMENT OF SUBREGULATION 7.9.04(1)
- PART 10.26 - APPLICATION PROVISIONS RELATED TO THE CORPORATIONS AMENDMENT (CLIENT MONEY) REGULATIONS 2017
- REGULATION 10.26.01 APPLICATION OF REGULATION 7.8.02A
- PART 10.27 - TRANSITIONAL PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (PUTTING CONSUMERS FIRST - ESTABLISHMENT OF THE AUSTRALIAN FINANCIAL COMPLAINTS AUTHORITY) REGULATIONS 2018
- REGULATION 10.27.01 MEMBERSHIP OF THE AFCA SCHEME
- REGULATION 10.27.02 MEMBERSHIP OF EXISTING EXTERNAL DISPUTE RESOLUTION SCHEMES
- REGULATION 10.27.03 WRITTEN REASONS FOR INTERNAL REVIEW DECISIONS
- REGULATION 10.27.04 DISCLOSING INFORMATION ABOUT THE AFCA SCHEME
- PART 10.28 - APPLICATION PROVISIONS RELATED TO THE CORPORATIONS AMENDMENT (CLIENT MONEY REPORTING RULES ENFORCEMENT POWERS) REGULATIONS 2018
- REGULATION 10.28.01 APPLICATION - CLIENT MONEY REPORTING RULES ENFORCEMENT POWERS
- PART 10.29 - APPLICATION AND TRANSITIONAL PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (PROTECTING YOUR SUPERANNUATION PACKAGE) REGULATIONS 2019
- REGULATION 10.29.01 DEFINITIONS
- REGULATION 10.29.02 TRANSITIONAL PROVISIONS RELATING TO REGULATION 7.9.44B
- REGULATION 10.29.03 APPLICATION OF AMENDMENTS RELATING TO PRODUCT DISCLOSURE STATEMENTS
- REGULATION 10.29.04 APPLICATION OF AMENDMENTS RELATING TO PERIODIC STATEMENTS
- PART 10.30 - APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (PROPRIETARY COMPANY THRESHOLDS) REGULATIONS 2019
- REGULATION 10.30.01 APPLICATION OF AMENDMENTS - CHANGES TO PROPRIETARY COMPANY THRESHOLDS
- PART 10.31 - APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (STRENGTHENING CORPORATE AND FINANCIAL SECTOR PENALTIES) REGULATIONS 2019
- REGULATION 10.31.01 APPLICATION - OFFENCES
- PART 10.32 - APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (AFCA COOPERATION) REGULATIONS 2019
- REGULATION 10.32.01 APPLICATION - OBLIGATION TO COOPERATE WITH AFCA
- PART 10.33 - APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (ENDING GRANDFATHERED CONFLICTED REMUNERATION) REGULATIONS 2019
- REGULATION 10.33.01 APPLICATION OF END OF GRANDFATHERING ARRANGEMENTS
- REGULATION 10.33.02 APPLICATION OF RECORD KEEPING REQUIREMENTS FOR REBATE SCHEME
- PART 10.34 - APPLICATION PROVISIONS RELATED TO THE CORPORATIONS AMENDMENT (NATIONAL GUARANTEE FUND PAYMENTS) REGULATIONS 2019
- REGULATION 10.34.01 APPLICATION - CLAIMS FOR COMPENSATION PAYABLE OUT OF THE NGF
- PART 10.35 - APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (PORTFOLIO HOLDINGS DISCLOSURE) REGULATIONS 2021
- REGULATION 10.35.01 APPLICATION OF AMENDMENTS RELATING TO PORTFOLIO HOLDINGS DISCLOSURE
- PART 10.37 - APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (FINANCIAL SERVICES IMPROVED CONSUMER PROTECTION) (FUNERAL EXPENSES FACILITIES) REGULATIONS 2019
- REGULATION 10.37.01 APPLICATION OF AMENDMENT RELATING TO FUNERAL EXPENSES POLICIES
- PART 10.38 - APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (LITIGATION FUNDING) REGULATIONS 2020
- REGULATION 10.38.01 APPLICATION OF AMENDMENTS RELATING TO LITIGATION FUNDING
- PART 10.39 - APPLICATION PROVISIONS FOR THE FINANCIAL SECTOR REFORM (HAYNE ROYAL COMMISSION RESPONSE) (HAWKING OF FINANCIAL PRODUCTS) REGULATIONS 2021
- REGULATION 10.39.01 RIGHT OF RETURN AND REFUND FOR HAWKED FINANCIAL PRODUCTS
- PART 10.40 - APPLICATION PROVISIONS RELATING TO THE FINANCIAL SECTOR REFORM (HAYNE ROYAL COMMISSION RESPONSE) (REGULATION OF SUPERANNUATION) REGULATIONS 2020
- REGULATION 10.40.01 DEFINITIONS
- REGULATION 10.40.02 TRANSITIONAL PROVISION RELATING TO NON-PUBLIC OFFER FUNDS
- PART 10.41 - APPLICATION PROVISIONS RELATING TO THE FINANCIAL SECTOR REFORM (HAYNE ROYAL COMMISSION RESPONSE - BREACH REPORTING AND REMEDIATION) REGULATIONS 2021
- REGULATION 10.41.01 PROVISIONS RELATING TO CONTINUED APPLICATION OF SECTION 912D OF THE ACT
- PART 10.42 - APPLICATION PROVISIONS RELATING TO THE FINANCIAL SECTOR REFORM (HAYNE ROYAL COMMISSION RESPONSE) (2021 MEASURES NO. 1) REGULATIONS 2021
- REGULATION 10.42.01 APPLICATION OF CLAIMS HANDLING AND SETTLING SERVICES REFORMS
- PART 10.43 - APPLICATION PROVISIONS RELATING TO SIMPLIFIED LIQUIDATION PROCESS UNDER THE CORPORATIONS AMENDMENT (CORPORATE INSOLVENCY REFORMS) REGULATIONS 2020
- REGULATION 10.43.01 APPLICATION OF AMENDMENTS RELATING TO THE SIMPLIFIED LIQUIDATION PROCESS
- PART 10.45 - APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (STATUTORY MINIMUM) REGULATIONS 2021
- REGULATION 10.45.01 APPLICATION OF AMENDMENT OF PARAGRAPH 5.4.01AAA(1)(b)
- PART 10.47 - APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (LITIGATION FUNDING) REGULATIONS 2021
- REGULATION 10.47.01 APPLICATION OF AMENDMENTS RELATING TO LICENCE CONDITIONS IN RELATION TO A LITIGATION FUNDING SCHEME MENTIONED IN SUBREGULATION 7.1.04N(3)
- PART 10.48 - APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (LITIGATION FUNDING) REGULATIONS 2022
- REGULATION 10.48.01 APPLICATION OF AMENDMENTS RELATING TO LITIGATION FUNDING
- PART 10.49 - APPLICATION PROVISIONS RELATING TO SCHEDULE 1 TO THE TREASURY LAWS AMENDMENT (MODERNISING BUSINESS COMMUNICATIONS AND OTHER MEASURES) REGULATIONS 2022
- REGULATION 10.49.01 APPLICATION OF AMENDMENT TO FORM 509H (CREDITOR ' S STATUTORY DEMAND FOR PAYMENT OF DEBT)
- PART 10.50 - APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (FINANCIAL REPORTING AND AUDITING OF REGISTRABLE SUPERANNUATION ENTITIES) REGULATIONS 2023
- REGULATION 10.50.01 APPLICATION OF AMENDMENTS RELATING TO FINANCIAL REPORTING AND AUDITING OF REGISTRABLE SUPERANNUATION ENTITIES
- PART 10.51 - APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (PRECONTRACTUAL DISCLOSURE AND OTHER MEASURES) REGULATIONS 2023
- REGULATION 10.51.01 APPLICATION - DECISIONS APPROVING OR REFUSING TO APPROVE DOMESTIC QUALIFICATIONS
- PART 10.52 - APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (DELIVERING BETTER FINANCIAL OUTCOMES) REGULATIONS 2024
- REGULATION 10.52.01 APPLICATION - COMPLIANCE RECORDS FOR FEE DISCLOSURE STATEMENTS
- REGULATION 10.52.02 APPLICATION - CONTRAVENTIONS RELATING TO ONGOING FEE ARRANGEMENTS
- REGULATION 10.52.03 APPLICATION - CONTRAVENTIONS RELATING TO WEBSITE DISCLOSURE INFORMATION
- REGULATION 10.52.04 APPLICATION - REPEAL OF BENEFITS FOR EMPLOYEES OF ADIs
- CHAPTER 12 - FINANCIAL SECTOR REFORM
- PART 12.1 - PRELIMINARY
- REGULATION 12.1.01 DEFINITIONS FOR CHAPTER 12
- REGULATION 12.1.02 APPLICATION OF THIS CHAPTER TO PREVIOUS GOVERNING CODES ETC
- REGULATION 12.1.03 INTERPRETATION OF APPLIED PROVISIONS
- PART 12.2 - TRANSITIONAL MATTERS - GENERAL
- Division 2 - Other matters
- REGULATION 12.2.08 LODGMENT OF CERTAIN DOCUMENTS WITH ASIC
- REGULATION 12.2.10 CERTAIN APPOINTMENTS OF AUDITORS CONTINUE
- REGULATION 12.2.12 CONVERTED SHARES
- PART 12.4 - NOTICE OF MEETINGS OF CERTAIN BODIES CORPORATE
- REGULATION 12.4.01 APPLICATION OF PART
- REGULATION 12.4.02 MODIFICATION OF CERTAIN PROVISIONS OF ACT
- REGULATION 12.4.03 MEMBERS ETC MAY ELECT TO BE NOTIFIED OF MEETINGS
- REGULATION 12.4.04 NOTICE OF MEETINGS TO BE PUBLISHED
- REGULATION 12.4.05 COPIES OF NOTICES TO BE DISPLAYED
- REGULATION 12.4.06 MEMBERS MAY REQUEST NOTICE OF MEETINGS AT ANY TIME
- REGULATION 12.4.07 RECORDS TO BE KEPT ABOUT NOTICES
- PART 12.5 - DETERMINATIONS AND DECLARATIONS IN RELATION TO CERTAIN INSTRUMENTS
- REGULATION 12.5.01 DEFINITION FOR PART 12.5
- REGULATION 12.5.02 APPLICATION, VARIATION, REVOCATION AND MODIFICATION
- REGULATION 12.5.03 EFFECT OF DETERMINATIONS AND DECLARATIONS
- REGULATION 12.5.04 PUBLICATION OF DETERMINATIONS AND DECLARATIONS
- REGULATION 12.5.05 WHEN DETERMINATIONS AND DECLARATIONS TAKE EFFECT
- REGULATION 12.5.06 INSPECTION AND PURCHASE OF COPIES OF INSTRUMENTS
- PART 12.6 - FINANCIAL REPORTING BY CERTAIN BODIES CORPORATE
- REGULATION 12.6.01 APPLICATION OF PART
- REGULATION 12.6.01A ANNUAL FINANCIAL REPORTING
- REGULATION 12.6.02 MODIFICATION OF CERTAIN PROVISIONS OF ACT
- REGULATION 12.6.03 MEMBERS ETC MAY ELECT TO RECEIVE REPORTS
- REGULATION 12.6.04 COPIES OF REPORTS TO BE AVAILABLE TO MEMBERS
- REGULATION 12.6.05 RECORDS TO BE KEPT ABOUT NOTICES
- PART 12.7 - OTHER DISCLOSURE
- Division 1 - Preliminary
- REGULATION 12.7.01 DEFINITIONS FOR PART 12.7
- REGULATION 12.7.02 DECLARATIONS BY ASIC
- Division 2 - Continued application of certain provisions
- REGULATION 12.7.03 CONTINUATION OF CERTAIN PROVISIONS OF PREVIOUS GOVERNING CODES
- REGULATION 12.7.04 CONTINUATION OF ASIC TRANSITIONAL STANDARDS
- REGULATION 12.7.05 EXEMPTION FROM, AND MODIFICATION OF, CERTAIN PROVISIONS
- REGULATION 12.7.06 CERTAIN PROVISIONS OF THE FRIENDLY SOCIETIES CODE CEASE TO APPLY TO FSR LICENSEE
- PART 12.8 - SHARES IN CERTAIN BODIES CORPORATE
- Division 1 - Preliminary
- REGULATION 12.8.02 APPLICATION OF PART 12.8
- REGULATION 12.8.03 MEANING OF MEMBER SHARE
- REGULATION 12.8.04 DECLARATIONS BY ASIC
- Division 2 - Member shares
- REGULATION 12.8.05 NOTICE REQUIREMENTS
- REGULATION 12.8.06 REGISTERS OF MEMBERS
- REGULATION 12.8.06A MEMBER SHARES - LIABILITY TO PAY CALLS
- REGULATION 12.8.07 DISCLOSURE IN ANNUAL RETURNS
- REGULATION 12.8.08 MEMBER SHARES - NUMBERING AND CERTIFICATES
- REGULATION 12.8.09 MEMBER SHARES - UNCLAIMED PROPERTY
- Division 3 - Certain shares in transferring building societies and credit unions
- REGULATION 12.8.10 DEFINITIONS FOR DIVISION 3
- REGULATION 12.8.11 TRANSFERRING BUILDING SOCIETIES MAY ISSUE SHARES EQUIVALENT TO MEMBERSHIP SHARES
- REGULATION 12.8.12 TRANSFERRING CREDIT UNIONS MAY ISSUE SHARES EQUIVALENT TO WITHDRAWABLE SHARES
- PART 12.9 - WINDING UP AND DEREGISTRATION OF CERTAIN TRANSFERRING FINANCIAL INSTITUTIONS
- REGULATION 12.9.01 APPLICATION OF PART 12.9
- REGULATION 12.9.02 WINDING UP
- REGULATION 12.9.03 DEREGISTRATION
- SCHEDULE 1 - LIST OF FORMS IN SCHEDULE 2
- SCHEDULE 2 - FORMS
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 1003
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- Form 509A
- SCHEDULE 2A - FORMS OF TRANSFER OF DIVISION 3 SECURITIES
- Form 1
- Form 1
- Form 1
- Form 1
- Form 1
- Form 1
- Form 1
- Form 1
- Form 1
- Form 1
- SCHEDULE 3 - SPECIFIED OFFICES
- SCHEDULE 4 - PRESCRIBED AMOUNTS
- SCHEDULE 5A - FINANCIAL REPORTING - AUSTRALIAN BANKS AND LIFE OFFICES
- SCHEDULE 5B - ANNUAL FINANCIAL REPORTS - LISTED COMPANIES
- SCHEDULE 5C - CONDUCT OF AUDITOR - RELEVANT RELATIONSHIPS
- 1 Money owed - debt
- 2 Money owed - deposit account
- 3 Public company auditor (annual appointments at AGMs to fill vacancies)
- SCHEDULE 6 - AVAILABILITY OF NAMES
- PART 1 - RULES FOR ASCERTAINING WHETHER NAMES ARE IDENTICAL
- SECTION 6101.
- PART 2 - NAMES UNACCEPTABLE FOR REGISTRATION
- SECTION 6201 - 6202.
- SECTION 6203.
- SECTION 6204.
- SECTION 6205.
- SECTION 6206 - 6208.
- PART 3 - RESTRICTED WORDS AND PHRASES Column 1 Item Column 2
- PART 4 - CONSENT REQUIRED TO USE RESTRICTED WORDS AND PHRASES Column 1
- PART 5 - NAMES RELATING TO FINANCIAL INSTITUTIONS FOR USE OF WHICH CONSENT I
- SCHEDULE 7 - EXEMPTIONS FROM REQUIREMENTS TO SET OUT CERTAIN CORPORATE PARTICULARS
- 7001 Definitions for Schedule 7
- 7002 Exemption for certain IATA documents
- 7003 Exemption for bills of lading and sea waybills
- 7004 Exemptions - quotation of ACNs and ARBNs
- SCHEDULE 7A - CONTENT OF ANNUAL TRANSPARENCY REPORT
- PART 1 - INTERPRETATION FOR SCHEDULE 7A
- 7A101 Interpretation
- PART 2 - PRESCRIBED INFORMATION FOR AUDIT FIRM OR AUTHORISED AUDIT COMPANY
- PART 3 - PRESCRIBED INFORMATION FOR INDIVIDUAL AUDITOR Item Information
- SCHEDULE 8 - SCHEMES OF ARRANGEMENT UNDER PART 5.1 OF THE ACT
- PART 1 - INTERPRETATION AND APPLICATION
- SECTION 8101.
- SECTION 8102.
- PART 2 - PRESCRIBED INFORMATION RELATING TO PROPOSED COMPROMISE OR ARRANGEMENT WITH CREDITORS OR CLASS OF CREDITORS
- SECTION 8201.
- SECTION 8202.
- SECTION 8203.
- PART 3 - PRESCRIBED INFORMATION RELATING TO PROPOSED COMPROMISE OR ARRANGEMENT WITH MEMBERS OR A CLASS OF MEMBERS
- SECTION 8301.
- SECTION 8302.
- SECTION 8303.
- SECTION 8304.
- SECTION 8305.
- SECTION 8306.
- SECTION 8307.
- SECTION 8308.
- SECTION 8309(1)
- SECTION 8310.
- PART 4 - PRESCRIBED INFORMATION RELATING TO PROPOSED COMPROMISE OR ARRANGEMENT WITH MEMBERS OR CLASS OF MEMBERS FOR TRANSFER TO A TRUSTEE
- SECTION 8401.
- SECTION 8402.
- SECTION 8403.
- SCHEDULE 8A - DEED OF COMPANY ARRANGEMENT - PRESCRIBED PROVISIONS
- 1 Administrator deemed agent of company
- 2 Powers of administrator
- 3 Termination of deed where arrangement fails
- 4 Priority
- 5 Discharge of debts
- 6 Claims extinguished
- 7 Bar to creditors ' claims
- 8 Making claims
- 9 Meetings
- 10 Lodging of accounts
- 11 Committee of inspection
- 12 Termination of deed where arrangement achieves purpose
- SCHEDULE 8AA - TRUSTEE COMPANIES
- SCHEDULE 8AB - PRESCRIBED STATE AND TERRITORY PROVISIONS FOR PARAGRAPH 601RAE(4)(a) OF THE ACT
- SCHEDULE 8AC - PRESCRIBED STATE AND TERRITORY LAWS AND PROVISIONS FOR PARAGRAPH 601RAE(4)(b) OF THE ACT - ESTATE ADMINISTRATION
- SCHEDULE 8AD - PRESCRIBED STATE AND TERRITORY LAWS AND PROVISIONS FOR PARAGRAPH 601RAE(4)(b) OF THE ACT
- SCHEDULE 8AE - RELEVANT STATE AND TERRITORY PROVISIONS
- SCHEDULE 8B - OPTION CONTRACT - PRESCRIBED INDEXES
- SCHEDULE 8C - MODIFICATIONS OF PART 7.5 OF THE ACT - COMPENSATION REGIMES
- Section 880B, definition of fidelity fund , subparagraph (b)(ii)
- Section 880B, definition of fidelity fund , after paragraph (b)
- 3 Subsection 881A(2)
- 4 Paragraph 885C(1)(b)
- Section 885D, heading
- 6 After subsection 885D(2)
- 7 Subsection 885J(1)
- Section 887A
- 9 After subsection 889J(1)
- 10 After subsection 889K(2)
- 10A After subsection 892B(1), including the note
- 11 Paragraph 892K(1)(a)
- SCHEDULE 8D - TABLES FOR REPORTING PORTFOLIO HOLDING INFORMATION
- SCHEDULE 9 - COMPANIES AUTHORISED TO EFFECT TRANSFERS UNDER PART 7.11 OF THE ACT
- SCHEDULE 10 - DISCLOSURE OF FEES AND OTHER COSTS
- PART 1 - INTERPRETATION
- 101 Definitions
- 102 Meaning of management costs
- 103 Meaning of transactional and operational costs
- 104 Meaning of indirect cost ratio (ICR)
- PART 2 - FEES AND COSTS TEMPLATE, EXAMPLE OF ANNUAL FEES AND COSTS AND CONSUMER ADVISORY WARNING FOR PRODUCT DISCLOSURE STATEMENTS
- Division 1 - The fees and costs template for superannuation products
- 201 Template for superannuation products
- Division 2 - The fees and costs template for collective investment products
- 202 Template for a multiple fee structure - collective investment products
- 202A Template for single fee structure - collective investment products
- Division 3 - How to fill in the template
- 203 The preamble
- 204 Column 2 - presentation of amounts
- 205 Column 2 - include information for each MySuper product or investment option
- 206 Presentation of multiple fee payment options
- 207 Column 3 - how and when fees and costs are payable
- 208 Other material to be included in the template
- Division 4 - Additional explanation of fees and costs
- 209 Matters to be included as additional explanation of fees and costs
- Division 4A - Defined fees for superannuation products
- 209A Defined fees for superannuation products
- Division 5 - Example of annual fees and costs
- 210 Example of annual fees and costs
- 211 Superannuation products - Example of annual fees and costs for a MySuper product
- 212 Collective investment products - Example of annual fees and costs for a balanced investment option
- 213 Defined benefit funds
- Division 6 - How to fill in the example of annual fees and costs
- 214 Fees and costs must be ongoing amounts
- 214A Example of annual fees and costs for a MySuper product - lifecycle MySuper product
- 215 Minimum entry balance rule
- 216 Exit fees
- 217 Contribution fees
- 218 Administration fees and investment fees for a superannuation product
- 218A Management costs for a collective investment product
- 219 Withdrawal fees and exit fees
- 220 If there is no generic MySuper product or balanced investment option
- Division 7 - Consumer Advisory Warning
- 221 Consumer advisory warning
- 222 Where to place the Consumer Advisory Warning
- PART 3 - FEES AND COSTS IN PERIODIC STATEMENTS
- Division 1 - Other Management Costs
- 301 Indirect costs related to investment and administration of accounts
- Division 2 - Total fees
- 302 Total of fees in the periodic statement
- Division 3 - Additional Explanation of Fees and Costs
- 303 Matters to be included as additional explanation of fees and costs
- SCHEDULE 10A - MODIFICATIONS OF PART 7.9 OF THE ACT
- PART 1 - MODIFICATIONS RELATING TO SUB-PLANS
- SECTION 1.1
- PART 2 - MODIFICATIONS RELATING TO PRODUCT DISCLOSURE STATEMENTS FOR RSAs
- SECTION 2.1
- PART 3 - MODIFICATIONS RELATING TO INSURANCE OPTIONS UNDER CONTRACT ASSOCIATED WITH SUPERANNUATION INTEREST
- SECTION 3.1
- PART 4 - MODIFICATIONS RELATING TO INSURANCE OPTIONS UNDER CONTRACT ASSOCIAT
- PART 5 - MODIFICATIONS RELATING TO FIRST HOME SAVER ACCOUNTS Pt 5 omitted by
- PART 5A - MODIFICATIONS FOR STANDARD MARGIN LENDING FACILITIES
- SECTION 5A.1
- SECTION 5A.2
- SECTION 5A.3
- SECTION 5A.4
- SECTION 5A.5
- SECTION 5A.6
- SECTION 5A.7
- PART 5B - MODIFICATIONS FOR SUPERANNUATION PRODUCTS TO WHICH SUBDIVISION 4.2B OF DIVISION 4 OF PART 7.9 APPLIES
- SECTION 5B.1
- SECTION 5B.2
- SECTION 5B.3
- SECTION 5B.4
- SECTION 5B.5
- SECTION 5B.6
- PART 5C - MODIFICATIONS FOR SIMPLE MANAGED INVESTMENT SCHEME
- SECTION 5C.1
- SECTION 5C.2
- SECTION 5C.3
- SECTION 5C.4
- SECTION 5C.5
- PART 5D - MODIFICATIONS FOR SIMPLE SUB-FUND PRODUCT
- SECTION 5D.1
- SECTION 5D.2
- SECTION 5D.3
- SECTION 5D.4
- SECTION 5D.5
- SECTION 5D.6
- PART 6 - MODIFICATIONS RELATING TO APPLICATION FORMS AND PRODUCT DISCLOSURE STATEMENTS FOR STANDARD EMPLOYER-SPONSOR ARRANGEMENTS AND SUCCESSOR FUNDS
- SECTION 6.1
- SECTION 6.2
- SECTION 6.3
- PART 6A - MODIFICATIONS RELATING TO MYSUPER MEASURES
- SECTION 6A.1
- PART 7 - MODIFICATIONS RELATING TO LIFE PENSIONERS, MEMBERS SUBJECT TO COMPULSORY PROTECTION OF SMALL AMOUNTS AND MEMBERS WITH SMALL AMOUNTS THAT ARE EXPECTED TO GROW QUICKLY
- SECTION 7.1
- PART 8 - MODIFICATIONS RELATING TO PERIODIC STATEMENTS FOR RSA PROVIDERS
- SECTION 8.1
- PART 9 - MODIFICATIONS RELATING TO PERIODIC STATEMENTS FOR SUPERANNUATION ENTITIES AND RSA PROVIDERS
- SECTION 9.1
- PART 10 - MODIFICATIONS RELATING TO ONGOING DISCLOSURE OF MATERIAL CHANGES AND SIGNIFICANT EVENTS IN RELATION TO SUPERANNUATION PRODUCTS AND RSAs
- SECTION 10.1
- SECTION 10.2
- PART 11 - MODIFICATIONS RELATING TO CHARGES FOR INFORMATION REQUESTED
- SECTION 11.1
- PART 12 - MODIFICATIONS RELATING TO INFORMATION WHEN MEMBER LEAVES A FUND
- SECTION 12.1
- SECTION 12.2
- PART 13 - MODIFICATIONS RELATING TO EXCEPTIONS TO EXIT REPORTING PERIOD PROVISIONS
- SECTION 13.1
- PART 14 - MODIFICATIONS RELATING TO OBLIGATION TO GIVE INFORMATION ABOUT FINANCIAL PRODUCTS
- SECTION 14.1
- SECTION 14.2
- SECTION 14.3
- SECTION 14.4
- PART 15 - MODIFICATIONS FOR CONFIRMATION OF TRANSACTIONS
- SECTION 15.1
- PART 16 - MODIFICATIONS RELATING TO REPORTING PERIODS
- SECTION 16.1
- PART 17 - MODIFICATIONS RELATING TO APPLICATION FORMS FOR SPECIFIED SUPERANNUATION PRODUCTS
- SECTION 17.1
- SECTION 17.2
- PART 18 - MODIFICATION OF PART 7.9 OF THE ACT - NEW ZEALAND OFFER DOCUMENTS REPLACE PRODUCT DISCLOSURE STATEMENTS WHERE AN OFFER RELATES TO INTERESTS IN A NEW ZEALAND MANAGED INVESTMENT SCHEME
- SECTION 18.1
- PART 19 - MODIFICATIONS FOR CARBON UNITS, AUSTRALIAN CARBON CREDIT UNITS AND ELIGIBLE INTERNATIONAL EMISSIONS UNITS
- SECTION 19.1
- SECTION 19.2
- SECTION 19.3
- SECTION 19.4
- SECTION 19.5
- SECTION 19.6
- SECTION 19.7
- SECTION 19.8
- SECTION 19.9
- SECTION 19.10
- SECTION 19.11
- SECTION 19.12
- SECTION 19.13
- SECTION 19.14
- SECTION 19.15
- SECTION 19.16
- SECTION 19.17
- SECTION 19.18
- SECTION 19.19
- SECTION 19.20
- SECTION 19.21
- SECTION 19.22
- SECTION 19.23
- SECTION 19.24
- SECTION 19.25
- SECTION 19.26
- SECTION 19.27
- SECTION 19.28
- SECTION 19.29
- SECTION 19.30
- SECTION 19.31
- SECTION 19.32
- SCHEDULE 10AA - MODIFICATIONS OF THE ACT IN RELATION TO THEIR APPLICATION IN RESPECT OF A RECOGNISED OFFER OR A PROPOSED OFFER OF SECURITIES THAT MAY BECOME A RECOGNISED OFFER
- PART 1 - MODIFICATION OF PART 6D.2 OF THE ACT - DISCLOSURE TO INVESTORS NOT REQUIRED FOR RECOGNISED OFFER UNDER CHAPTER 8
- SECTION 1.1
- SECTION 1.2
- PART 2 - MODIFICATION OF PART 7.9 OF THE ACT - DISCLOSURE TO INVESTORS NOT REQUIRED FOR RECOGNISED OFFER UNDER CHAPTER 8
- SECTION 2.1
- SECTION 2.2
- SECTION 2.3
- SCHEDULE 10B - FORM AND CONTENT OF PRODUCT DISCLOSURE STATEMENT FOR FHSA PRODUCT
- SCHEDULE 10BA - MODIFICATIONS OF THE ACT RELATING TO SHORT-FORM PRODUCT DISCLOSURE STATEMENTS
- PART 1 - MODIFICATIONS OF PART 7.7 OF THE ACT
- SECTION 1.1
- PART 2 - MODIFICATIONS OF PART 7.8 OF THE ACT (Repealed by FRLI No F2023L014
- PART 3 - MODIFICATIONS OF PART 7.9 OF THE ACT
- SECTION 3.1
- SECTION 3.2
- SECTION 3.3
- SECTION 3.4
- SECTION 3.5
- SECTION 3.6
- SECTION 3.7
- SECTION 3.8
- SECTION 3.9
- SECTION 3.10
- SECTION 3.11
- SECTION 3.12
- SECTION 3.13
- SECTION 3.14
- SECTION 3.15
- SECTION 3.16
- SECTION 3.17
- SECTION 3.18
- SECTION 3.19
- SECTION 3.20
- SECTION 3.21
- SECTION 3.22
- SECTION 3.23
- SECTION 3.24
- SECTION 3.25
- SECTION 3.26
- SECTION 3.27
- SECTION 3.28
- SECTION 3.29
- SECTION 3.30
- SECTION 3.31
- SECTION 3.32
- SCHEDULE 10C - FORM AND CONTENT OF PRODUCT DISCLOSURE STATEMENT - STANDARD MARGIN LENDING FACILITY
- 1 Length and font size for Product Disclosure Statement for standard margin lending facility
- 2 Minimum content of Product Disclosure Statement for standard margin lending facility
- 3 Contents of section 1 (About (name of provider of the standard margin lending facility) and (name of standard margin lending facility))
- 4 Contents of section 2 (Benefits of (name of standard margin lending facility))
- 5 Contents of section 3 (How (name of standard margin lending facility) works)
- 6 Contents of section 4 (What is a margin call?)
- 7 Contents of section 5 (The risk of losing money)
- 8 Contents of section 6 (The costs)
- 9 Contents of section 7 (How to apply)
- SCHEDULE 10D - FORM AND CONTENT OF PRODUCT DISCLOSURE STATEMENT - SUPERANNUATION PRODUCT TO WHICH SUBDIVISION 4.2B OF DIVISION 4 OF PART 7.9 APPLIES
- 1 Length and font size for Product Disclosure Statement for superannuation product
- 2 Minimum content of Product Disclosure Statement for superannuation product
- 3 Contents of section 1 (About (name of superannuation product) )
- 4 Contents of section 2 (How super works)
- 5 Contents of section 3 (Benefits of investing with (name of superannuation product))
- 6 Contents of section 4 (Risks of super)
- 7 Contents of section 5 (How we invest your money)
- 8 Contents of section 6 (Fees and costs)
- 9 Contents of section 7 (How super is taxed)
- 10 Contents of section 8 (Insurance in your super)
- 11 Contents of section 9 (How to open an account)
- SCHEDULE 10E - FORM AND CONTENT OF PRODUCT DISCLOSURE STATEMENT - SIMPLE MANAGED INVESTMENT SCHEME
- 1 Length and font size for Product Disclosure Statement for simple managed investment scheme
- 2 Minimum content of Product Disclosure Statement for simple managed investment scheme
- 3 Contents of section 1 (About (name of responsible entity))
- 4 Contents of section 2 (How (name of simple managed investment scheme) works)
- 5 Contents of section 3 (Benefits of investing in (name of simple managed investment scheme))
- 6 Contents of section 4 (Risks of managed investment schemes)
- 7 Contents of section 5 (How we invest your money)
- 8 Contents of section 6 (Fees and costs)
- 9 Contents of section 7 (How managed investment schemes are taxed)
- 10 Contents of section 8 (How to apply)
- SCHEDULE 10F - FORM AND CONTENT OF PRODUCT DISCLOSURE STATEMENT - SIMPLE SUB-FUND PRODUCTS
- 1 Length and font size for Product Disclosure Statement for simple sub-fund product
- 2 Minimum content of Product Disclosure Statement for simple sub-fund product
- 3 Contents of section 1 (About (name of corporate director))
- 4 Contents of section 2 (How (name of CCIV and sub-fund) work)
- 5 Contents of section 3 (Benefits of investing in (name of simple sub-fund product))
- 6 Contents of section 4 (Risks of simple sub-fund products)
- 7 Contents of section 5 (How we invest your money)
- 8 Contents of section 6 (Fees and costs)
- 9 Contents of section 7 (How sub-funds of CCIVs are taxed)
- 10 Contents of section 8 (How to apply)
- SCHEDULE 11 - PERSONS WHO ARE NOT COVERED BY SECTION 1433 OF THE ACT
- SCHEDULE 12 - ASIC TRANSITIONAL STANDARDS
- SECTION 1.
- SECTION 2.
- SECTION 3.
- SECTION 4.
- SCHEDULE 13 - TRANSITION TO PART 3 OF THE INSOLVENCY PRACTICE SCHEDULE (CORPORATIONS)
- 1 Section 1550 (paragraph relating to Part 3)
- 2 After section 1554
- 3 Section 1578 (paragraph relating to new external administrations)
- 4 Section 1579
- 5 Sections 1581 and 1582
- 6 Subsection 1582(1)
- 7 Section 1584
- 8 At the end of section 1586
- 9 Subsection 1588(2) (heading)
- 10 Subsection 1590(2) (heading)
- 11 At the end of section 1591
- 12 Section 1592
- 13 Section 1594
- 14 Subsection 1596(1)
- 15 Sections 1597, 1598 and 1599
- 16 At the end of section 1601
- 17 Section 1604
- 18 Section 1606
- 19 Section 1606
- 20 Section 1612
- 21 Section 1612
- 22 Section 1613
- 23 Section 1615
- 24 Section 1615
- 25 Subsection 1618(2)
- 26 Subsection 1618(2)
- 27 Subsection 1618(3)
- 28 Subsection 1618(3)
- 29 Subsection 1618(4)
- 30 Subsection 1618(4)
- 31 Subsection 1618(6)
- 32 Subsection 1618(6)
- 33 Subsection 1619(2)
- 34 Subsection 1619(2)
- 35 Subsection 1619(4)
- 36 Subsection 1619(4)
- 37 Section 1620
- 38 Section 1620
- 39 Section 1623
- 40 Subsection 1627(3)
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