Federal Register of Legislation - Australian Government

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SR 2004 No. 397 Regulations as made
These Regulations amend the Australian Securities and Investments Commission Regulations 2001.
Administered by: Treasury
Made 16 Dec 2004
Registered 06 Jan 2005
Tabled HR 08 Feb 2005
Tabled Senate 08 Feb 2005
Gazetted 23 Dec 2004
Date of repeal 09 Aug 2013
Repealed by Treasury (Spent and Redundant Instruments) Repeal Regulation 2013

Australian Securities and Investments Commission Amendment Regulations 2004 (No. 3)1

Statutory Rules 2004 No. 3972

I, PHILIP MICHAEL JEFFERY, Governor-General of the Commonwealth of Australia, acting with the advice of the Federal Executive Council, make the following Regulations under the Australian Securities and Investments Commission Act 2001.

Dated 16 December 2004

P. M. JEFFERY

Governor-General

By His Excellency’s Command

CHRIS PEARCE


Contents

                        1     Name of Regulations                                                        2

                        2     Commencement                                                              2

                        3     Amendment of Australian Securities and Investments Commission Regulations 2001   2

Schedule 1             Amendments commencing on gazettal                         3

Schedule 2             Amendments commencing on 1 January 2005              5

 


1              Name of Regulations

                These Regulations are the Australian Securities and Investments Commission Amendment Regulations 2004 (No. 3).

2              Commencement

                These Regulations commence as follows:

                 (a)     on the date of their notification in the Gazette — regulations 1 to 3 and Schedule 1;

                (b)     on 1 January 2005 — Schedule 2.

3              Amendment of Australian Securities and Investments Commission Regulations 2001

                Schedules 1 and 2 amend the Australian Securities and Investments Commission Regulations 2001.



 

Schedule 1        Amendments commencing on gazettal

(regulation 3)

  

[1]           Schedule 3, Part 1

substitute

Part 1          Australian bodies corporate

 

Item

Body Corporate

1

ASX Settlement and Transfer Corporation Pty Limited

2

Austraclear Limited

3

Australian Clearing House Pty Limited

4

Australian Stock Exchange Limited

5

Australia Pacific Exchange Limited

6

Bendigo Stock Exchange Ltd

7

Golden Circle Limited

8

ICAP Brokers Pty Limited

9

IMB Ltd

10

SFE Clearing Corporation Pty Ltd

11

Stock Exchange of Newcastle Limited

12

Sydney Futures Exchange Limited

13

Yieldbroker Pty Limited

[2]           Schedule 3, Part 2, item 22

substitute

22

Chicago Mercantile Exchange Inc (also known as ‘CME’)

United States of America

[3]           Schedule 3, Part 2, after item 27

insert

27A

EBS Service Company Limited

Switzerland

27B

Eurex Frankfurt AG

Germany

[4]           Schedule 3, Part 2, after item 31

insert

31A

ICAP Europe Limited

United Kingdom

[5]           Schedule 3, Part 2, after item 50

insert

50A

New York Mercantile Exchange Inc (also known as ‘NYMEX’)

United States of America

[6]           Schedule 3, Part 2, after item 59

insert

59A

Reuters Transaction Services Limited

United Kingdom


 

Schedule 2        Amendments commencing on 1 January 2005

(regulation 3)

  

[1]           After Part 5

insert

Part 6                 Financial Reporting Panel

48            Form for written summons (Act s 239CE)

                For a written summons under subsection 239CE (1) of the Act, Form 4 is prescribed.

[2]           Schedule 1, after Form 3

insert

Form 4        Summons to witness

(regulation 48)

Australian Securities and Investments Commission Regulations 2001

Australian Securities and Investments Commission

SUMMONS TO WITNESS

Note   Under subsection 239CE (1) of the Australian Securities and Investments Commission Act 2001 (the Act), a member of the Financial Reporting Panel (the Panel) may, by written summons in the prescribed form given to a person mentioned in subsection 239CE (2) of the Act:

(a)      require the person to appear before the Panel at Panel proceedings to give evidence, to produce specified documents or to do both; and

(b)      require the person to attend from day to day unless excused, or released from further attendance, by a member.

Under section 239CJ of the Act, failure to comply with a requirement made under subsection 239CE (1) of the Act is an offence. Under section 239CL of the Act, the Court can order a person to comply with a requirement made under subsection 239CE (1) of the Act.

 

In the matter of           1

 

To        2

 

at         3          

 

on         4          

 

you are summoned under subsection 239CE (1) of the Australian Securities and Investments Commission Act 2001 to appear before the Financial Reporting Panel

 

at         5

 

and to attend from day to day until the proceedings are completed or you are excused, or released from further attendance, by a member of the Financial Reporting Panel.

 

You are required to produce the following document(s) at the
proceedings       6           .

 

You are7/are not7 required to give oral evidence at the proceedings.

 

If you are unable to attend, give evidence or produce a document on a particular day you must give the Financial Reporting Panel written notice, including the reason you are unable to attend, give evidence or produce the document.

Dated

 

Signature of member of the Financial Reporting Panel issuing summons

 

 

1       insert description of proceedings

2       insert full name and address of the person to be summoned to appear

3       insert time of day

4       insert date

5       insert full details of the address of the place where the hearing is to be held

6       insert description of the document(s) that are to be produced at the hearing

7       strike out or delete if inapplicable

Notes

1.       These Regulations amend Statutory Rules 2001 No. 192, as amended by 2001 No. 317; 2002 Nos. 39 and 124; 2003 No. 107; 2004 Nos. 102 and 210.

2.       Notified in the Commonwealth of Australia Gazette on 23 December 2004.