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SR 2001 No. 192 Regulations as amended, taking into account amendments up to Professional Standards Scheme Legislation Amendment Regulation 2013 (No. 1)
Principal Regulations. These Regulations repeal the Australian Securities and Investments Commission Regulations 1990.
Administered by: Treasury
Registered 25 Mar 2013
Start Date 01 Mar 2013
End Date 30 Jun 2013

Commonwealth Coat of Arms

Australian Securities and Investments Commission Regulations 2001

Statutory Rules No. 192, 2001 as amended

made under the

Australian Securities and Investments Commission Act 2001 and the Corporations Act 2001

Compilation start date:                     1 March 2013

Includes amendments up to:            SLI No. 25, 2013

About this compilation

The compiled instrument

This is a compilation of the Australian Securities and Investments Commission Regulations 2001 as amended and in force on 1 March 2013. It includes any amendment affecting the compiled instrument to that date.

This compilation was prepared on 1 March 2013.

The notes at the end of this compilation (the endnotes) include information about amending Acts and instruments and the amendment history of each amended provision.

Uncommenced provisions and amendments

If a provision of the compiled instrument has not commenced or is affected by an uncommenced amendment, the text of the uncommenced provision or amendment is set out only in the endnotes.

Application provisions for amendments

If the operation of an amendment is affected by an application provision, this provision is set out in the endnotes.

Modifications

If a provision of the compiled instrument is affected by a textual modification that is in force, the text of the modifying provision is set out in the endnotes.

Provision ceasing to have effect

If a provision of the compiled instrument has expired or otherwise ceased to have effect, or is to expire or otherwise cease to have effect, in accordance with a provision of the instrument, details of the provision are set out in the endnotes.

 

  

  

  


Contents

Part 1—Preliminary                                                                                                             1

1............ Name of Regulations........................................................................... 1

1A......... Commencement................................................................................... 1

2............ Definitions.......................................................................................... 1

2A......... Territorial application of Act............................................................... 2

2AC...... Professional accounting bodies........................................................... 3

2B......... Financial products: credit facility......................................................... 3

2BA...... Declared financial product................................................................... 5

2BB....... Specific things that are not financial products—Australian carbon credit units and eligible international emissions units............................................................................................................ 5

2C......... Meaning of financial service—off‑market offers for financial products 6

2D......... Circumstances in which a person is taken to be provided a traditional trustee company service               6

2E.......... Prescribed requirements for definition of assert a right to payment... 7

2F.......... Prescribed requirements for warning statements................................. 7

Part 2—General                                                                                                                      8

3A......... Prescribed schemes (Act s 12GNA(2)(a)).......................................... 8

3............ Prescribed agencies (Act s 18(2)(d))................................................... 9

4............ Form of notice requiring assistance and appearance for examination 10

5............ Notice to produce books................................................................... 10

6............ Evidence of authority........................................................................ 10

7............ Summons to witnesses to appear before Commission...................... 10

8............ Allowances and expenses payable to examinees and witnesses........ 10

8AA...... Prescribed professional disciplinary bodies...................................... 11

8A......... Commission may disclose confidential information to certain bodies corporate       11

8B......... Prescribed body................................................................................ 11

11.......... Summons to witnesses to appear before Disciplinary Board............ 11

12.......... Allowances and expenses payable for attendance at hearings of Disciplinary Board               11

Part 3—Panel Procedures                                                                                               12

Division 1—Preliminary                                                                                            12

13.......... Objects of this Part............................................................................ 12

14.......... Application of this Part..................................................................... 12

15.......... Definitions for Part 3........................................................................ 12

16.......... Powers of Panel................................................................................ 13

Division 2—Applications                                                                                           15

18.......... Reference of matters to the Commission by the Panel....................... 15

19.......... Making of applications...................................................................... 15

20.......... Consideration of applications............................................................ 15

Division 3—Decisions to conduct proceedings                                              16

21.......... Notice of decision............................................................................. 16

22.......... Decision to hold inquiry.................................................................... 16

Division 4—Submissions                                                                                            18

23.......... Expressions of interest by non‑parties.............................................. 18

24.......... Panel may accept submissions from persons expressing interest...... 18

25.......... Submissions...................................................................................... 19

26.......... Disregard of certain submissions...................................................... 19

27.......... Abuse of Panel procedures to be noted............................................. 19

28.......... Lodgment and distribution of submissions....................................... 19

30.......... Panel may invite further submissions................................................ 20

34.......... Submissions that are not lodged in time............................................ 20

Division 5—Conferences                                                                                           21

35.......... Purpose of conferences..................................................................... 21

37.......... Conduct of conferences..................................................................... 21

38.......... Procedures at conferences................................................................. 21

39.......... Addresses to the Panel at conferences............................................... 22

40.......... Witnesses.......................................................................................... 22

41.......... Misbehaviour at conferences............................................................. 23

Division 6—Other matters                                                                                       24

42.......... Summons to witnesses by the Panel................................................. 24

43.......... Allowances and expenses payable for attendances............................ 24

Part 4—Repeal of old ASIC Regulations                                                              25

44.......... Repeal of the Australian Securities and Investments Commissions Regulations 1990             25

Part 5—Clearing and settlement facilities                                                             26

45.......... Meaning of clearing and settlement facility....................................... 26

46.......... Conduct that does not constitute operating a clearing and settlement facility            26

47.......... Financial transaction reports.............................................................. 27

Part 6—Financial Reporting Panel                                                                           29

48.......... Form for written summons (Act s 239CE)....................................... 29

Schedule 1—Forms                                                                                                     30

Form 1—Notice requiring appearance at an examination or reasonable assistance in connection with an investigation                                                                                                          30

Form 2—Notice requiring the production of books                                       32

Form 3—Summons to witness                                                                                      33

Form 4—Summons to witness                                                                                      34

Schedule 2—Witnesses fees and allowances for expenses  36

Schedule 3—Bodies corporate to which information may be disclosed   37

Part 1—Australian bodies corporate                                                                       37

Part 2—Foreign bodies corporate                                                                              38

Endnotes                                                                                                                             42

Endnote 1—Legislation history                                                                             42

Endnote 2—Amendment history                                                                          44

Endnote 3—Application, saving and transitional provisions                  46

Endnote 4—Uncommenced amendments                                                        47

Endnote 5—Misdescribed amendments                                                            48

 


Note about numbering

These Regulations are made under the Australian Securities and Investments Commission Act 2001. To assist users of these Regulations, the structure and numbering of these Regulations follow, as far as possible, the pattern of the Australian Securities and Investments Commission Regulations 1990 that were made under the Australian Securities and Investments Commission Act 1989. Some gaps in the numbering of these Regulations appear because there were gaps in the numbering of the Australian Securities and Investments Commission Regulations 1990. In addition, a commencement provision that was not in the Australian Securities and Investments Commission Regulations 1990 is included in these Regulations.

Part 1Preliminary

  

1  Name of Regulations

                   These Regulations are the Australian Securities and Investments Commission Regulations 2001.

1A  Commencement

                   These Regulations commence on the same day as the Australian Securities and Investments Commission Act 2001.

2  Definitions

                   In these Regulations, unless the contrary intention appears:

Act means the Australian Securities and Investments Commission Act 2001.

Australian carbon credit unit has the same meaning as in the Carbon Credits (Carbon Farming Initiative) Act 2011.

carbon unit has the same meaning as in the Clean Energy Act 2011.

eligible international emissions unit has the same meaning as in the Australian National Registry of Emissions Units Act 2011.

Form means a form set out in Schedule 1.

2A  Territorial application of Act

             (1)  For subsection 4(2) of the Act, the Act applies in each external Territory in accordance with this regulation.

             (2)  For the Territory of Christmas Island and the Territory of Cocos (Keeling) Islands:

                     (a)  Division 2 of Part 2 of the Act applies in relation to:

                              (i)  a financial product; and

                             (ii)  a financial service; and

                     (b)  the remainder of the Act applies in relation to:

                              (i)  a superannuation product within the meaning of section 761A of the Corporations Act; and

                             (ii)  an RSA product within the meaning of section 761A of the Corporations Act; and

                            (iii)  a financial service that relates to a superannuation product within the meaning of section 761A of the Corporations Act; and

                            (iv)  a financial service that relates to an RSA product within the meaning of section 761A of the Corporations Act.

             (3)  For an external Territory other than the Territory of Christmas Island and the Territory of Cocos (Keeling) Islands, the Act applies in relation to:

                     (a)  a superannuation product within the meaning of section 761A of the Corporations Act; and

                     (b)  an RSA product within the meaning of section 761A of the Corporations Act; and

                     (c)  a financial service that relates to a superannuation product within the meaning of section 761A of the Corporations Act; and

                     (d)  a financial service that relates to an RSA product within the meaning of section 761A of the Corporations Act.

2AC  Professional accounting bodies

                   For the definition of professional accounting body
in subsection 5(1) of the Act, the following bodies are prescribed:

                     (a)  CPA Australia;

                     (b)  The Institute of Chartered Accountants in Australia;

                     (c)  National Institute of Accountants.

2B  Financial products: credit facility

             (1)  For paragraph 12BAA(7)(k) of the Act, each of the following is a credit facility:

                     (a)  the provision of credit:

                              (i)  for any period; and

                             (ii)  with or without prior agreement between the credit provider and the debtor; and

                            (iii)  whether or not both credit and debit facilities are available;

                     (b)  a facility:

                              (i)  known as a bill facility; and

                             (ii)  under which a credit provider provides credit by accepting, drawing, discounting or indorsing a bill of exchange or promissory note;

                     (c)  the provision of credit by a pawnbroker in the ordinary course of a pawnbroker’s business (being a business which is being lawfully conducted by the pawnbroker);

                     (d)  the provision of credit by the trustee of the estate of a deceased person by way of an advance to a beneficiary or prospective beneficiary of the estate;

                     (e)  the provision of credit by an employer, or a related body corporate of an employer, to an employee or former employee (whether or not it is provided to the employee or former employee with another person);

                      (f)  the provision of a mortgage that secures obligations under a credit contract (other than a lien or charge arising by operation of any law or by custom);

                     (g)  a guarantee related to a mortgage mentioned in paragraph (f);

                     (h)  a guarantee of obligations under a credit contract;

                      (i)  a facility for making non‑cash payments (within the meaning of section 763D of the Corporations Act) if payments made using the facility will all be debited to a facility mentioned in paragraphs (a) to (h).

             (2)  The provision of consumer credit insurance that includes a contract of general insurance for the Insurance Contracts Act 1984 is not a credit facility.

             (3)  In this regulation:

credit means a contract, arrangement or understanding:

                     (a)  under which:

                              (i)  payment of a debt owed by one person (a debtor) to another person (a credit provider) is deferred; or

                             (ii)  one person (a debtor) incurs a deferred debt to another person (a credit provider); and

                     (b)  including any of the following:

                              (i)  any form of financial accommodation;

                             (ii)  a hire purchase agreement;

                            (iii)  credit provided for the purchase of goods or services;

                            (iv)  a contract, arrangement or understanding for the hire, lease or rental of goods or services, other than a contract, arrangement or understanding under which:

                                        (A)  full payment is made before or when the goods or services are provided; and

                                        (B)  for the hire, lease or rental of goods—an amount at least equal to the value of the goods is paid as a deposit in relation to the return of the goods;

                             (v)  an article known as a credit card or charge card;

                            (vi)  an article, other than a credit card or a charge card, intended to be used to obtain cash, goods or services;

                           (vii)  an article, other than a credit card or a charge card, commonly issued to customers or prospective customers by persons who carry on business for the purpose of obtaining goods or services from those persons by way of a loan;

                          (viii)  a liability in respect of redeemable preference shares;

                            (ix)  a financial benefit arising from or as a result of a loan;

                             (x)  assistance in obtaining a financial benefit arising from or as a result of a loan;

                            (xi)  issuing, indorsing or otherwise dealing in a promissory note;

                           (xii)  drawing, accepting, indorsing or otherwise dealing in a negotiable instrument (including a bill of exchange);

                          (xiii)  granting or taking a lease over real or personal property;

                          (xiv)  a letter of credit.

2BA  Declared financial product

                   For paragraph 12BAA(7)(m) of the Act, a margin lending facility (within the meaning given by section 761EA of the Corporations Act) is declared to be a financial product for the purposes of subsection 12BAA(7) of the Act.

2BB  Specific things that are not financial products—Australian carbon credit units and eligible international emissions units

             (1)  For paragraph 12BAA(8)(p) of the Act:

                     (a)  an Australian carbon credit unit is not a financial product; and

                     (b)  an eligible international emissions unit is not a financial product.

             (2)  On 1 July 2012:

                     (a)  subregulation (1) ceases to apply; and

                     (b)  Australian carbon credit units and eligible international emissions units become financial products.

2C  Meaning of financial service—off‑market offers for financial products

                   For paragraph 12BAB(1)(h) of the Act, a person provides a financial service if:

                     (a)  the person makes an unsolicited offer to purchase a financial product from another person otherwise than through a licensed financial market; and

                     (b)  the other person acquired the financial product as a retail client.

2D  Circumstances in which a person is taken to be provided a traditional trustee company service

                   For subsection 12BAB(1B) of the Act, a person who is one of the following:

                     (a)  a person who may request an annual information return under subregulation 5D.2.01(3) of the Corporations Regulations 2001;

                     (b)  a person who requests the preparation of a will, a trust instrument, a power of attorney or an agency arrangement;

is, in relation to an estate management function, prescribed as the person to whom the service is taken to be provided for the purpose of Division 2 of Part 2 of the Act.

2E  Prescribed requirements for definition of assert a right to payment

                   For paragraph 12BEA(1)(e) of the Act, the following requirements are prescribed:

                     (a)  the statement must include the text ‘This is not a bill. You are not required to pay any money.’;

                     (b)  the text must be the most prominent text in the document.

2F  Prescribed requirements for warning statements

                   For paragraphs 12DM(1AA)(b) and 12DMB(2)(b) of the Act, the following requirements are prescribed:

                     (a)  the warning statement must include the text ‘This is not a bill. You are not required to pay any money.’; and

                     (b)  the text must be the most prominent text in the document.

Part 2General

  

3A  Prescribed schemes (Act s 12GNA(2)(a))

                   For paragraph 12GNA(2)(a) of the Act, a scheme in the following table is prescribed:

 

Item

Scheme

Date prescribed

1

The New South Wales Bar Association Scheme, published in the New South Wales Government Gazette No. 84, 25 June 2010

1 March 2013

1A

The Law Society of New South Wales Scheme, published in the New South Wales Government Gazette No. 78, 27 July 2012

1 March 2013

2

The Law Institute of Victoria Limited Scheme, published in the Victorian Government Gazette No. G 10, 11 March 2010

1 November 2012

3

The Victorian Bar Professional Standards Scheme, consisting of:

(a) the Victorian Bar Scheme published in the Victorian Government Gazette No. G 17, 24 April 2008; and

(b) amended by:

(i) instrument published in the Victorian Government Gazette No. G 10, 11 March 2010; and

(ii) instrument published in the Victorian Government Gazette No. S 29, 7 February 2012

1 November 2012

4

The Queensland Law Society Scheme, published in the Queensland Government Gazette No. 64, 25 June  2010

1 March 2013

5

The South Australian Bar Association Inc. Scheme, published in the South Australian Government Gazette No. 76, 3 November 2011

1 March 2013

6

The Law Society of South Australia Professional Standards Scheme, published in the South Australian Government Gazette No. 76, 3 November 2011

1 March 2013

3  Prescribed agencies (Act s 18(2)(d))

                   For paragraph 18(2)(d) of the Act, each of the following agencies is prescribed:

                     (a)  the Clean Energy Regulator;

                    (aa)  the Australian Competition and Consumer Commission;

                     (b)  the Australian Prudential Regulation Authority;

                     (c)  the Australian Taxation Office;

                     (d)  the Australian Transaction Reports and Analysis Centre;

                     (e)  an authority of a State or Territory having functions and powers similar to those of the Director of Public Prosecutions;

                      (f)  the police force or service of each State and the Northern Territory;

                     (g)  the Department of Fair Trading of New South Wales;

                     (h)  the Office of Fair Trading and Business Affairs of Victoria;

                      (i)  the Office of Consumer Affairs of Queensland;

                      (j)  the Department of Consumer and Employment Protection of Western Australia;

                     (k)  the Office of Consumer and Business Affairs of South Australia;

                      (l)  the Office of Consumer Affairs and Fair Trading of Tasmania;

                    (m)  the Consumer Affairs Bureau of the Australian Capital Territory;

                     (n)  the Fair Trading Group of the Northern Territory.

4  Form of notice requiring assistance and appearance for examination

                   For subsection 19(2) of the Act, Form 1 is prescribed.

5  Notice to produce books

                   A notice under section 30, subsection 31(1) or section 32A or 33 of the Act to produce books must be in accordance with Form 2.

6  Evidence of authority

                   If:

                     (a)  a member or staff member produces a document issued by the Commission; and

                     (b)  the document states that the person is authorised by the Commission under section 34 of the Act;

the document is evidence of:

                     (c)  the authority of the person to require other persons to produce books under subsection 34(2) of the Act; and

                     (d)  any limitation on that authority that is specified in the document under that subsection.

7  Summons to witnesses to appear before Commission

                   For subsection 58(1) of the Act, Form 3 is prescribed.

8  Allowances and expenses payable to examinees and witnesses

                   For subsections 89(1) and (2) of the Act, a person who appears:

                     (a)  for examination under section 19 of the Act; or

                     (b)  in accordance with a summons issued under section 58 of the Act;

is entitled to be paid allowances and expenses in accordance with Schedule 2.

8AA  Prescribed professional disciplinary bodies

                   For paragraph 127(4)(d) of the Act, the following professional bodies are prescribed:

                     (a)  The Institute of Chartered Accountants in Australia;

                     (b)  CPA Australia;

                     (c)  National Institute of Accountants.

8A  Commission may disclose confidential information to certain bodies corporate

                   The bodies corporate listed in Schedule 3 are specified for subsection 127(4C) of the Act.

8B  Prescribed body

                   For subparagraph 203(1B)(b)(ii) of the Act, the Insolvency Practitioners Association of Australia is prescribed.

11  Summons to witnesses to appear before Disciplinary Board

                   If a person is summoned under subsection 217(1) of the Act, the summons must be in accordance with Form 3.

12  Allowances and expenses payable for attendance at hearings of Disciplinary Board

                   For subsection 218(4) of the Act, a person who attends at a hearing in accordance with a summons issued under subsection 217(1) of the Act is entitled to be paid allowances and expenses in accordance with Schedule 2.

Part 3Panel Procedures

Division 1Preliminary

13  Objects of this Part

                   The objects of this Part are to ensure that Panel proceedings are:

                     (a)  as fair and reasonable; and

                     (b)  conducted with as little formality; and

                     (c)  conducted in as timely manner;

as the requirements of this Part and the corporations legislation (other than the excluded provisions), and a proper consideration of the matters before the Panel, permit.

14  Application of this Part

                   This Part applies to Panel proceedings in addition to the requirements of the corporations legislation (other than the excluded provisions) that applies to the proceedings.

15  Definitions for Part 3

                   In this Part:

application means an application under section 656A, 657C or 657EA of the Corporations Act 2001.

brief, in relation to Panel proceedings, means the brief for the proceedings that is mentioned in paragraph 20(b).

business day, in relation to a place, means any day except:

                     (a)  a Saturday or a Sunday; or

                     (b)  a day that is a public holiday or an Australian Public Service holiday in that place.

party means a party to Panel proceedings.

submission means a submission lodged with the Panel under a provision of this Part.

16  Powers of Panel

             (1)  In addition to any other provision of this Part, the Panel may:

                     (a)  direct that 2 or more related matters are to be considered in Panel proceedings; and

                     (b)  identify the issues to be considered by the Panel in its proceedings; and

                     (c)  give directions to a person about:

                              (i)  the manner in which a matter may be presented, either orally or in writing, to the Panel; and

                             (ii)  the duration of the time in which the person may address the Panel or give evidence in Panel proceedings; and

                     (d)  give directions to parties to lodge with the Panel specified documents relating to Panel proceedings; and

                     (e)  give directions to persons about the time at or before which documents must be lodged with the Panel; and

                      (f)  extend the time at or before which documents must be lodged with the Panel; and

                     (g)  invite a person who is not a party to make a submission in relation to Panel proceedings; and

                     (h)  permit a person to amend or withdraw information or evidence given to, or a document lodged with, the Panel for the purposes of Panel proceedings; and

                      (i)  direct that Panel proceedings be suspended for a period determined by the Panel; and

                      (j)  direct that Panel proceedings be deferred until a day determined by the Panel.

             (2)  In the performance of its functions and the exercise of its powers in relation to Panel proceedings, the Panel:

                     (a)  is not bound by the rules of evidence; and

                     (b)  must consider all relevant information contained in:

                              (i)  a submission that is lodged with the Panel; and

                             (ii)  other evidence that is given to the Panel; and

                     (c)  must act:

                              (i)  as fairly and reasonably; and

                             (ii)  with as little formality; and

                            (iii)  having regard to the time available before the decision must be made, in as timely a manner;

                            as the requirements of this Part, and the corporations legislation (other than the excluded provisions), and a proper consideration of the matters before the Panel permit.

Division 2Applications

18  Reference of matters to the Commission by the Panel

             (1)  The Panel may refer a matter to the Commission for the Commission to consider with a view to making an application.

             (2)  If the Panel refers a matter to the Commission, the reference must be made:

                     (a)  in writing; and

                     (b)  in sufficient detail to allow the Commission to make a decision about the matter.

19  Making of applications

                   An application to the Panel must be in the form approved by the Panel.

20  Consideration of applications

                   As soon as practicable after receiving an application, the Panel must:

                     (a)  decide whether to conduct proceedings in relation to the application; and

                     (b)  if the Panel decides to conduct proceedings—prepare a brief setting out:

                              (i)  a general description of the matters to be examined in the Panel proceedings; and

                             (ii)  the issues to be addressed in submissions for the proceedings.

Division 3Decisions to conduct proceedings

21  Notice of decision

             (1)  If the Panel decides, under regulation 20, to conduct proceedings, the Panel must, as soon as practicable after making the decision, notify the decision to:

                     (a)  the Commission; and

                     (b)  each company to which, or person to whom, the relevant application relates.

             (2)  If the Panel decides, under regulation 20, not to conduct proceedings, the Panel must, as soon as practicable after making the decision:

                     (a)  notify the decision to the Commission; and

                     (b)  notify the decision to each company and person to whom the relevant application relates; and

                     (c)  include in each notice the reasons for the decision.

22  Decision to hold inquiry

             (1)  If the Panel decides to conduct proceedings, it must, after receiving the application:

                     (a)  give a copy of the brief for the proceedings to:

                              (i)  the Commission; and

                             (ii)  to each company to which, or person to whom, the application relates; and

                     (b)  invite each body or person mentioned in paragraph (a) to lodge with the Panel a written submission addressing the issues identified in the brief.

             (2)  If the Panel decides to conduct proceedings it may give written notice of the decision to any other body or person.

             (3)  The Panel must:

                     (a)  give a copy of the brief to the body or person; and

                     (b)  invite the body or person to lodge with the Panel a written submission addressing the issues identified in the brief that are specified in the invitation.

Division 4Submissions

23  Expressions of interest by non‑parties

             (1)  The Panel may give notice to a person, or to the public at large, of a decision by the Panel to conduct proceedings.

             (2)  A notice must include a description of the nature of the proceedings.

             (3)  A notice may invite a person who is not a party to the proceedings to give, within a time allowed by the Panel, a written expression of interest in the proceedings:

                     (a)  stating the nature of the interest of the person in the proceedings; and

                     (b)  setting out the reasons why the Panel should consider a written submission of the person in relation to the proceedings.

             (4)  The Panel may, by written notice to the person, vary the period mentioned in subregulation (3).

24  Panel may accept submissions from persons expressing interest

             (1)  As soon as practicable after the Panel receives the expression of interest of a person, the Panel must acknowledge the receipt in writing.

             (2)  If the Panel decides to consider the written submission of a person in the proceedings, the Panel must give to the person a copy of the brief for the proceedings.

             (3)  The Panel must invite the person to lodge with the Panel a written submission addressing the issues identified in the brief.

             (4)  If the Panel decides not to consider any written submission of the person in the proceedings, the Panel must inform the person of the decision and of the reasons for the decision.

25  Submissions

                   A submission made by a person to proceedings of the Panel must:

                     (a)  be in the form approved by the Panel; and

                     (b)  if the Panel has given to the person a copy of the brief and invited the person to comment on an issue identified in the brief, address that issue.

26  Disregard of certain submissions

             (1)  The Panel may disregard any matter in a submission that:

                     (a)  is not in accordance with regulation 25; or

                     (b)  is frivolous or vexatious.

             (2)  The Panel must disregard any matter in a submission that is not relevant to the proceedings.

27  Abuse of Panel procedures to be noted

                   If a matter in a written submission made to the Panel is frivolous or vexatious, the Panel must place on the submission a note stating:

                     (a)  that the Panel has disregarded the matter in accordance with paragraph 26(1)(b); and

                     (b)  the reasons why the Panel believes the matter to be frivolous or vexatious.

28  Lodgment and distribution of submissions

             (1)  A submission for Panel proceedings must be lodged with the Panel within the time allowed by the Panel.

             (2)  As soon as practicable after the Panel receives a submission, the Panel must give a copy of the submission to each party.

             (3)  A party who receives a copy of a submission relating to an application (the first submission) may lodge with the Panel no more than 1 submission that:

                     (a)  rebuts a matter, or matters, in the first submission; and

                     (b)  does not include material that is not necessary to support the rebuttal.

             (5)  A submission lodged with the Panel is taken not to include any additional material that is not lodged at the same time as the submission.

30  Panel may invite further submissions

             (1)  At any time during Panel proceedings, the Panel may request a party to lodge with the Panel a submission that addresses a matter specified in the request.

             (2)  The Panel may give a copy of the submission to each party.

             (3)  The Panel may direct a party who receives a copy of a submission (the first submission) to lodge, at or before a time specified in writing by the Panel, with the Panel not more than 1 submission that:

                     (a)  rebuts a matter, or matters, in the first submission; and

                     (b)  does not include material that is not necessary to support the rebuttal.

34  Submissions that are not lodged in time

                   If a person does not lodge a document with the Panel by the time of lodgment specified in this Part for the document, the Panel may continue with the proceedings without regard to the document.

Division 5Conferences

35  Purpose of conferences

             (1)  The Panel may conduct a conference during Panel proceedings to:

                     (a)  clarify matters arising from documents in the possession of the Panel relating to the proceedings; or

                     (b)  resolve inconsistent statements:

                              (i)  in documents in the possession of the Panel relating to the proceedings; or

                             (ii)  made orally to the Panel; or

                     (c)  otherwise inform itself on matters relating to the proceedings.

             (2)  For the purposes of these Regulations, a conference is taken to be part of Panel proceedings.

37  Conduct of conferences

             (1)  The President may convene a conference.

             (2)  The President:

                     (a)  must determine the place where, and the time when, a conference is to convene; and

                     (b)  must give written notice of that time and place to each party.

38  Procedures at conferences

             (1)  As soon as practicable before a conference, the Panel must give to a person who may attend the conference a statement setting out:

                     (a)  the matters which the Panel proposes to raise at the conference; and

                     (b)  any other matter of which the Panel wishes the person to be aware for the purposes of the conference.

             (2)  At a conference with a person, the Panel is not obliged to consider matters that are not set out in the statement given to the person before the conference.

             (3)  The Panel must make and retain a transcript of the proceedings of a conference.

             (4)  If a person who may attend a conference does not attend:

                     (a)  the Panel may conduct the conference in the absence of the person; and

                     (b)  the person may, before the day on which the conference begins, lodge with the Panel any written submission that addresses the matters set out in the statement mentioned in subregulation (1); and

                     (c)  the Panel must consider the submission in the proceedings.

39  Addresses to the Panel at conferences

             (1)  A person who attends a conference may address the Panel.

             (2)  Subject to subregulation (3), the address of a person to the Panel must only deal with matters set out in the statement given by the Panel under subregulation 38(1) for the purposes of the conference.

             (3)  If the Panel invites a person at a conference to address the Panel on a matter, the person may address the Panel on the matter at the conference.

40  Witnesses

             (1)  At a conference, a person must not ask a witness about a matter unless it is a matter on which the person may address the Panel in accordance with regulation 39.

             (2)  A witness must not make a statement on a matter at a conference unless it is a matter on which the witness, or the person who called the witness to give evidence, may address the Panel in accordance with regulation 39.

41  Misbehaviour at conferences

                   The Panel may exclude from a conference a person whose behaviour has a disruptive effect on the conference.

Division 6Other matters

42  Summons to witnesses by the Panel

                   For subsection 192(1) of the Act (which provides for the summons of a person by the Panel), Form 3 is prescribed.

43  Allowances and expenses payable for attendances

                   For subsection 192(6) of the Act (which provides for allowances and expenses to be paid in relation to Panel proceedings), a person who appears at Panel proceedings in response to a summons issued under section 192 of the Act is entitled to be paid allowances and expenses in accordance with Schedule 2.

Part 4Repeal of old ASIC Regulations

  

44  Repeal of the Australian Securities and Investments Commissions Regulations 1990

                   The following Statutory Rules are repealed:

·         1990 No. 454

·         1993 No. 208

·         1994 Nos. 301 and 443

·         1998 No. 294

·         1999 No. 190

·         2000 No. 10.

Note:          The Australian Securities and Investments Commission Regulations 1990 were made under Australian Securities and Investments Commission Act 1989 but are continued in effect by section 264 of the Act.

Part 5Clearing and settlement facilities

  

45  Meaning of clearing and settlement facility

                   For paragraph 12BAB(17)(b) of the Act, the following obligations are prescribed:

                     (a)  each obligation arising from a contract to transfer a financial product mentioned in paragraph 764A(1)(a) of the Corporations Act;

                     (b)  each obligation arising from a contract to transfer a financial product mentioned in paragraph 764A(1)(b) of the Corporations Act;

                     (c)  each obligation arising from acquiring or providing a financial product mentioned in paragraph 764A(1)(c) of the Corporations Act;

                     (d)  each obligation arising from a contract to transfer a financial product mentioned in paragraph 764A(1)(j) of the Corporations Act;

                     (e)  each obligation arising from a contract to transfer a financial product mentioned in paragraph 764A(1)(ba) of the Corporations Act;

                      (f)  each obligation arising from a contract to transfer a carbon unit, an Australian carbon credit unit or an eligible international emissions unit.

46  Conduct that does not constitute operating a clearing and settlement facility

             (2)  For paragraph 12BAB(18)(i) of the Act, the conduct of:

                     (a)  National Stock Exchange of Australia Limited, or an agent of that body; or

                     (b)  a participant of the National Stock Exchange of Australia Limited, or an agent of the participant; or

                     (c)  Bendigo Stock Exchange Limited, or an agent of that body; or

                     (d)  a participant of the Bendigo Stock Exchange Limited, or an agent of the participant;

in operating a facility in accordance with the operating rules of a licensed market does not constitute operating a clearing and settlement facility if the requirements of subregulation (3) are met.

             (3)  For subregulation (2), the requirements are:

                     (a)  the market licensee must have, and must be responsible for enforcing, operating rules that apply to a participant of the licensed market in relation to the participant’s obligations arising from transactions carried out on the licensed market; and

                     (b)  a participant mentioned in paragraph (a), or an agent of the participant, must be responsible for fulfilling the obligations owed to another participant or agent arising from transactions carried out on the licensed market; and

                     (c)  the market licensee is not the operator of any other clearing and settlement facility; and

                     (d)  each participant of the licensed market is not the operator of any other clearing and settlement facility; and

                     (e)  each agent of a participant of the licensed market is not the operator of any other clearing and settlement facility.

47  Financial transaction reports

                   For paragraph 243D(j) of the Act, neither subsection 16(5A) nor (5AA) of the Financial Transaction Reports Act 1988 prohibits a cash dealer from communicating or disclosing a fact or information referred to in either of those subsections:

                     (a)  to a body corporate approved under section 770 of the Corporations Act as an approved securities organisation; or

                     (b)  in accordance with conditions imposed by the Minister when approving under section 770A of the Corporations Act a stock market for electronic trading of interests in a registered scheme; or

                     (c)  in accordance with conditions imposed by the Minister when declaring a specified stock market to be an exempt stock market under section 771 of the Corporations Act; or

                     (d)  in accordance with conditions imposed by the Minister when declaring a specified futures market to be an exempt futures market under section 1127 of the Corporations Act.

Note:          Although sections 770, 770A, 771 and 1127 of the Corporations Act were repealed by the Financial Services Reform Act 2001, the sections are still relevant for specific purposes in the period of 2 years after the commencement of the Financial Services Reform Act.

Part 6Financial 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.


Schedule 1Forms

(regulation 2)

Form 1Notice requiring appearance at an examination or reasonable assistance in connection with an investigation

(regulation 4)

Australian Securities and Investment Commission Regulations 2001

Australian Securities and Investments Commission

NOTICE REQUIRING APPEARANCE AT AN EXAMINATION OR REASONABLE ASSISTANCE IN CONNECTION WITH AN INVESTIGATION

To:                                                             1

In relation to an investigation of                2

you are notified that under subsection 19(2) of the Australian Securities and Investments Commission Act 2001 (‘the Act’) you are required:

       (a)   to appear at               3 on

                                                                            4 at

                                                      5 before                            6

              for examination on oath or affirmation and to answer questions put to you in relation to the investigation; and

       (b)   to give the Australian Securities and Investments Commission all reasonable assistance in connection with the investigation.

Please note the provisions of subsection 23(1) of the Act (relating to legal representation) and section 68 of the Act (relating to self‑incrimination). The effect of those provisions is set out at the end of this form.

Dated                                      4.

Signature of person authorised

by the Commission to conduct the

examination:

 

 

NOTICE OF RELEVANT STATUTORY PROVISIONS

1.    Subsection 23(1) of the Act provides that a person who is required to submit to an examination is entitled to have his or her lawyer attend the examination. It also provides that the person’s lawyer may address the inspector or ask the person questions about matters raised with the person by the inspector.

2.    (1)   You must not fail to comply with this notice without reasonable excuse (see subsection 63(1) of the Act).

       (2)   It is not a reasonable excuse for failure to comply with this notice that giving information or signing a record or producing a book might tend to incriminate you or expose you to a penalty (see subsection 68(1) of the Act).

       (3)   However, if:

                (a)    before making an oral statement or signing a record in answer to this notice you claim that making the statement or signing the record might tend to incriminate you or expose you to a penalty; and

               (b)    making the statement or signing the record might in fact tend to incriminate you or expose you to a penalty;

       the statement, or the fact that you have signed the record, is not admissible in evidence in any criminal proceedings, or proceedings for the imposition of a penalty, against you other than proceedings in respect of the falsity of the statement or the record.

(4)   The right to make a claim of this kind is not available to a body corporate (see subsections 68(2) and (3) of the Act).

 

1       insert full name and address of the person to whom the notice is to be given

2       insert the nature of the matter to which the investigation relates

3       insert time of day

4       insert date

5       insert full particulars of the address of the place at which the requirement is to be satisfied

6       insert full name of the person conducting the examination

Form 2Notice requiring the production of books

(regulation 5)

Australian Securities and Investment Commission Regulations 2001

Australian Securities and Investments Commission

NOTICE REQUIRING THE PRODUCTION OF BOOKS

To:                                                                    1

In relation to                                              2

you are notified that, under section 303/subsection 31(1)3/section 32A3/section 333 of the Australian Securities and Investments Commission Act 2001 you are required to produce to

                                                                         4 at                                          5

on                                                                   6 at                                             7

the following books:

                                                                  8

Dated                                      6.

Signature of the person requiring

the production of books:

 

1       insert full name and address of the person to whom the notice is to be given

2       insert the nature of the matter to which the request for production of books relates

3       strike out or delete if inapplicable

4       insert the full name of the person to whom the books are to be produced

5       insert time of day

6       insert date

7       insert full particulars of the address of the place at which the books are to be produced

8       insert description(s) of the books that are to be produced

Form 3Summons to witness

(regulations 7, 11 and 42)

Australian Securities and Investment Commission Regulations 2001

Australian Securities and Investments Commission

SUMMONS TO WITNESS

In the matter of                            1

To:                                                                  2

at                                 4you are summoned to appear before the Australian Securities and Investments Commission3/Takeovers Panel3/Companies Auditors and Liquidators Disciplinary Board3

 

on                                                            5

at                                                                              6 and thereafter to attend from day to day until the hearing in this matter is completed or you are excused or released from further attendance by a member of the Commission3/ Panel3/Board3.

3You are required to produce the following document(s) at the hearing:

                                                              7

Dated                                           4.

Signature of person authorised by

the Commission3/Panel3/Board3 to issue summons:

 

1       insert description of matter

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

3       strike out or delete if inapplicable

4       insert time of day

5       insert date

6       insert full particulars of the address of the place where the hearing is to be held

7       insert description(s) of the documents that are to be produced at the hearing

Form 4Summons 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

Schedule 2Witnesses fees and allowances for expenses

(regulations 8, 12 and 43)

  

              1.  A person summoned to appear as a witness, because of his or her professional, scientific or other special skill or knowledge, before the Commission, the Panel or the Board must be paid:

                     (a)  if the person is remunerated in his or her occupation by wages, salary or fees—an amount equal to the amount of wages, salary or fees not paid to the person because of his or her attendance for that purpose; and

                     (b)  in any other case—an amount of not less than $81, or more than $407, for each day on which he or she so attends.

              2.  A person summoned to appear as a witness, other than a witness referred to in item 1, before the Commission, the Panel or the Board must be paid:

                     (a)  if the person is remunerated in his or her occupation by wages, salary or fees—an amount equal to the amount of wages, salary or fees not paid to the person because of his or her attendance for that purpose; and

                     (b)  in any other case—an amount of not less than $46, or more than $76, for each day on which he or she so attends.

              3.  A person summoned to appear as a witness before the Commission, the Panel or the Board must be paid a reasonable amount for allowances for:

                     (a)  transport between the usual place of residence of the person and the place that he or she attends for that purpose; and

                     (b)  if he or she is required to be absent overnight from his or her usual place of residence—meals and accommodation during the absence.

Schedule 3Bodies corporate to which information may be disclosed

(regulation 8A)

Part 1Australian bodies corporate

 

Item

Body Corporate

1

Asia Pacific Exchange Limited

2

ASX Clear (Futures) Pty Limited

3

ASX Clear Pty Limited

4

ASX Compliance Pty Limited

5

ASX Limited

6

ASX Operations Pty Ltd

7

ASX Settlement Pty Limited

8

Austraclear Ltd

9

Australian Securities Exchange Limited

10

BGC Partners (Australia) Pty Limited

11

Bloomberg Tradebook Australia Pty Ltd

12

Chi‑X Australia Pty Ltd

13

ICAP Brokers Pty Limited

14

IMB Ltd

15

Mercari Pty Ltd

16

National Stock Exchange of Australia Limited

17

SIM Venture Securities Exchange Ltd

18

Yieldbroker Pty Limited

Part 2Foreign bodies corporate

 

Item

Body

Location

1

American Stock Exchange Inc (also known as ‘AMEX’)

United States of America

2

Amsterdam Exchanges NV (also known as ‘AEX’)

The Netherlands

3

Athens Stock Exchange

Greece

4

Austrian Futures and Options Exchange (also known as ‘OTOB’)

Austria

5

Belgium Futures and Options Exchange (also known as ‘BELFOX’)

Belgium

6

Bolsa de Barcelona

Spain

7

Bolsa de Comercio de Buenos Aires

Argentina

8

Bolsa de Comercio de Santiago

Chile

9

Bolsa de Derivados do Porto

Portugal

10

Bolsa de Madrid

Spain

11

Bolsa de Mercadorias & Futuros

Brazil

12

Bolsa de Valores de Lima

Peru

13

Bolsa de Valores de Lima e Porto

Portugal

14

Bolsa de Valores de Rio de Janeiro

Brazil

15

Bolsa de Valores do São Paolo (also known as ‘BOVESPA’)

Brazil

16

Bolsa Mexicana de Valores

Mexico

17

Bourse de Montréal

Canada

18

Brussels Exchange (also known as ‘BXS’)

Belgium

19

Canadian Venture Exchange (also known as ‘CDNX’)

Canada

20

Chicago Board of Trade (also known as ‘CBOT’)

United States of America

21

Chicago Board Options Exchange

United States of America

22

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

United States of America

23

Chicago Stock Exchange

United States of America

24

Coffee, Sugar and Cocoa Exchange Inc (also known as ‘CSCE’)

United States of America

25

Commodity Exchange Inc (also known as ‘COMEX’)

United States of America

26

Copenhagen Stock Exchange

Denmark

27

Deutsche Börse AG

Germany

27A

EBS Service Company Limited

Switzerland

27B

Eurex Frankfurt AG

Germany

28

Eurex Zurich AG

Germany and Switzerland

29

Financiele Termijnmarket Amsterdam NV

The Netherlands

29A

FX Alliance International, LLC

United States of America

30

Helsinki Exchanges (also known as ‘HEX’)

Finland

31

Hong Kong Futures Exchange Ltd (also known as ‘HKFE’)

Hong Kong

32

Irish Stock Exchange

Republic of Ireland

33

Istanbul Stock Exchange

Turkey

34

Italian Futures Exchange (also known as ‘MIF’)

Italy

35

Italian Stock Exchange

Italy

36

Jakarta Stock Exchange

Indonesia

37

Johannesburg Stock Exchange

South Africa

38

Kansas City Board of Trade

United States of America

39

Korea Stock Exchange

South Korea

40

Kuala Lumpur Commodity Exchange (also known as ‘KLCE’)

Malaysia

41

Kuala Lumpur Options and Financial Futures Exchange

Malaysia

42

Kuala Lumpur Stock Exchange

Malaysia

43

London International Financial Futures Exchange Ltd

United Kingdom

44

London Securities and Derivatives Exchange

United Kingdom

45

London Stock Exchange

United Kingdom

46

Marche a Terme International de France (also known as ‘MATIF’)

France

47

Marche des Options Negotiable de Paris (also known as ‘MOTEP’)

France

47A

Market Regulation Services Inc.

Canada

48

Mid American Commodity Exchange

United States of America

49

NASDAQ Stock Market (also known as ‘NASDAQ’)

United States of America

50

New York Futures Exchange

United States of America

50A

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

United States of America

51

New York Stock Exchange Inc (also known as ‘NYSE’)

United States of America

52

New Zealand Futures & Options Exchange Ltd (also known as ‘NZFOE’)

New Zealand

53

New Zealand Stock Exchange

New Zealand

54

OM Stockholm Exchange AB (also known as ‘OMS’)

Sweden

55

Osaka Securities Exchange (also known as ‘OSE’)

Japan

56

Oslo Stock Exchange (also known as ‘OLSO’)

Norway

57

Paris Bourse SBF SA

France

58

Philippines Stock Exchange

The Philippines

59

Port Moresby Stock Exchange

Papua New Guinea

59A

Reuters Transaction Services Limited

United Kingdom

60

Shanghai Stock Exchange

Peoples’ Republic of China

61

Shenzen Stock Exchange

Peoples’ Republic of China

62

Singapore Exchange Ltd (also known as ‘SGX’)

Singapore

63

Société de la Bourse de Luxembourg SA

Luxembourg

64

South African Futures Exchange (also known as ‘SAFEX’)

South Africa

65

Spanish Financial Derivatives Exchange (also known as ‘MEFF’)

Spain

66

Suva Stock Exchange

Fiji

67

Swiss Exchange (also known as ‘SWX’)

Switzerland

68

Taiwan Stock Exchange

Taiwan

69

Tel Aviv Stock Exchange

Israel

69A

The London Metal Exchange Limited

United Kingdom

70

The Stock Exchange of Thailand

Thailand

71

Tokyo International Futures Exchange (also known as ‘TIFFE’)

Japan

72

Tokyo Stock Exchange (also known as ‘TSE’)

Japan

73

Toronto Futures Exchange (also known as ‘TFE’)

Canada

74

Toronto Stock Exchange (also known as ‘TSE’)

Canada

75

Warsaw Stock Exchange

Poland

76

Wiener Börse AG

Austria

 


Endnotes

 

Endnote 1—Legislation history

This endnote sets out details of the legislation history of the Australian Securities and Investments Commission Regulations 2001.

 

Number and year

Gazettal or FRLI registration date

Commencement
date

Application, saving and transitional provisions

2001 No. 192

13 July 2001

15 July 2001 (see Gazette 2001, No. S285)

 

2001 No. 317

15 Oct 2001

11 Mar 2002 (see r. 2 and Gazette 2001, No. GN42)

2002 No. 39

7 Mar 2002

(a)

2002 No. 124

14 June 2002

(b)

2003 No. 107

4 June 2003

4 June 2003

2004 No. 102

28 May 2004

28 May 2004

2004 No. 210

9 July 2004

9 July 2004

2004 No. 397

23 Dec 2004

rr. 1–3 and Schedule 1:
23 Dec 2004
Remainder: 1 Jan 2005

2006 No. 101

10 May 2006 (see F2006L01443)

11 May 2006

2007 No. 119

14 May 2007 (see F2007L01269)

15 May 2007

2007 No. 321

28 Sept 2007 (see F2007L03800)

29 Sept 2007

2007 No. 322

28 Sept 2007 (see F2007L03845)

31 Dec 2007 (see r. 2)

2010 No. 86

6 May 2010 (see F2010L01096)

6 May 2010 (see r. 2)

2010 No. 87

10 May 2010 (see F2010L01197)

1 Jan 2011

2010 No. 183

30 June 2010 (see F2010L01801)

28 June 2010 (see r. 2)

2010 No. 278

18 Nov 2010 (see F2010L03015)

1 Jan 2011

2010 No. 331

10 Dec 2010 (see F2010L03187)

13 Dec 2010 (see r. 2 and F2010L03188)

2011 No. 193

21 Oct 2011 (see F2011L02103)

31 Oct 2011

2012 No. 69

11 May 2012 (see F2012L01026)

12 May 2012

2012 No. 247

30 Oct 2012 (see F2012L02102)

1 Nov 2012

2013 No. 25

1 Mar 2013 (see F2013L00385)

1 Mar 2013

 

(a)             Regulation 2 of the Australian Securities and Investments Commission Amendment Regulations 2002 (No. 1) provides as follows:

                      2  These Regulations commence at 12.02 am (in the Australian Capital Territory) on 11 March 2002.

(b)             Regulation 2 of the Australian Securities and Investments Commission Amendment Regulations 2002 (No. 2) provides as follows:

                      2  These Regulations are taken to have commenced at 12.02 am on 11 March 2002.

 

Endnote 2—Amendment history

This endnote sets out the amendment history of the Australian Securities and Investments Commission Regulations 2001.

 

ad. = added or inserted    am. = amended    rep. = repealed    rs. = repealed and substituted    exp. = expired or ceased to have effect

Provision affected

How affected

Part 1

 

r. 2......................................

am. 2012 No. 69

r. 2A....................................

ad. 2001 No. 317

r. 2AC.................................

ad. 2004 No. 210

r. 2B....................................

ad. 2001 No. 317

r. 2BA.................................

ad. 2010 No. 87

r. 2BB..................................

ad. 2012 No. 69

r. 2C....................................

ad. 2003 No. 107

 

rs. 2010 No. 331

r. 2D....................................

ad. 2010 No. 86

r. 2E....................................

ad. 2010 No. 278

r. 2F....................................

ad. 2010 No. 278

Part 2

 

r. 3A....................................

ad. 2006 No. 101

 

am. 2012 No. 247; 2013 No. 25

r. 3......................................

am. 2001 No. 317; 2012 No. 69

r. 5......................................

am. 2001 No. 317

r. 8AA.................................

ad. 2007 No. 322

r. 8B....................................

ad. 2010 No. 183

Part 3

 

Division 1

 

r. 15....................................

am. 2001 No. 317

Part 5

 

Part 5...................................

ad. 2001 No. 317

r. 45....................................

ad. 2001 No. 317

 

am. 2012 No. 69

r. 46....................................

ad. 2001 No. 317

 

am. 2002 No. 124; 2007 No. 321

r. 47....................................

ad. 2001 No. 317

Part 6

 

Part 6...................................

ad. 2004 No. 397

r. 48....................................

ad. 2004 No. 397

Schedule 1

 

Form 2................................

am. 2001 No. 317

Form 3................................

am. 2001 No. 317

Form 4................................

ad. 2004 No. 397

Schedule 3

 

Schedule 3...........................

am. 2001 No. 317; 2002 No. 39; 2004 Nos. 102 and 397; 2007 Nos. 119 and 321; 2011 No. 193

 

Endnote 3—Application, saving and transitional provisions

This endnote sets out applications, saving and transitional provisions for amendments of the Australian Securities and Investments Commission Regulations 2001.

There are no application, saving or transitional provisions.

 

Endnote 4—Uncommenced amendments

This endnote sets out amendments of the Australian Securities and Investments Commission Regulations 2001 that have not yet commenced.

There are no uncommenced amendments.

 

 

Endnote 5—Misdescribed amendments

This endnote sets out amendments of the Australian Securities and Investments Commission Regulations 2001 that have been misdescribed.

There are no misdescribed amendments.