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Legislative Instruments
In force
Details: F2015C00847

Corporations Regulations 2001

- F2015C00847
In force - Superseded Version
View Series

SR 2001 No. 193 Regulations as amended, taking into account amendments up to Corporations Amendment (Central Clearing and Single-Sided Reporting) Regulation 2015

Principal Regulations. These Regulations repeal the Corporations Regulations 1990 and the Partnerships and Associations Application Order 1999 (No. 1)

Administered by: Treasury

Incorporated Amendments
- Corporations Amendment (Central Clearing and Single-Sided Reporting) Regulation 2015 - F2015L01411
  - sch 1, pt 2, 3

Registered	14 Oct 2015

Start Date	01 Oct 2015
End Date	26 Feb 2016

Details

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F2015C00847

Table of contents.

Volume 1

Chapter 1—Introductory

Part 1.0—Miscellaneous

1.0.01 Name of Regulations

1.0.01A Commencement

1.0.02 Interpretation

1.0.02A Prescribed financial market

1.0.03 Prescribed forms (Act s 350)

1.0.03A Documents that must be in the prescribed form

1.0.03B Documents that must be lodged with ASIC

1.0.03C Documents that must be in a form approved by ASIC

1.0.04 Directions and instructions in forms

1.0.05 Documents and information required by forms

1.0.05A Lodgment with ASIC

1.0.06 Annexures accompanying forms

1.0.07 General requirements for documents

1.0.08 Information to accompany financial documents lodged for financial years

1.0.09 Information to accompany financial documents etc lodged for half-years

1.0.10 Continuous disclosure notices

1.0.11 Certain documents to be signed by personal representatives etc

1.0.12 Form of notice of resolution

1.0.13 Time for lodging documents

1.0.14 Address of registered office or place of business

1.0.15 Affidavits and statements in writing

1.0.16 Certification and verification of certain documents

1.0.17 Documents signed or sworn in accordance with the rules

1.0.18 Prescribed provisions (Act s 53)

1.0.20 Copies of orders to be lodged

1.0.21 Identification of lodged orders

1.0.22 Territorial application of Act

Part 1.1—Prescribed amounts

1.1.01 Prescribed amounts

Part 1.2—Interpretation

Division 1—General

1.2.01 Remuneration recommendations (Act s 9B)

Part 1.2A—Disclosing entities

1.2A.01 Securities declared not to be ED securities

1.2A.02 Foreign companies issuing securities under foreign scrip offers etc exempt from disclosing entity provisions

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))

2A.1.01 Size of partnerships or associations

Part 2A.2—Change of place of registration of company (Act s 119A(3))

2A.2.01 Approval of application for change of place of registration

2A.2.02 Special resolution may be set aside by Court order

2A.2.03 Application for change of place of registration

2A.2.04 Change of place of registration

Chapter 2B—Basic features of a company

Part 2B.6—Names

2B.6.01 Availability of names (Act s 147)

2B.6.02 Consents required for use of certain letters, words and expressions

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

2C.1.01 Form of notice

Division 2C.1.2—Right to inspect and get copies of register

2C.1.02 Form of register

2C.1.03 Improper purposes for getting copy of register

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

2C.1.05 Contact with members after failure to provide copy of register

Chapter 2D—Officers and employees

Part 2D.2—Restrictions on indemnities, insurance and termination payments

Division 2D.2.2—Termination payments

2D.2.01 Meaning of base salary

2D.2.02 Meaning of benefit

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)

2D.6.01 Prescribed foreign jurisdictions (Act s 206B(7))

Part 2D.7—Ban on hedging remuneration of key management personnel

2D.7.01 Hedging arrangements (Act s 206J(3))

Chapter 2E—Related party transactions

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

2G.2.01 Authentication of appointment of proxy (Act s 250A)

Chapter 2K—Charges

Part 2K.2—Registration

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

2K.2.02 Time period for the provisional registration of charges

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

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

2M.3.01 Disclosures required by notes to consolidated financial statements—annual financial reports (Act s 295)

2M.3.03 Prescribed details (Act s 300A)

Part 2M.4—Auditor

2M.4.01A Membership designations (Act s 324BE)

2M.4.01 Notice of appointment of auditors

Part 2M.4A—Annual transparency reports for auditors

2M.4A.01 Application

2M.4A.02 Content of annual transparency report (Act s 332B)

Part 2M.6—Modification of the operation of Chapter 2M of the Act

2M.6.01 Modifications (Act s 343)

2M.6.05 Conduct of auditor—relevant relationships

Chapter 2N—Updating ASIC information about companies and registered schemes

Part 2N.2—Extract of particulars

2N.2.01 Particulars ASIC may require in an extract of particulars (Act s 346B)

Part 2N.4—Return of particulars

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

5.1.01 Prescribed information for paragraph 411(3)(b) and subparagraph 412(1)(a)(ii) of the Act

5.1.02 Giving notice under subsection 414(2) or (9) of the Act

Part 5.2—Receivers, and other controllers, of corporations

5.2.01 Controller’s notice to owner or lessor of property—how given

5.2.01 Certified copies of reports

Part 5.3A—Administration of a company’s affairs with a view to executing a deed of company arrangement

5.3A.01 Administrator’s notice of ending of administration

5.3A.02 Administrator to specify voidable transactions in statement

5.3A.03 Administrator to lodge notice of appointment

5.3A.03A Notice of first meeting of creditors

5.3A.03AB Notice of meeting to decide the company’s future

5.3A.04 Notice of change of administrator’s address

5.3A.05 Administrator’s notice to owner or lessor of property—how given

5.3A.06 Provisions included in deed of company arrangement

5.3A.06A Notice of resolution to wind up voluntarily

5.3A.06AB Notice of meeting of creditors

5.3A.07 Administrator becomes liquidator—additional cases

5.3A.07A Notice of appointment of administrator

Part 5.4—Winding up in insolvency

5.4.01 Application to Court for winding up—prescribed agency

5.4.01A Notice of application to wind up a company

5.4.02 Compromise of debt by liquidator—prescribed amount

Part 5.4C—Winding up by ASIC

5.4C.01 Notice of intention to order winding up of a company

Part 5.5—Voluntary winding up

5.5.01 Notice of resolution to wind up voluntarily

5.5.02 Notice of meeting of creditors

Part 5.6—Winding up generally

5.6.01 Matters for entry in liquidator’s or provisional liquidator’s books

5.6.02 Inspection of books kept under section 531 of the Act

5.6.06 Payment into liquidator’s general account

5.6.07 Deposit of securities

5.6.08 Delivery of securities

5.6.09 Special bank account

5.6.10 Payments out of liquidator’s general account

5.6.11 Application

5.6.11A Electronic methods of giving or sending certain notices etc

5.6.12 Notice of meeting

5.6.13 Proof of notice

5.6.13A If telephone conference facilities are available

5.6.13B Persons, or their proxies or attorneys, participating by telephone

5.6.14 Time and place of meeting

5.6.14A Advertisement of a meeting

5.6.14B Meetings not convened in accordance with regulations

5.6.15 Costs of convening meetings of creditors etc

5.6.16 Quorum

5.6.17 Chairperson

5.6.18 Adjournment of meeting

5.6.19 Voting on resolutions

5.6.20 Taking a poll

5.6.21 Carrying of resolutions after a poll has been demanded at a meeting of creditors

5.6.22 Carrying of resolution after a poll has been demanded at a meeting of contributories or members

5.6.23 Creditors who may vote

5.6.23A Voting status of persons by whom money is advanced to a company

5.6.24 Votes of secured creditors

5.6.26 Admission and rejection of proofs for purposes of voting

5.6.27 Minutes of meeting

5.6.28 Appointment of proxies

5.6.29 Form of proxies

5.6.30 Instruments of proxy

5.6.31 Proxy forms to accompany notice of meetings

5.6.31A Person may attend and vote by attorney

5.6.32 Liquidator etc may act as proxy

5.6.33 Voting by proxy if financially interested

5.6.34 Liquidator etc may appoint deputy

5.6.36 Time for lodging proxies

5.6.36A Facsimile copies of proxies

5.6.37 Establishing title to priority

5.6.39 Notice to submit particulars of debt or claim

5.6.40 Preparation of a proof of debt or claim

5.6.41 Disclosure of security

5.6.42 Discounts

5.6.43 Periodical payments

5.6.43A Debt or claim of uncertain value—appeal to Court

5.6.44 Debt discount rate (Act s 554B)

5.6.45 Employees’ wages

5.6.46 Production of bill of exchange and promissory note

5.6.47 Admission of debt or claim without formal proof

5.6.48 Notice to creditors to submit formal proof

5.6.49 Formal proof of debt or claim

5.6.50 Contents of formal proof of debt or claim

5.6.51 Costs of proof

5.6.52 Liquidator to notify receipt of proof of debt or claim

5.6.53 Time for liquidator to deal with proofs

5.6.54 Grounds of rejection and notice to creditor

5.6.55 Revocation or amendment of decision of liquidator

5.6.56 Withdrawal or variation of proof of debt or claim

5.6.57 Oaths

5.6.58 Liquidator to make out provisional list of contributories

5.6.59 Time and place for settlement of list

5.6.60 Settlement of list of contributories

5.6.61 Supplementary list

5.6.62 Notice to contributories

5.6.63 Dividend payable only on admission of a debt or claim

5.6.64 Application of regulations 5.6.37 to 5.6.57

5.6.65 Liquidator to give notice of intention to declare a dividend

5.6.66 Time allowed for dealing with formal proof of debt or claim

5.6.67 Declaration and distribution of dividend

5.6.68 Rights of creditor who has not proved debt before declaration of dividend

5.6.69 Postponement of declaration

5.6.70 Payment of dividend to a person named

5.6.70A Prescribed rate of interest on debts and claims from relevant date to date of payment

5.6.70B Notice of disclaimer

5.6.71 Distribution of surplus in a winding up by the Court

5.6.72 Distribution of surplus as directed

5.6.73 Eligible unsecured creditor

5.6.74 Interpretation: prescribed countries

5.6.75 Publication in the prescribed manner

Chapter 5B—Bodies corporate registered as companies, and registrable bodies

Part 5B.2—Registrable bodies

5B.2.01 Certified copies of certificates of incorporation etc

5B.2.02 Manner of certifying constituent documents

5B.2.03 Manner of sending letters (Act ss 601CC(2) and 601CL(3))

5B.2.04 Manner of sending notices (Act ss 601CC(3) and 601CL(4))

5B.2.05 Prescribed countries (Act s 601CDA(a))

5B.2.06 Notices (Act s 601CV(1))

Part 5B.3—Names of registrable Australian bodies and foreign companies

5B.3.01 Availability of names (Act s 601DC)

5B.3.02 Consents required for use of certain letters, words and expressions

5B.3.03 Exemptions from requirement to set out ARBN etc on certain documents (Act s 601DG)

5B.3.04 Notices (Act s 601DH (1))

Chapter 5C—Managed investment schemes

Part 5C.1—Registration of managed investment schemes

5C.1.01 Applying for registration

5C.1.02 Change of name of registered schemes

5C.1.03 Modification (Act s 601QB)

Part 5C.2—The responsible entity

5C.2.01 Duty of responsible entities’ agents—surveillance checks

5C.2.02 Appointment of temporary responsible entities

5C.2.03 Form of notices (Act ss 601FL(2) and 601FM(2))

5C.2.04 Notice of appointment of temporary responsible entities

5C.2.05 Form of notices (Act s 601FP(3))

Part 5C.4—The compliance plan

5C.4.01 Agents’ authorities to be lodged

5C.4.02 Agents to assist auditors of compliance plans

Part 5C.5—The compliance committee

5C.5.01 Responsible entities etc to assist compliance committees

Part 5C.9—Winding up

5C.9.01 Notice of commencement of winding up

Part 5C.11—Exemptions and modifications

Division 1—Exemptions

5C.11.01 Certain schemes not managed investment schemes

Division 2—Modifications

5C.11.02 Modifications

5C.11.03 Register of members of registered schemes (Act s 169(1))

5C.11.03A How to work out the value of an interest

5C.11.04 Names of registered schemes (Act s 601EB(1))

5C.11.05A Schemes not required to be registered (Act s 601ED)

5C.11.06 Liability of responsible entities (Act s 601FB(4))

Chapter 5D—Licensed trustee companies

Part 5D.1—Preliminary

5D.1.01 Prescribed requirements for publication

5D.1.01A Meaning of trustee company

5D.1.02 Meaning of traditional trustee company services and estate management functions

5D.1.03 Meaning of mortgage-backed security

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

5D.2.01 Obligation on licensed trustee company to provide an annual information return if requested

5D.2.02 Information to be included in annual information return

Division 2.2—Common funds

5D.2.03 Common funds

5D.2.04 Establishment of common funds

5D.2.05 Deciding details about common funds

5D.2.06 Operation of common funds

5D.2.07 Register of investments

5D.2.08 Financial reports

Part 5D.3—Regulation of fees charged by licensed trustee companies

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

5D.4.01 Preserving rights under dispute resolution systems and compensation arrangements

Chapter 6—Takeovers

Part 6.2—Exceptions to the prohibition

6.2.01 Prescribed circumstances (Act s 611)

6.2.02 Other prescribed circumstances (Act s 611)

Part 6.5—The takeover procedure

6.5.01 Wholesale holder of securities—telephone monitoring during bid period

Part 6.6—Variation of offers

6.6.01 Right to withdraw acceptance

Part 6.8—Acceptances

6.8.01 Acceptance of offers made under off-market bid

6.8.02 Acceptances by transferees and nominees of offers made under off-market bid

Part 6.10—Review and intervention

6.10.01 Application for review of Panel decision (Act s 657EA)

Chapter 6A—Compulsory acquisitions and buy-outs

Part 6A.1—Compulsory acquisitions and buy-outs after takeover bid

6A.1.01 Terms on which securities to be acquired

Chapter 6CA—Continuous disclosure

6CA.1.01 Continuous disclosure: other disclosing entities

Chapter 6D—Fundraising

Part 6D.2—Disclosure to investors about securities

6D.2.01 Exemption—member shares

6D.2.02 Exemption—foreign companies

6D.2.03 Sophisticated investors

6D.2.04 Simple corporate bonds—base prospectus

6D.2.05 Simple corporate bonds—offer-specific prospectus

6D.2.06 Simple corporate bonds—key financial ratios relevant to issuing body

Part 6D.5—Fundraising—miscellaneous

6D.5.01 Warrants that are securities

6D.5.02 Modification of paragraph 708(8)(c) of the Act: renewal period for accountants’ certificates

Volume 2

Chapter 7—Financial services and markets

Part 7.1—Preliminary

Division 1—General

7.1.02 Participant

7.1.03 Prescribed CS facility

7.1.03A Basic deposit products

7.1.03B Self managed superannuation funds

7.1.04 Derivatives

7.1.04A Meaning of kind of financial products (section 1012IA of the Act)

7.1.04B Meaning of class of financial products (managed investment schemes)

7.1.04C Meaning of class of financial products (superannuation products)

7.1.04CA Kinds of financial products

7.1.04D Meaning of issuer for certain derivatives

7.1.04E Issue of a new interest in a superannuation fund

7.1.04F Meaning of class of financial services (subsections 917A(3), 917C(2) and 917C(3) of the Act)

7.1.04G Meaning of issuer for a foreign exchange contract

7.1.04N Specific things that are financial products—litigation funding schemes and arrangements

7.1.05 Specific things that are not financial products: superannuation interests

7.1.06 Specific things that are not financial products: credit facility

7.1.06A Arrangements for certain financial products that are not credit facilities

7.1.06B Specific things that are not financial products: superannuation interests

7.1.07 Specific things that are not financial products: surety bonds

7.1.07A Specific things that are not financial products: rental agreements

7.1.07B Specific things that are not financial products: bank drafts

7.1.07C Specific things that are not financial products: insurance under an overseas student health insurance contract

7.1.07D Specific things that are not financial products: funeral expenses policy

7.1.07E Specific things that are not financial products: rights of the holder of a debenture

7.1.07F Specific things that are not financial products: money orders

7.1.07G Specific things that are not financial products: electronic funds transfers

7.1.07H Specific things that are not financial products: ACT insurance

7.1.07I Specific things that are not financial products—Australian carbon credit units and eligible international emissions units

7.1.07J Specific things that are not financial products—carbon abatement

7.1.08 Meaning of financial product advice: exempt document or statement

7.1.08A Modification of section 766D of the Act—free carbon units

7.1.09 Obligations related to clearing and settlement facility

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

Division 2—Retail clients and wholesale clients

7.1.11 Meaning of retail client and wholesale client: motor vehicle insurance product

7.1.12 Meaning of retail client and wholesale client: home building insurance product

7.1.13 Meaning of retail client and wholesale client: home contents insurance product

7.1.14 Meaning of retail client and wholesale client: sickness and accident insurance product

7.1.15 Meaning of retail client and wholesale client: consumer credit insurance product

7.1.16 Meaning of retail client and wholesale client: travel insurance product

7.1.17 Meaning of retail client and wholesale client: personal and domestic property insurance product

7.1.17A General insurance products: medical indemnity insurance products

7.1.17B Retail clients and wholesale clients: aggregation of amounts for price or value of financial product

7.1.17C Retail clients: traditional trustee company services

7.1.18 Retail clients and wholesale clients: price of investment-based financial products

7.1.19 Retail clients and wholesale clients: value of investment-based financial products

7.1.19A Retail clients and wholesale clients: price of margin lending facilities

7.1.20 Retail clients and wholesale clients: price of income stream financial products

7.1.21 Retail clients and wholesale clients: value of income stream financial products

7.1.22 Retail clients and wholesale clients: value of derivatives

7.1.22A Retail clients and wholesale clients: value of foreign exchange contracts

7.1.23 Retail clients and wholesale clients: price of non-cash payment financial products

7.1.24 Retail clients and wholesale clients: value of non-cash payment products

7.1.25 Retail clients and wholesale clients: life risk insurance and other risk-based financial products

7.1.26 Superannuation-sourced money

7.1.27 Retail clients and wholesale clients: effect of wholesale status

7.1.28 Retail clients and wholesale clients: assets and income

Division 3—When does a person provide a financial service?

7.1.28AA Provision of financial product advice about default funds

7.1.28A Circumstances in which a person is taken to be provided a traditional trustee company service

7.1.29 Circumstances in which a person is taken not to provide a financial service

7.1.29A Self-managed superannuation funds

7.1.30 Information and advice about voting

7.1.31 Passing on prepared documents

7.1.32 Remuneration packages

7.1.33 Handling insurance claims

7.1.33A Allocation of funds available for investment

7.1.33B General advice

7.1.33D Investment-linked life insurance products

7.1.33E Advice about the existence of a custodial or depository service

7.1.33F School banking

7.1.33G Certain general advice that does not attract remuneration etc.

7.1.33H Certain general advice given by a financial product issuer

Division 4—Dealings in financial products

7.1.34 Conduct that does not constitute dealing in a financial product

7.1.35 Conduct that does not constitute dealing in a financial product

7.1.35A Conduct that does not constitute dealing in a financial product—lawyers acting on instructions

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

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

7.1.40 Conduct that does not constitute the provision of a custodial or depository service

Division 6—Operating a financial market

7.1.50 Operating a financial market

Part 7.2—Licensing of financial markets

Division 1—Market licensees’ obligations

7.2.01 Obligation to inform ASIC of certain matters: contraventions of licence or Act

7.2.02 Obligation to inform ASIC of certain matters: becoming director, secretary or executive officer of market licensee

7.2.03 Obligation to inform ASIC of certain matters: ceasing to be director, secretary or executive officer of market licensee

7.2.04 Obligation to inform ASIC of certain matters: voting power in market licensee

7.2.05 Giving ASIC information about a listed disclosing entity

7.2.06 Annual report of market licensee

Division 2—The market’s operating rules and procedures

7.2.07 Content of licensed market’s operating rules

7.2.08 Content of licensed market’s written procedures

Division 3—Powers of the Minister and ASIC

7.2.09 Agencies for compliance assessment

Division 4—The Australian market licence: applications (general)

7.2.10 Application of Division 4

7.2.11 Information

7.2.12 Documents

Division 5—The Australian market licence: applications (financial market in foreign country)

7.2.13 Application of Division 5

7.2.14 Information

7.2.15 Documents

Division 6—The Australian market licence: other matters

7.2.16 Potential conflict situations

Part 7.2A—Supervision of financial markets

Division 7.2A.1—Enforceable undertakings

7.2A.01 Enforceable undertakings

Division 7.2A.2—Infringement notices

7.2A.02 Purpose of Division

7.2A.03 Definitions for Division 7.2A.2

7.2A.04 When infringement notice can be given

7.2A.05 Statement of reasons must be given

7.2A.06 Contents of infringement notice

7.2A.07 Amount of penalty payable to the Commonwealth

7.2A.08 Compliance with infringement notice

7.2A.09 Extension of compliance period

7.2A.10 Effect of compliance with infringement notice

7.2A.11 Application to withdraw infringement notice

7.2A.12 Withdrawal of infringement notice by ASIC

7.2A.13 Notice of withdrawal of infringement notice

7.2A.14 Withdrawal of notice after compliance

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

7.3.01 Obligation to inform ASIC of certain matters: becoming director, secretary or executive officer of CS facility licensee

7.3.02 Obligation to inform ASIC of certain matters: ceasing to be director, secretary or executive officer of CS facility licensee

7.3.03 Obligation to inform ASIC of certain matters: voting power in CS facility licensee

7.3.04 Annual report of CS facility licensee

Division 2—Regulation of CS facility licensees: the facility’s operating rules and procedures

7.3.05 Content of licensed CS facility’s operating rules

7.3.06 Content of licensed CS facility’s written procedures

Division 3—Regulation of CS facility licensees: powers of the Minister and ASIC

7.3.07 Agencies for compliance assessment

7.3.08 Agencies for compliance assessment

Division 4—The Australian CS facility licence: applications (general)

7.3.09 Application of Division 4

7.3.10 Information

7.3.11 Documents

Division 5—The Australian CS facility licence: applications (overseas clearing and settlement facility)

7.3.12 Application of Division 5

7.3.13 Information

7.3.14 Documents

Part 7.4—Limits on involvement with licensees

7.4.01 Widely held market body

7.4.02 Record-keeping: market licensee

7.4.03 Record-keeping: CS facility licensee

7.4.04 Information for widely held market body

Part 7.5—Compensation regimes for financial markets

Division 1—Preliminary

7.5.01 Definitions for Part 7.5

7.5.01A Modification of Act: compensation regimes

7.5.02 Meaning of becoming insolvent

7.5.03 Meaning of dealer

7.5.04 Meaning of excluded person

7.5.06 Meaning of sale and purchase of securities

7.5.07 Meaning of securities business: general

7.5.08 Meaning of securities business: Subdivision 4.9

7.5.09 Meaning of security

7.5.10 Meaning of transfer of securities

7.5.13 Effect of contravention of Part 7.5

Division 2—When there must be a compensation regime

7.5.14 Application for Australian market licence: information about compensation arrangements

Division 3—Approved compensation arrangements

7.5.15 Application for approval of compensation arrangements after grant of Australian market licence: information about compensation arrangements

7.5.16 Notification of payment of levies

7.5.17 Amount of compensation

Division 4—NGF Compensation regime

Subdivision 4.1—Preliminary

7.5.18 Application of Division 4

Subdivision 4.2—Third party clearing arrangements

7.5.19 Clearing arrangements

Subdivision 4.3—Contract guarantees

7.5.24 Claim by selling client in respect of default by selling dealer: ASTC-regulated transfer

7.5.25 Claim by selling client in respect of default by selling dealer: transaction other than ASTC-regulated transfer

7.5.26 Claim by buying client in respect of default by buying dealer: ASTC-regulated transfer

7.5.27 Claim by buying client in respect of default by buying dealer: transaction other than ASTC-regulated transfer

7.5.28 Cash settlement of claim: ASTC-regulated transfer

7.5.29 Cash settlement of claim: transfer other than ASTC-regulated transfer

7.5.30 Making of claims

Subdivision 4.7—Unauthorised transfer

7.5.53 Application of Subdivision 4.7

7.5.54 Claim by transferor

7.5.55 Claim by transferee or sub-transferee

7.5.56 How and when claim may be made

7.5.57 How claim is to be satisfied

7.5.58 Discretionary further compensation to transferor

7.5.59 Nexus with Australia

Subdivision 4.8—Contraventions of ASTC certificate cancellation provisions

7.5.60 Claim in respect of contravention of ASTC certificate cancellation provisions

7.5.61 How and when claim may be made

7.5.62 How claim is to be satisfied

7.5.63 Discretionary further compensation

Subdivision 4.9—Claims in respect of insolvent participants

7.5.64 Claim in respect of property entrusted to, or received by, dealer before dealer became insolvent

7.5.65 Cash settlement of claims if property unobtainable

7.5.66 Ordering of alternative claims and prevention of double recovery

7.5.67 No claim in respect of money lent to dealer

7.5.68 Nexus with Australia

7.5.69 No claim in certain other cases

7.5.70 Making of claims

7.5.71 Limits of compensation

Subdivision 4.10—General

7.5.72 Power of SEGC to allow and settle claim

7.5.73 Application of Fund in respect of certain claims

7.5.74 Discretion to pay amounts not received etc because of failure to transfer securities

7.5.75 Reduction in compensation

7.5.76 Claimant may be required to exercise right of set-off

7.5.77 Effect of set-off on claim

7.5.78 Claimant entitled to costs and disbursements

7.5.79 Interest

7.5.80 SEGC to notify claimant if claim disallowed

7.5.81 Arbitration of amount of cash settlement of certain claims

7.5.82 Instalment payments

7.5.83 Notification of payment of levies

7.5.84 Notification of payment of levies

Subdivision 4.11—Other provisions relating to compensation

7.5.85 Prescribed body corporate with arrangements covering clearing and settlement facility support

Division 5—Provisions common to both kinds of compensation arrangements

7.5.86 Excess money in National Guarantee Fund

7.5.87 Excess money in fidelity fund

7.5.88 Minister’s arrangements for use of excess money from compensation funds

7.5.89 Payment of excess money from NGF

7.5.90 Use of excess money from NGF

7.5.91 Payment of excess money from fidelity fund

7.5.92 Use of excess money from fidelity fund

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

7.5A.30 Reporting requirements—prescribed facilities

7.5A.50 Persons on whom requirements cannot be imposed

Subdivision 2.1A—Derivative transaction rules imposing clearing requirements

7.5A.60 Definitions for Subdivision 2.1A

7.5A.61 Meaning of Australian clearing entity

7.5A.62 Meaning of foreign clearing entity

7.5A.63 Clearing requirements—prescribed facilities

7.5A.64 Persons on whom clearing requirements cannot be imposed

7.5A.65 Circumstances in which clearing requirements can be imposed

Subdivision 2.1B—Phase 3 reporting entities—exemption from OTC derivative reporting requirements

7.5A.70 Definitions for Subdivision 2.1B

7.5A.71 Exemption—single-sided transaction and position reporting

7.5A.72 Reporting counterparties

7.5A.73 Application of exemptions

7.5A.74 Reporting requirement—exemption stops applying

Subdivision 2.2—Enforceable undertakings

7.5A.101 Enforceable undertakings

Subdivision 2.3—Infringement notices

7.5A.102 Infringement notices

7.5A.103 Definitions for Subdivision

7.5A.104 When infringement notice can be given

7.5A.105 Statement of reasons must be given

7.5A.106 Contents of infringement notice

7.5A.107 Amount of penalty payable to the Commonwealth

7.5A.108 Compliance with infringement notice

7.5A.109 Extension of compliance period

7.5A.110 Effect of compliance with infringement notice

7.5A.111 Application to withdraw infringement notice

7.5A.112 Withdrawal of infringement notice by ASIC

7.5A.113 Notice of withdrawal of infringement notice

7.5A.114 Withdrawal of notice after compliance

7.5A.115 Publication of details of infringement notice

Division 5—Regulation of licensed derivative trade repositories: other obligations and powers

7.5A.150 Obligations and powers—confidential information

7.5A.150A European Union requests for derivative trade data

7.5A.150B Other requests for derivative trade data

7.5A.151 Obligations relating to derivative trade data

7.5A.200 ASIC may assess licensee’s compliance

Division 7—Regulation of prescribed derivative trade repositories

7.5A.250 Obligations and powers—confidential information

Division 8—Other matters

7.5A.270 Record-keeping

Part 7.6—Licensing of providers of financial services

7.6.01 Need for Australian financial services licence: general

7.6.01AAA Particular financial products not exempted

7.6.01AB Obligation on persons providing exempt financial service

7.6.01A Providing financial services on behalf of a person who carries on a financial services business

7.6.01B Need for Australian financial services licence: financial product advice provided by the media

7.6.01BA Modification of section 912A of the Act

7.6.01C Obligation to cite licence number in documents

7.6.02 Alternative dispute resolution systems

7.6.02AAA Compensation arrangements if financial services provided to persons as retail clients (Act s 912B)

7.6.02AA Modification of section 912B of the Act: professional indemnity insurance and security instead of compensation arrangements

7.6.02AB Modification of section 761G of the Act: meaning of retail client and wholesale client

7.6.02AC Modification of section 761G of the Act: meaning of retail client and wholesale client

7.6.02AD Modification of section 761G of the Act: meaning of retail client and wholesale client

7.6.02AE Modification of section 9 of the Act: Definition of professional investor

7.6.02AF Modification of section 761G of the Act: renewal period for accountants’ certificates

7.6.02AG Modification of section 911A of the Act

7.6.02AGA Further modification of section 911A of the Act

7.6.02AH Modification of paragraph 911B(1)(e) of the Act

7.6.02AI Obligations to provide information about relevant providers and controllers of body corporate licensees

7.6.02A Obligation to notify ASIC of certain matters

7.6.03 Applying for Australian financial services licence

7.6.03A Australian financial services licence—requirements for a foreign entity to appoint local agent

7.6.03B Foreign entity must continue to have local agent

7.6.04 Conditions on Australian financial services licence

7.6.04AA Time limits for notification of authorised representatives—modification of section 916F of the Act

7.6.04A Exemptions to notification of authorised representatives

7.6.05 Register of financial services licensees and register of authorised representatives of financial services licensees

7.6.06 ASIC register relating to persons against whom banning order or disqualification order is made

7.6.06A Relevant provider number

7.6.06B Register of relevant providers

7.6.06C Correcting registers

7.6.07 Restriction on use of certain words or expressions

Part 7.6A—Authorised representatives

7.6.08 Authorised representatives

Part 7.6B—Provision of information to APRA about contracts of insurance

7.6.08A Definitions

7.6.08B Application

7.6.08C Modification of section 912CA of the Act

7.6.08D Information about general insurance products

7.6.08E Information about general insurance products—unauthorised foreign insurers

Volume 3

Chapter 7—Financial services and markets

Part 7.7—Financial service disclosure

Division 1—Preliminary

7.7.01 How documents, information and statements are to be given

Division 2—Financial Services Guide

7.7.02 Situations in which Financial Services Guide is not required

7.7.02A Situations when Financial Services Guide is not required

7.7.03 Financial Services Guide given by financial services licensee: description of documents

7.7.03A Financial Services Guide given by financial services licensee: compensation arrangements

7.7.04 Financial Services Guide given by financial services licensee: remuneration, commission and benefits

7.7.04A Financial services guide given by financial services licensee: more detailed information about remuneration etc

7.7.04AA Financial Services Guide given by financial services licensee: non-monetary benefit that is not conflicted remuneration

7.7.04AB Financial Services Guide given by authorised representative: non-monetary benefit that is not conflicted remuneration

7.7.05 Record of advice given by financial services licensee

7.7.05A Financial Services Guide given by authorised representative of financial services licensee: authorised representative number

7.7.05B Personalised Financial Services Guide

7.7.05C Exemption from providing certain information in a Financial Services Guide

7.7.06 Financial Services Guide given by authorised representative of financial services licensee: description of documents

7.7.06A Financial Services Guide given by authorised representative of financial services licensee—licence number

7.7.06B Financial Services Guide given by authorised representative of financial services licensee: compensation arrangements

7.7.07 Financial Services Guide given by authorised representative of financial services licensee: remuneration, commission and benefits

7.7.07A Financial services guide given by authorised representative: more detailed information about remuneration etc

7.7.08 Record of advice given by authorised representative of financial services licensee

Division 2A—Combined Financial Services Guide and Product Disclosure Statement

7.7.08A Combined Financial Services Guide and Product Disclosure Statement

Division 2AA—Combined Financial Services Guide and credit guide

7.7.08B Modification of section 942DA of the Act

Division 2B—Record of small investment advice

7.7.08C Record of small investment advice—content requirements

Division 3—Statement of Advice

7.7.09 Situations in which statement of advice is not required: further advice

7.7.09A Situations in which Statement of Advice is not required: small investments threshold

7.7.09AA Statement of Advice from financial services licensee

7.7.09AB Modification of subsection 947B(4) of the Act

7.7.09B Statement of Advice from providing entity—information not included in the Statement

7.7.09BA Statement of Advice from authorised representative

7.7.09BB Modification of subsection 947C(4) of the Act

7.7.09BC Statement of Advice given by financial services licensee: non-monetary benefit that is not conflicted remuneration

7.7.09BD Statement of Advice given by authorised representative: non-monetary benefit that is not conflicted remuneration

7.7.09C Requirement to keep Statement of Advice and other documents

7.7.10 Products for which a Statement of Advice is not required

7.7.10AA Obligation on authorised representative to give a financial services guide

7.7.10AAA Record of advice without a recommendation to purchase or sell—content requirements

7.7.10AB Financial services guide—contents of guide

7.7.10AC Financial services guide

7.7.10AD Financial services guide

7.7.10AE Situations in which Statement of Advice not required

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

7.7.10AG Various consequential amendments to Division 7 of Part 7.7

7.7.10AH Business days

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

7.7.10A Statements of Advice—requirement to state information as amounts in dollars

7.7.10B Insertion of definition—further advice

7.7.10C Omission of definition—further market-related advice

7.7.10D Additional information in Statement of Advice

7.7.10E Additional information in Statement of Advice

7.7.11 Statement of Advice given by financial services licensee

7.7.11A Statement of Advice given by authorised representative of financial services licensee—licence number

7.7.11B Statement of Advice—disclosure of dollar amounts

7.7.12 Statement of Advice given by authorised representative of financial services licensee

7.7.13 Statement of Advice provided by authorised representative—disclosure of dollar amounts

7.7.13A Additional information about charges or benefits—disclosure of dollar amounts

7.7.13B Additional information about charges or benefits—disclosure of dollar amounts

Division 4—General advice provided to a retail client

7.7.14 Product Disclosure Statement not required

Division 5—Other disclosure requirements

7.7.20 General advice to retail client—no obligation to warn client

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

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

7.7A.05 Best interests duty—basic banking products etc.

7.7A.06 Best interests duty—general insurance products

7.7A.07 Best interests duty—basic banking products

Division 3—Charging ongoing fees to clients

7.7A.10 Arrangements that are not ongoing fee arrangements

7.7A.11 Fee disclosure statements: product fee

Division 4—Conflicted remuneration

Subdivision 1—Monetary benefits

7.7A.12 What subdivision is about

7.7A.12A Life risk insurance products

7.7A.12B Stamping fees

7.7A.12C Time-sharing schemes

7.7A.12D Brokerage fees

7.7A.12E Fees paid by clients for dealing services

7.7A.12EA Application of ban on conflicted remuneration—purchase or sale of financial advice business

Subdivision 2—Monetary or non-monetary benefits

7.7A.12F What subdivision is about

7.7A.12G General insurance

7.7A.12H Basic banking and general insurance products

7.7A.12I Mixed benefits

7.7A.13 Non-monetary benefit given in certain circumstances not conflicted remuneration: prescribed amount

7.7A.14 Non-monetary benefit given in certain circumstances not conflicted remuneration: education or training course

7.7A.15 Non-monetary benefit given in certain circumstances not conflicted remuneration: other education and training benefit

7.7A.15A Non-monetary benefit given in certain circumstances not conflicted remuneration—education and training in conducting a financial services business

7.7A.15B Application of ban on conflicted remuneration—non-platform operator (Division 4 of Part 7.7A of Chapter 7 of the Act does not apply)

7.7A.16 Application of ban on conflicted remuneration—platform operator (Division 4 of Part 7.7A of Chapter 7 of the Act does not apply)

7.7A.16A Application of ban on conflicted remuneration—platform operator (Division 4 of Part 7.7A of Chapter 7 of the Act applies)

7.7A.16B Application of ban on conflicted remuneration—person other than platform operator (Division 4 of Part 7.7A of Chapter 7 of the Act applies)

7.7A.16BA Sale of business

7.7A.16C Application of ban on conflicted remuneration—employer and employee (Division 4 of Part 7.7A of Chapter 7 of the Act does not apply)

7.7A.16D Application of ban on conflicted remuneration—new arrangement entered into on or after application day (Division 4 of Part 7.7A of Chapter 7 of the Act does not apply)

7.7A.16E Application of ban on conflicted remuneration—change of party to an arrangement (Division 4 of Part 7.7A of Chapter 7 of the Act does not apply)

7.7A.16F Application of ban on conflicted remuneration—benefit is a pass through of a grandfathered benefit (benefit is not conflicted remuneration)

Subdivision 3—Asset-based fees on borrowed amounts

7.7A.17 Financial services licensees

7.7A.18 Authorised representatives

Division 6—Exemptions from application of Part 7.7A of the Act

7.7A.40 Exemption from application of Part 7.7A of the Act

Expand Part 7.8—Other provisions relating to conduct etc connected with financial products and financial services, other than financial product disclosure

Part 7.8—Other provisions relating to conduct etc connected with financial products and financial services, other than financial product disclosure

7.8.01 Obligation to pay money into an account

7.8.02 Accounts maintained for section 981B of the Act

7.8.03 How money to be dealt with if licensee ceases to be licensed etc

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

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

7.8.06 Statement setting out terms of loan etc

7.8.06A Property exempt from Division 3 of Part 7.8 of the Act

7.8.07 How property to which Division 3 of Part 7.8 of the Act to be dealt with

7.8.08 Debts of financial services licensee in relation to premiums etc

7.8.08A Limit of margin lending facility taken to be increased

7.8.08B Exemption from requirement to make unsuitability assessment

7.8.09 Reasonable inquiries etc about retail client: inquiries

7.8.09A Modification of section 985G of the Act

7.8.10 Circumstances in which margin lending facility is unsuitable

7.8.10A Margin lending facility taken not to be unsuitable

7.8.11 Particular categories of information to be shown in records

7.8.11A Particular categories of information to be shown in records: records of non-monetary benefit that is not conflicted remuneration

7.8.12 Requirements in relation to financial records of financial services licensees

7.8.12A Modification of section 989B of the Act

7.8.13 Auditor’s report with annual profit and loss statement and balance sheet

7.8.13A Compliance certificate with profit and loss statement and balance sheet

7.8.14 Contents of annual profit and loss statement and balance sheet and applicable accounting procedures

7.8.14A Lodgement of annual profit and loss statement and balance sheet

7.8.14B Modification of section 990B of the Act

7.8.15 Appointment of auditor by financial services licensee

7.8.16 When person is ineligible to act as auditor of financial services licensee

7.8.17 Priority to clients’ orders

7.8.18 Instructions to deal through licensed markets

7.8.19 Records of instructions to deal on licensed markets and foreign markets

7.8.20 Dealings with non-licensees

7.8.20A Dealings involving employees of financial service licensees—risk insurance products

7.8.21 Dealings involving employees of financial services licensees

7.8.21A Anti-hawking provisions if no Product Disclosure Statement is required

7.8.21B Anti-hawking provisions if no Product Disclosure Statement is required—carbon units, Australian carbon credit units and eligible international emissions units

7.8.22 Hours for hawking certain financial products

7.8.22A Modification of Part 7.8

7.8.23 Return of financial product: transfer between superannuation entities or RSAs

7.8.24 Right of return not to apply

7.8.25 Variation of amount to be repaid

7.8.26 Exemption from application of section 992A of the Act

Part 7.9—Financial product disclosure and other provisions relating to issue and sale of financial products

Division 1—Preliminary

7.9.01 Interpretation

7.9.02 Sub-plans

7.9.02A Alternative ways of giving Statement

7.9.02B Product Disclosure Statement in electronic form

Division 2—Arrangements for Product Disclosure Statements in relation to superannuation products and RSA products

Subdivision 2.1—Preliminary

7.9.03 Application of Division 2

Expand Subdivision 2.2—Late provision of Product Disclosure Statement for certain members of regulated superannuation fund, public offer superannuation fund or successor fund

Subdivision 2.2—Late provision of Product Disclosure Statement for certain members of regulated superannuation fund, public offer superannuation fund or successor fund

7.9.04 Product Disclosure Statement to be provided later

Subdivision 2.3—Product Disclosure Statement for retirement savings account

7.9.05 Situation in which Product Disclosure Statement is not required

Subdivision 2.4—Additional obligations for eligible rollover funds

7.9.06A Relevant superannuation entities

7.9.06B Application forms

Subdivision 2.5—Product Disclosure Statement for insurance options

7.9.07 Modification of Act: Product Disclosure Statement in relation to insurance options

Division 2A—Product Disclosure Statement for warrants

7.9.07A Warrants

Division 2B—Product Disclosure Statement for market-traded derivatives

7.9.07B Product Disclosure Statements for certain market-traded derivatives

7.9.07C Remedies for Product Disclosure Statements for certain market-traded derivatives

Division 2BA—Product Disclosure Statement for discretionary mutual funds

7.9.07CA Extension of Product Disclosure Statement requirements to wholesale clients

Division 2C—Situations where a Product Disclosure Statement is not required

7.9.07D Product Disclosure Statement not required for offers of bundled contracts of insurance

7.9.07E Product Disclosure Statement not required if offer of financial product is declined

7.9.07F Product Disclosure Statement not required if the client is not contactable

7.9.07FA Product Disclosure Statement not required for certain specified products

7.9.07FB Product Disclosure Statement not required if client not in this jurisdiction

7.9.07FC Product Disclosure Statement not required general insurance situation

Division 2D—Preparation and content of Product Disclosure Statements

7.9.07J Only 1 responsible person for a Product Disclosure Statement

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

7.9.07L Modification of Act

7.9.07M Source of power for this Subdivision

7.9.07N Definitions

7.9.07P Meaning of MySuper product dashboard reporting standards

7.9.07Q Product dashboard—how information must be set out

7.9.07R Product dashboard—return target

7.9.07S Product dashboard—return

7.9.07T Product dashboard—comparison between return target and return

7.9.07U Comparison to be set out as a graph

7.9.07V Product dashboard—level of investment risk

7.9.07W Product dashboard—statement of fees and other costs

Division 3—Dealing with money received for financial product before the product is issued

7.9.08 Accounts

7.9.08A Dealing with interest

7.9.08B Crediting of payments before money is received

7.9.08C Money held in trust for a superannuation product or RSA product

7.9.08D Statutory funds under the Life Insurance Act 1995

Division 4—Content of Product Disclosure Statements

Subdivision 4.1—Preliminary

7.9.09 Application of Division 4

Expand Subdivision 4.1A—No Product Disclosure Statement for carbon units, Australian carbon credit units and eligible international emissions units

Subdivision 4.1A—No Product Disclosure Statement for carbon units, Australian carbon credit units and eligible international emissions units

7.9.09A Application of Subdivision

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

7.9.09C Modification of Act

Subdivision 4.2A—Form and content of Product Disclosure Statement for margin loan

7.9.11 Application of Subdivision 4.2A

7.9.11A Provisions of Part 7.7 of Act that do not apply in relation to margin loan

7.9.11B Definitions for Subdivision 4.2A

7.9.11C Modification of Act—margin loan

7.9.11D Form and content of Product Disclosure Statement for margin loan

7.9.11E Requirements for references to incorporated information for margin loan

7.9.11F Retention of copies of Product Disclosure Statement for margin loan

7.9.11G Requirement to provide copy of Product Disclosure Statement for margin loan free of charge

7.9.11H Notification about change to Approved Securities List or current interest rate for margin loan

Subdivision 4.2B—Content of Product Disclosure Statement for superannuation product

7.9.11K Application of Subdivision 4.2B

7.9.11L Provisions of Part 7.7 of Act that do not apply in relation to superannuation product

7.9.11LA Attribution of accrued default amount to MySuper product—exemption from significant event notice requirements

7.9.11LB Attribution of accrued default amount to MySuper product—modification of significant event notice requirements

7.9.11M Provisions of Part 7.9 of Act that do not apply in relation to superannuation product

7.9.11N Modification of Act—superannuation product

7.9.11O Form and content of Product Disclosure Statement for superannuation product

7.9.11P Requirements for references to incorporated information for superannuation product

7.9.11Q Retention of copies of Product Disclosure Statement for superannuation product

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

7.9.11S Application of Subdivision 4.2C

7.9.11T Provisions of Part 7.7 of Act that do not apply in relation to simple managed investment scheme

7.9.11U Provisions of Part 7.9 of Act that do not apply in relation to simple managed investment scheme

7.9.11V Modification of Act—simple managed investment scheme

7.9.11W Form and content of Product Disclosure Statement for simple managed investment scheme

7.9.11X Requirements for references to incorporated information for simple managed investment scheme

7.9.11Y Retention of copies of Product Disclosure Statement for simple managed investment scheme

7.9.11Z Requirement to provide copy of Product Disclosure Statement for simple managed investment scheme free of charge

Subdivision 4.3—Other arrangements for Product Disclosure Statements and application forms

7.9.12 Modification of Act: Product Disclosure Statements and application forms for standard employer-sponsors and successor funds

7.9.13 Offer of superannuation interest without application or eligible application

7.9.14 Remedies for person acquiring financial product under defective Product Disclosure Statement: superannuation and RSAs

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

7.9.14B Product information

Division 4A—General

7.9.14C Labour standards and environmental, social and ethical considerations

7.9.14D Further statements required in Product Disclosure Statement—financial claims scheme

7.9.15 More detailed information in Product Disclosure Statement: unauthorised foreign insurer

7.9.15A Product Disclosure Statements—requirement to state information as amounts in dollars

7.9.15B Product Disclosure Statements—disclosure of dollar amounts

7.9.15C Product Disclosure Statements—disclosure of dollar amounts

7.9.15CA Less information in Product Disclosure Statement—financial claims scheme

7.9.15D Less information in product disclosure statement: general insurance product

7.9.15DA Statement or information not included in a Product Disclosure Statement

7.9.15DB Requirement to keep record of Product Disclosure Statement and other documents

7.9.15DC Requirement to lodge documents mentioned in a Product Disclosure Statement with ASIC

7.9.15E More detailed information in product disclosure statement: general insurance product

7.9.15F Product disclosure statement: general insurance product

7.9.15FA Transitional arrangements for regulations 7.9.15D, 7.9.15E and 7.9.15F

7.9.15G Business days

7.9.15H New section 1012G: product disclosure statement may sometimes be provided later

7.9.15I Modification of section 1012IA

7.9.16 More detailed information in Product Disclosure Statement: consumer credit insurance product

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

7.9.16G Ongoing disclosure of material changes and significant events

Division 4C—Fee Disclosure for certain financial products

Subdivision 4C.1—Application

7.9.16J Application of Division 4C to financial products

7.9.16JA Application of Division 4C to financial products—temporary arrangements

7.9.16K Application of Division 4C to periodic statements and Product Disclosure Statements

Subdivision 4C.2—Product Disclosure Statements

7.9.16L More detailed information about fees and costs

7.9.16M Modification of section 1015C of the Act

7.9.16N Presentation, structure and format of fees and costs in Product Disclosure Statements

Subdivision 4C.3—Periodic statements

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

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

7.9.17 Application of Division 5

Expand Subdivision 5.2—Periodic statements for retail clients for financial products that have an investment component: regulated superannuation funds, ADFs and RSAs

Subdivision 5.2—Periodic statements for retail clients for financial products that have an investment component: regulated superannuation funds, ADFs and RSAs

7.9.18 Application of Subdivision 5.2

7.9.19 Specific requirements for periodic statements: superannuation funds (other than self managed superannuation funds) and RSAs

7.9.19A Withdrawal benefit—fees, charges or expenses

7.9.19B Withdrawal benefit—fees, charges and expenses

7.9.20 Specific requirements for certain periodic statements: superannuation funds (other than self managed superannuation funds)

7.9.20AA Specific requirements for certain periodic statements: superannuation funds (other than self managed superannuation funds)—long-term returns

7.9.20A Details of other significant benefits—disclosure of fees, charges or expenses

7.9.20B Other significant benefits—disclosure of fees, charges or expenses

7.9.21 Specific requirements in particular cases: member (other than capital guaranteed member) of fund other than a self managed superannuation fund

7.9.22 Specific requirements: capital guaranteed funds and RSAs

7.9.23 Information for capital guaranteed fund: benefits reach $10 000

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

7.9.25 Application of Subdivision 5.3

7.9.26 Specific requirements where applicable: RSAs

7.9.27 Modification of Act: periodic statements for RSA holders

7.9.28 Information for RSA: amount reaches $10 000

Expand Subdivision 5.4—Periodic statements for retail clients for financial products that have an investment component: additional information for superannuation entities and RSA providers

Subdivision 5.4—Periodic statements for retail clients for financial products that have an investment component: additional information for superannuation entities and RSA providers

7.9.29 Application of Subdivision 5.4

7.9.30 Additional information for change to choices

Expand Subdivision 5.4A—Periodic statements for retail clients for financial products that have an investment component: additional information for margin lending facilities

Subdivision 5.4A—Periodic statements for retail clients for financial products that have an investment component: additional information for margin lending facilities

7.9.30A Application of Subdivision 5.4A

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

7.9.31 Application of Subdivision 5.5

7.9.32 Reporting periods: general

7.9.33 Use of more than 1 document

Expand Subdivision 5.6—Fund information for retail clients for financial products that have an investment component: fund information for regulated superannuation funds and ADFs

Subdivision 5.6—Fund information for retail clients for financial products that have an investment component: fund information for regulated superannuation funds and ADFs

7.9.34 Application of Subdivision 5.6

7.9.35 General requirement

7.9.36 Specific requirements in all cases

7.9.37 Specific requirements in particular cases

7.9.38 Specific information in particular case: self managed superannuation fund

7.9.39 Benefits determined by life insurance products

Expand Subdivision 5.7—Fund information for retail clients for financial products that have an investment component: fund information for pooled superannuation trusts

Subdivision 5.7—Fund information for retail clients for financial products that have an investment component: fund information for pooled superannuation trusts

7.9.40 Application of Subdivision 5.7

7.9.41 Specific requirements in all cases

7.9.42 Specific requirements in particular cases

Subdivision 5.8—Ongoing disclosure of material changes and significant events

7.9.43 Modification of Act: disclosure of material changes and significant events in relation to superannuation products and RSA products

7.9.44 Benefits to be paid to eligible rollover fund

Subdivision 5.9—Information on request: members

7.9.45 Regulated superannuation funds, ADFs and pooled superannuation trusts

7.9.46 RSAs

Subdivision 5.10—Information on request: payments

7.9.47 Modification of Act: charges for information requested

Subdivision 5.11—Information about complaints

7.9.48 Source of power for this Subdivision

7.9.48A Definitions

7.9.48B Complaints—general

7.9.48C Complaints about benefits other than death benefits—decision made

7.9.48D Complaints about benefits other than death benefits—no decision made

7.9.48A Definitions

7.9.48B Complaints—general

Subdivision 5.12—Periodic report when product holder ceases to hold product: superannuation products and RSA products

7.9.49 Application of Subdivision 5.12

7.9.50 Exit reporting period

7.9.51 Time for compliance

7.9.52 General requirement

7.9.53 Information on death of product holder

7.9.54 Specific requirements in all cases

7.9.55 Specific requirements in particular cases

7.9.56 Exceptions to exit reporting period provisions: superannuation products and RSA products

7.9.57 Exception—members subject to compulsory protection of small amounts

7.9.58 Information to be given in cases other than death of RSA holder

7.9.59 Information to be given where applicable

7.9.60 Modification of Act: exceptions to exit reporting period provisions

Division 5AA—General requirements for financial disclosure

7.9.60A Modification of Act: disclosure

7.9.60B Disclosure of transactions in periodic statements

Division 5AB—Short-Form Product Disclosure Statements

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

7.9.61A Lost application money

7.9.61B Issue of substitute insurance product

7.9.61C Cheques

Division 5B—Confirming transactions

7.9.61D Transactions involving superannuation products

Division 5C—CGS depository interests

7.9.61E CGS depository interest information website

Division 6—Confirmation of transactions

7.9.62 Confirmation of transaction: superannuation products and RSAs

7.9.63 Confirmation of transactions: precise costs of transaction not known

7.9.63A Persons who must confirm transactions

7.9.63B Content of confirmation of transactions—general

7.9.63C Confirmation of transaction—multiple transactions

7.9.63D Confirmation of transaction—information about cooling-off period

7.9.63E Confirmation of transaction—facility that provides written confirmation

7.9.63F Confirmation of transaction—acquisition of financial product

7.9.63G Confirmation of transaction—disposal of financial product

7.9.63H Certain product issuers and regulated persons must meet appropriate dispute resolution requirements—self managed superannuation funds

7.9.63I Confirmation of transaction in electronic form

Division 7—Cooling-off periods

7.9.64 Cooling-off periods not to apply

7.9.64A Notification of exercise of right of return—risk insurance products

7.9.65 Return of financial product: general

7.9.66 Return of financial product: superannuation and RSAs

7.9.67 Variation of amount to be repaid

7.9.68 Modification of section 1019B of the Act: client includes standard employer-sponsor

7.9.69 Modification of provisions of Division 5 of Part 7.9 of the Act: terms of contract

7.9.70 Modification of provisions of Division 5 of Part 7.9 of the Act: distributions

Division 8—Other requirements

7.9.71 Modification of section 1017D of the Act: use of more than 1 document

7.9.71A Periodic statements—exemption for passbook accounts

7.9.72 Modification of section 1017D of the Act: information already given

7.9.73 Reporting periods: general

7.9.74 Form of application

7.9.74A Periodic statements—requirement to state information as amounts in dollars

7.9.75 Content of periodic statements: costs of transactions

7.9.75A Ways of giving information

7.9.75B Information in electronic form

7.9.75BA Fund information made available on a website

7.9.75C Periodic statements—disclosure of amounts

7.9.75D Periodic statements—disclosure of amounts

7.9.76 Consents to certain statements

7.9.77 Alternative dispute resolution requirements—product issuer that is not a financial services licensee

7.9.78 Additional statement: trustee required to provide benefits

7.9.80B Short selling of certain warrants

Division 9—Additional requirements for transfer of lost members and lost RSA holders

7.9.81 Lost members

7.9.82 Lost RSA holders

Division 11—Superannuation to which arrangements apply under the Family Law Act 1975

7.9.84 Definitions for Division 11

7.9.85 Application of Division 11

7.9.86 Acquisition of financial product

7.9.87 Modification of Act: Product Disclosure Statement in relation to superannuation interest under Family Law Act

7.9.88 Statement content in relation to superannuation interest under Family Law Act: superannuation fund

7.9.89 Statement content in relation to superannuation interest under Family Law Act: RSA

7.9.90 Information for existing holders of superannuation products and RSA products in relation to superannuation interest

7.9.91 Periodic statements for retail clients for financial products that have an investment component—general

7.9.92 Periodic statements for retail clients for financial products that have an investment component—superannuation interest other than percentage-only interest

7.9.93 Trustees of superannuation entities—additional obligation to provide information in relation to superannuation interest

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

7.9.95 Medical indemnity insurance—exemption from product disclosure provisions

Division 13—Unsolicited offers to purchase financial products off market

7.9.96 Percentage increase or decrease in the market value of a product

7.9.97 Off-market trading by professional investors etc

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

7.9.98 Certain providers of financial services exempted from the requirements of Parts 7.7, 7.8 and 7.9 of the Act

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

7.9.99 Interpretation

7.9.100 Seller disclosure

7.9.100A Seller disclosure of existing short position

7.9.101 Licensee disclosure

7.9.102 Public disclosure of information

Part 7.10—Market misconduct and other prohibited conduct relating to financial products and financial services

7.10.01 Division 3 financial products

7.10.02 Professional standards schemes

7.10.03 Exemption for market participants of qualifying gas trading exchange

Part 7.11—Title and transfer

Division 1—Preliminary

7.11.01 Definitions

7.11.03 Arrangements about Division 4 financial products

7.11.04 Arrangements for forms

7.11.05 Document duly completed in accordance with a particular form

7.11.06 Stamping of documents

7.11.07 Application of Division 3 of Part 7.11 of the Act to certain bodies

7.11.08 Interests in registered schemes

Division 2—Application of Part 7.11

7.11.09 Application

Division 3—Transfer of Division 3 securities effected otherwise than through a prescribed CS facility

7.11.10 Application of Division 3

7.11.11 Sufficient transfer: general

7.11.12 Sufficient transfer of Division 3 assets: licensed trustee company or Public Trustee of a State or Territory

7.11.13 Sufficient transfer of Division 3 rights: licensed trustee company or Public Trustee of a State or Territory

7.11.14 Sufficient transfer

7.11.15 Transferee’s execution of transfer of Division 3 assets

7.11.16 Transferee’s execution of transfer of Division 3 rights

7.11.17 Transfer document that purports to bear stamp of transferor's broker

7.11.18 Warranties by market licensee if transfer document purports to bear its stamp

7.11.19 Indemnities by market licensee and broker if transfer document purports to bear their stamps

7.11.20 Joint and several warranties and liabilities

7.11.21 Registration of certain instruments

7.11.22 Details to be included in instrument of transfer

Division 4—Transfer of Division 4 financial products effected through prescribed CS facility

7.11.23 Application of Division 4

7.11.24 Application of ASTC operating rules

7.11.25 Participant’s authority to enter into transaction continues despite client’s death

7.11.26 Authority to enter into transaction gives authority to transfer

7.11.27 Effect of proper ASTC transfer on transferee: Division 4 financial products other than rights

7.11.28 Effect of proper ASTC transfer on transferee: rights

7.11.29 Warranties by participant if identification code is included in transfer document

7.11.30 Indemnities in respect of warranted matters: transfer not effected by the participant

7.11.31 Indemnities in respect of warranted matters: transferor not legally entitled or authorised to transfer Division 4 financial products

7.11.32 Indemnities in respect of warranted matters: participant not authorised to effect transfer

7.11.33 Joint and several warranties and liabilities

7.11.34 ASTC entitled to assume its operating rules complied with

7.11.35 ASTC-regulated transfer not to be registered unless proper ASTC transfer

7.11.36 Issuer not to refuse to register proper ASTC transfer

7.11.37 Determination of who holds Division 4 financial products for the purposes of meeting

7.11.38 Determination of who holds Division 4 financial products in class of Division 4 financial products for the purposes of meeting

7.11.39 Determination of who holds Division 4 financial products for the purposes of conferring security benefits

Division 5—Offences

7.11.40 Stamping of broker’s stamp on sufficient transfer

7.11.41 Inclusion of identification codes in proper ASTC transfers

7.11.42 Contravention by participant of the ASTC certificate cancellation provisions relating to use of cancellation stamps

Division 6—Civil liability

7.11.43 Contravention by participant of the ASTC certificate cancellation provisions

Part 7.12—Miscellaneous

7.12.01 Destruction of records by ASIC

Chapter 8—Mutual recognition of securities offers

Part 8.1—Preliminary

8.1.01 Prescribed foreign recognition scheme (Act s 1200A(1))

8.1.02 Prescribed offeror (Act s 1200A(1))

8.1.03 Prescribed recognised jurisdiction (Act s 1200A(1))

Part 8.2—Foreign offers that are recognised in this jurisdiction

Division 1—Recognised offers

8.2.01 Prescribed offer (Act s 1200C(4))

8.2.02 Prescribed warning statements (Act s 1200E)

8.2.03 Prescribed details to be given in warning statements (Act s 1200E(b))

8.2.04 Prescribed home regulators (Act s 1200G(13) and (14))

Expand 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)

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)

8.4.01 Modification of Part 7.9 of the Act—New Zealand offer documents replace Product Disclosure Statements

8.4.02 Modification of Part 6D.2 of the Act and Part 7.9 of the Act—certain disclosure obligations not to apply

Volume 4

Chapter 9—Miscellaneous

Part 9.1—Registers and registration of documents

9.1.01 Prescribed registers

9.1.02 Prescribed information

Part 9.2—Registration of auditors and liquidators

Division 2—Registration

9.2.01 Practical experience in auditing (Act s 1280(2))

9.2.02 Prescribed universities and institutions (Act ss 1280(2A) and 1282(2))

9.2.03 Prescribed courses (Act s 1280(2A))

Division 2A—Conditions on registration

9.2.08 Kinds of conditions (Act s 1289A)

Part 9.2A—Authorised audit companies

Division 1—Registration

9.2A.01 Application for registration as authorised audit company (Act s 1299A)

9.2A.03 Annual statements by authorised audit company (Act s 1299G)

Part 9.4—Penalty notice offences and penalties

9.4.01 Prescribed offences (Act s 1313)

9.4.02 Prescribed penalties (Act s 1313)

9.4.03 Late payment of review fee—prescribed offence and penalty (Act s 1313 and 1364)

Part 9.4A—Register and index

9.4A.01 Definitions for Part 9.4A

9.4A.02 Register and index must be kept up to date: subsection 1306(4A) of the Act

Part 9.5—Delegation of powers and functions under the Act

9.5.01 Prescribed functions (Law s 1345A(1))

Part 9.7—Unclaimed property

9.7.01 Entitlement to unclaimed property

Part 9.12—Matters relating to regulations

9.12.01 Exemptions from Chapter 7

9.12.02 Exemption from provisions of Chapter 7—CLS Bank

9.12.03 Partial exemption of foreign-based market licensees from certain notification obligations

9.12.04 Exemption from provisions of Chapter 7—compliance with ASIC exemptions

9.12.04 Exemption from provisions of Chapter 7—carbon unit auctions

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

10.1.01 Repeal of Corporations Regulations 1990

10.1.02 Repeal of Partnerships and Associations Application Order 1999 (No. 1)

Part 10.2—Transitional arrangements relating to Financial Services Reform legislation

Division 1—Preliminary

10.2.01 Application of Part 10.2

10.2.02 Definitions

10.2.02A References to transition periods

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

10.2.02C Proposed markets

Division 2—Transitional arrangements relating to business rules or listing rules

Subdivision 2.1—Business rules

10.2.03 Amendment of business rules of securities exchange before FSR commencement

10.2.04 Amendment of SCH business rules before FSR commencement

10.2.05 Amendment of SEGC business rules before FSR commencement

10.2.06 Amendment of business rules of futures body before FSR commencement

Subdivision 2.2—Listing rules

10.2.07 Amendment of listing rules of securities exchange before FSR commencement

Division 3—Status of directions and notices

10.2.08 Direction to securities exchange to comply with ongoing requirements

10.2.09 Notice to securities exchange of need to prohibit trading

10.2.10 Notice to securities exchange prohibiting trading

10.2.11 Direction to futures exchange—orderly market

Division 4—Assistance to ASIC

10.2.12 Obligations of securities exchange: disciplinary action

10.2.13 Obligations of securities exchange: particulars of contravention

10.2.14 Obligations of securities exchange: information about listed disclosing entity

10.2.15 Obligations of securities clearing house: disciplinary action

10.2.16 Obligations of futures body: disciplinary action

10.2.17 Obligations of futures body: particulars of contravention

10.2.18 Obligations of clearing house for futures exchange: information about listed disclosing entity

Division 5—Special reports

10.2.19 Special report by securities exchange about compliance with ongoing requirements

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

10.2.20A References to financial service licensee

Division 5B—Obligation to pay money into account

10.2.20B Financial products quoted on Australian Stock Exchange Limited

Division 6—Self-listing

10.2.21 Status of arrangements for self-listing

10.2.22 Status of exemption relating to self-listing

Division 7—Decisions about membership of futures exchange

10.2.23 Status of notice to applicant

10.2.24 Status of notice to ASIC

Division 8—National Guarantee Fund

10.2.25 Status of claim against the National Guarantee Fund

10.2.26 Entitlement to make claim against the National Guarantee Fund

10.2.27 Status of future claim against the National Guarantee Fund

10.2.27A Expenditure of excess funds from National Guarantee Fund

Division 9—Claims against fidelity funds

10.2.28 Status of claim against fidelity fund

10.2.29 Entitlement to make claim against fidelity fund

10.2.29A Status of incomplete claim against fidelity fund

10.2.30 Status of future claim against fidelity fund

Division 10—Status of netting markets

10.2.31 Netting markets

10.2.32 Netting market approval granted before the FSR commencement

Division 11—Status of listed securities

10.2.33 Securities of exempt stock markets

Division 12—Miscellaneous

10.2.34 Preservation of nomination of body corporate as SEGC

Division 13—Regulated principals

10.2.35 Definitions

10.2.35A Streamlined licensing procedure for certain regulated principals

10.2.36 Persons who are not covered by section 1433 of the Act

10.2.37 Variation of conditions on financial services licence

10.2.38 Persons taken to be regulated principals: giving of incidental advice and previously exempt persons

10.2.39 Reference to offer covered by Australian financial services licence: section 911A of the Act

10.2.40 Reference to financial services licensee: section 911A of the Act

10.2.40A Need for an Australian financial services licence

10.2.41 Reference to second principal: section 911B of the Act

10.2.42 Reference to financial services licensee: section 916D of the Act

10.2.43 Status of insurance agent: section 1436A of the Act

10.2.44A Obligation to cite licence number in documents

10.2.46 When Australian financial services licence may be granted

10.2.46A When Australian financial services licence may be varied

10.2.47 Dispute resolution requirements: no external dispute resolution scheme

10.2.47A Modification of pre-FSR authority

Division 14—Financial services disclosure

10.2.48 Obligation to give Financial Services Guide for service arranged before application of Part 7.7 of the Act

10.2.48A Obligation to give a Financial Services Guide for a custodial and depository service

10.2.49 Obligation to give Financial Services Guide in relation to existing clients

10.2.50 Content of Financial Services Guide for an authorised representative that is a regulated principal or a representative of a regulated principal

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

10.2.51 Sale offers that need disclosure

10.2.52 Offers that do not need disclosure: small scale offerings

10.2.52A Offers that do not need disclosure

10.2.53 Money other than loans: financial services licensee who formerly held dealer’s licence

10.2.54 Money other than loans: financial services licensee who formerly held futures broker’s licence

10.2.55 Money other than loans: financial services licensee who was formerly a registered insurance broker

10.2.56 Money other than loans: financial services licensee who ceases to be licensed

10.2.57 Loan money: financial services licensee who formerly held dealer’s licence

10.2.58 Other property of clients: financial services licensee who formerly held dealer’s licence

10.2.59 Other property of clients: financial services licensee who formerly held futures broker’s licence

10.2.60 Special provisions relating to insurance: financial services licensee who was formerly a registered insurance broker

10.2.61 Obligation to report: financial services licensee who formerly held a futures broker’s licence

10.2.62 Reporting in relation to dealings in derivatives: financial services licensee who formerly held a dealer’s licence

10.2.63 Financial statements of financial services licensee: general

10.2.64 Financial statements of financial services licensees who were certain regulated principals

10.2.65 Auditors: certain financial services licensee who formerly held dealer’s licence

10.2.66 Auditors: certain financial services licensees who held a futures broker’s licence

10.2.67 Auditor’s report in certain matters: financial services licensee who formerly held a dealer’s licence

10.2.68 Auditor’s report on certain matters: financial services licensee who formerly held a futures broker’s licence

10.2.69 Auditor’s report on certain matters: financial services licensee who was formerly a registered insurance broker

10.2.70 Priority to clients’ orders: financial services licensee who held a dealers licence

10.2.71 Sequencing of instructions to deal through licensed markets: financial services licensee who formerly held a futures brokers licence

10.2.72 Records relating to instructions to deal through licensed markets: financial services licensee who held a futures brokers licence

10.2.73 Dealing with non-licensees: financial services licensee who held a dealers licence

10.2.73A Advertising for financial products

10.2.73B Freezing accounts

Division 16—Product disclosure provisions for existing products during transition period

10.2.74 Financial products in the same class

10.2.75 References to financial services licensee

10.2.76 References to retail client

10.2.77 References to issue of product

10.2.78 References to Product Disclosure Statement: offer previously accepted

10.2.79 References to Product Disclosure Statement: managed investment products

10.2.80 Lodgment of Product Disclosure Statement after lodgment of notice

10.2.81 Ongoing disclosure

10.2.82 Money received for financial product before the product is issued: general

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

10.2.84 Confirmation of transactions

10.2.85 Dispute resolution requirements: financial products

10.2.86 Dispute resolution requirements: regulated principals

10.2.87 Dispute resolution requirements: no external dispute resolution scheme

10.2.87A Meaning of financial product advice: exempt document or statement

Division 17—Arrangements relating to enforcement of matters by ASIC

10.2.88 Definition

10.2.89 Financial services law

10.2.90 ASIC may have regard to prior conduct and events

10.2.91 Power to act in relation to relevant old legislation

Division 18—Specific kinds of documents in existence before FSR commencement

10.2.92 Banning orders made before FSR commencement

10.2.93 Banning orders made under relevant old legislation after FSR commencement

10.2.94 Banning orders made under the Act after FSR commencement

10.2.94A Prohibitions under paragraphs 827(1)(d) and 1192(1)(d) of the old Corporations Act made before FSR commencement

10.2.94B Prohibitions under paragraphs 827(1)(d) and 1192(1)(d) of the old Corporations Act made after FSR commencement

10.2.95 Undertakings

10.2.96 Registers in existence before FSR commencement

10.2.97 Registers created after FSR commencement

10.2.98 Registers, documents and things kept before FSR commencement

10.2.98A Licenses, registration, etc in force before FSR commencement

Division 19—Extension of limitation periods

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

10.2.100 Application of Division 20

10.2.101 Definitions for Division 20

10.2.102 Liability of responsible person: general rules

10.2.103 Conduct by a person who operates as representative and principal

10.2.104 Operation of regulations 10.2.102 and 10.2.103

Division 21—Title and transfer

10.2.105 Loss or destruction of certificates

10.2.106 Instrument of transfer

10.2.107 Trustee etc may be registered as owner of shares

10.2.108 Registration of transfer at request of transferor

10.2.109 Notice of refusal to register transfer

10.2.110 Duties of company with respect to issue of certificates: allotment of shares or debentures or making interests available

10.2.111 Duties of company with respect to issue of certificates: transfer of shares, debentures or interests

10.2.112 Notices relating to non-beneficial and beneficial ownership of shares

10.2.113 What is a sufficient transfer of marketable securities or marketable rights: general

10.2.114 Sufficient transfer by authorised trustee corporation

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

10.2.116 Cash dealer

10.2.117 Exempt cash transaction

Division 23—Transitional matters under relevant old legislation: Income Tax Assessment Act 1936

10.2.118 Offshore banking units

Division 24—Transitional matters under relevant old legislation: Insurance Act 1973

10.2.119 Insurers carrying on class of insurance business

Division 24A—Transitional matters under relevant old legislation: Insurance (Agents and Brokers) Act 1984

10.2.119A Debts of broker in relation to premiums etc

10.2.119B Disqualifications made before FSR commencement

10.2.119C Disqualifications made after FSR commencement

Division 25—Transitional matters under relevant old legislation: Marine Insurance Act 1909

10.2.120 Marine policy effected through broker

Division 25A—Transitional matters under relevant old legislation: Retirement Savings Accounts Regulations 1997

10.2.120A Continuation of RSA Regulations during transition period

Division 25B—Transitional matters under relevant old legislation: Superannuation Industry (Supervision) Regulations 1994

10.2.120B Continuation of SIS Regulations during transition period

Division 26—Transitional matters under relevant old legislation: Superannuation (Resolution of Complaints) Act 1993

10.2.121 Life insurance broker

Division 27—Transitional matters under the Act (other than Chapter 7)

10.2.122 Solvency and insolvency

10.2.123 Managed investment products held by 100 or more persons

10.2.124 When a managed investment scheme must be registered

10.2.125 Responsible entity to be a public company and hold an Australian financial services licence

10.2.126 Duties of officers of responsible entity

10.2.127 Voidable contracts

10.2.128 Situations not giving rise to relevant interests

10.2.129 Bidder’s statement content

10.2.130 Continuous disclosure: other disclosing entities

10.2.131 Sale offers that need disclosure: securities issued before FSR commencement

10.2.132 Offers that do not need disclosure: offer to sophisticated investor through licensed dealer

10.2.133 Prospectus content: general disclosure test

10.2.134 Prospectus content—specific disclosures

10.2.135 Registers

Division 27A—Transitional matters under other legislation

10.2.135A References to authorised foreign exchange dealers

Division 28—Retail clients and wholesale clients

10.2.136 Securities before the FSR commencement

10.2.137 Incomplete financial services

10.2.138 Professional investors

Division 29—Effect on definitions in old Corporations Act of transition to licensed markets and licensed CS facilities

10.2.139 Approved foreign bank

10.2.140 Eligible exchange-traded options

10.2.141 Futures law

10.2.142 Member organisation

10.2.143 Non-broker

10.2.144 Non-dealer

10.2.145 Securities law

10.2.146 Marketable parcel

Division 30—Effect on certain conduct of transition to licensed markets and licensed CS facilities

10.2.147 Own account dealings and transactions: futures contracts

10.2.148 Conditions of dealers licence

10.2.149 Persons who are not clients

10.2.150 Dealings and transactions on a dealer’s own account

10.2.151 Dealer to give priority to clients’ orders

10.2.152 Dealers’ financial records

10.2.153 Auditor to report to ASIC on certain matters

10.2.154 Qualified privilege for auditor

10.2.155 Court may freeze certain bank accounts of dealers and former dealers

10.2.156 Interpretation—registers

10.2.157 Conditions of futures broker’s licence: membership of futures organisation

10.2.158 Futures organisation to be informed about conditions of futures brokers licence

10.2.159 Licensee to notify breach of licence condition

10.2.160 Register of Futures Licensees

10.2.161 Excluded clients

10.2.162 Segregation of client money and property

10.2.163 Accounts to be kept by futures brokers

10.2.164 Property in custody of futures broker

10.2.165 Auditor to report to ASIC in certain cases

10.2.166 Defamation

10.2.167 Power of Court to restrain dealings with futures broker’s bank accounts

10.2.168 Power of Court to restrain dealings with futures broker’s bank accounts

10.2.169 Sequence of transmission and execution of orders

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

10.2.171 Sale offers that need disclosure

10.2.172 Prospectus content—specific disclosures

10.2.173 Issuing or transferring the securities under a disclosure document

10.2.174 Choices open to person making an offer if disclosure document condition not met or disclosure document defective

10.2.175 Restrictions on advertising and publicity

Division 32—Effect on product disclosure of transition to licensed markets and licensed CS facilities

10.2.176 Offers that do not need disclosure

10.2.177 Prospectus content—general disclosure test

10.2.178 Prospectus content—specific disclosures

10.2.179 Futures broker to give certain information to prospective client

Expand Division 33—Effect on Corporations Regulations 2001 of transition of financial service providers and transition to licensed markets and licensed CS facilities

Division 33—Effect on Corporations Regulations 2001 of transition of financial service providers and transition to licensed markets and licensed CS facilities

10.2.180 Licence conditions—investment advice to retail investors

10.2.181 Exemption from licensing—certain dealings

10.2.182 Exemption from licensing—managed investment schemes

10.2.183 Exempt dealer

10.2.184 Exempt securities and interests

10.2.185 Transactions in prescribed circumstances

10.2.186 Exempted transaction

10.2.187 Charging brokerage on principal transactions

10.2.188 Exemption from subsection 844(2) of old Corporations Act

10.2.189 Exemption: Part 8.3 of old Corporations Act—certain futures contracts

10.2.190 Exemption of certain transactions from subsection 1206(1) of old Corporations Act

10.2.191 Exemption of certain transactions from subsection 1207(1) of the old Corporations Act

10.2.192 Which futures broker to comply with subsection 1207(1) of old Corporations Act in relation to certain transactions

10.2.193 Exemption of certain transactions from paragraphs 1207(1)(g) and (h) of old Corporations Act

Expand Division 34—Effect on certain instruments of transition of financial service providers and transition to licensed markets and licensed CS facilities

Division 34—Effect on certain instruments of transition of financial service providers and transition to licensed markets and licensed CS facilities

10.2.194 References to certain matters

Division 35—Streamlined licensing

10.2.195 Suspension or cancellation of streamlined licence

Division 36—Insurance multi-agents

10.2.196 Application by holder of qualified licence

Division 37—Hawking of managed investment products

10.2.197 Hawking interest in managed investment scheme

10.2.198 Hawking financial product—other arrangements

Division 38—Security bonds issued before FSR commencement

10.2.199 Security bonds

Division 39—Disclosure documents

10.2.200 Disclosure documents—cooling-off period

Division 40—Telephone monitoring during takeovers

10.2.201 Telephone monitoring

10.2.201A References to financial services licensees

Division 41—Requirements if Product Disclosure Statement is not in existence

10.2.202 Documents equivalent to Product Disclosure Statement

Division 42—Dealing with money received for financial product before the product is issued

10.2.203 Payment of money into account

Division 43—Arrangements related to deposits with stock exchanges

10.2.204 Withdrawals from trust account

Division 44—Superannuation to which arrangements apply under the Family Law Act 1975

10.2.205 Application of amendments

Division 45—Arrangements relating to certain reporting periods

10.2.206 Fund information for retail clients for financial products that have an investment component: superannuation

10.2.207 Periodic statements for retail clients for financial products that have an investment component

Division 46—Arrangements relating to passbook accounts

10.2.208 Periodic statements

10.2.209 Confirmation of transactions

Division 47—Agreements with unlicensed persons relating to the provision of financial services

10.2.210 Agreements

Division 48—Arrangements for Lloyd’s

10.2.211 Lloyd’s

Division 49—Hawking of certain financial products

10.2.212 Hawking of managed investment products

Division 50—Warrants or options to acquire issued securities

10.2.213 Warrants or options to acquire issued securities

Division 52—Winding up of fidelity funds if market ceases to operate

10.2.215 Winding up of fidelity funds if market ceases to operate

Expand Part 10.5—Transitional provisions relating to the Corporate Law Economic Reform Program (Audit Reform and Corporate Disclosure) Act 2004

Part 10.5—Transitional provisions relating to the Corporate Law Economic Reform Program (Audit Reform and Corporate Disclosure) Act 2004

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

10.15.01 Application of Part 10.15

10.15.02 Amendments not to apply to certain operators of licensed markets

10.15.03 Transfer of documents

10.15.04 Notifications, consents, waivers, etc

10.15.05 Notification given by participant to operator of licensed market

10.15.06 Registers

Part 10.18—Transitional provisions relating to Corporations Amendment (Further Future of Financial Advice Measures) Act 2012

Part 10.19—Transitional matters relating to MySuper measures

10.19.01 Changes to product disclosure statements and periodic statements

Part 10.20—Transitional matters relating to relevant providers and persons who control body corporate licensees

Division 1—Introduction

10.20.01 Simplified outline of this Part

10.20.02 Object of this Part

10.20.03 Definitions

Division 2—General application provision for Schedule 8D

10.20.04 General application provision for Schedule 8D

Division 3—Pre-existing and new relevant providers and controllers during the transitional period

10.20.05 Application of this Division

10.20.06 Notices under section 922D—initial lodgement of information

10.20.07 Notices under section 922D—later notice about educational qualifications and professional memberships

10.20.08 Notices under section 922H—important changes before 30 April 2015

10.20.09 Notices under section 922H—other changes before 30 September 2015

10.20.10 Notices under section 922J—pre-existing body corporate licensees

10.20.11 Notices under section 922J—controllers during transition period

10.20.12 Notices under section 922K—ceasing to control a pre-existing body corporate licensees

10.20.13 Change in matter within 30 business days

10.20.14 Application of regulations 10.20.06 to 10.20.13

Division 4—Other application provisions

10.20.15 Application—relevant provider numbers

10.20.16 Application—register of relevant providers

10.20.17 Application—prescribed registers

Expand Part 10.21—Application provisions relating to the Corporations Amendment (Central Clearing and Single-Sided Reporting) Regulation 2015

Part 10.21—Application provisions relating to the Corporations Amendment (Central Clearing and Single-Sided Reporting) Regulation 2015

10.21.01 First application of 7.5A.73—existing phase 3 reporting entities

Expand Part 10.22—Application provisions related to the Corporations Amendment (Financial Services Information Lodgement Periods) Regulation 2015

Part 10.22—Application provisions related to the Corporations Amendment (Financial Services Information Lodgement Periods) Regulation 2015

10.22.01 Application of amendment of paragraph 7.6.04(1)(c)

10.22.02 Application of modification of subsections 916F(1) and (3)

Chapter 12—Financial sector reform

Part 12.1—Preliminary

12.1.01 Definitions for Chapter 12

12.1.02 Application of this Chapter to previous governing Codes etc

12.1.03 Interpretation of applied provisions

Part 12.2—Transitional matters—general

Division 2—Other matters

12.2.08 Lodgment of certain documents with ASIC

12.2.10 Certain appointments of auditors continue

12.2.12 Converted shares

Part 12.4—Notice of meetings of certain bodies corporate

12.4.01 Application of Part

12.4.02 Modification of certain provisions of Act

12.4.03 Members etc may elect to be notified of meetings

12.4.04 Notice of meetings to be published in press

12.4.05 Copies of notices to be displayed

12.4.06 Members may request notice of meetings at any time

12.4.07 Records to be kept about notices

Part 12.5—Determinations and declarations in relation to certain instruments

12.5.01 Definition for Part 12.5

12.5.02 Application, variation, revocation and modification

12.5.03 Effect of determinations and declarations

12.5.04 Publication of determinations and declarations

12.5.05 When determinations and declarations take effect

12.5.06 Inspection and purchase of copies of instruments

Part 12.6—Financial reporting by certain bodies corporate

12.6.01 Application of Part

12.06.01A Annual financial reporting

12.6.02 Modification of certain provisions of Act

12.6.03 Members etc may elect to receive reports

12.6.04 Copies of reports to be available to members

12.6.05 Records to be kept about notices

Part 12.7—Other disclosure

Division 1—Preliminary

12.7.01 Definitions for Part 12.7

12.7.02 Declarations by ASIC

Division 2—Continued application of certain provisions

12.7.03 Continuation of certain provisions of previous governing Codes

12.7.04 Continuation of ASIC transitional standards

12.7.05 Exemption from, and modification of, certain provisions

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

12.8.02 Application of Part 12.8

12.8.03 What is a member share

12.8.04 Declarations by ASIC

Division 2—Member shares

12.8.05 Notice requirements

12.8.06 Registers of members

12.8.06A Member shares—liability to pay calls

12.8.07 Disclosure in annual returns

12.8.08 Member shares—numbering and certificates

12.8.09 Member shares—unclaimed property

Division 3—Certain shares in transferring building societies and credit unions

12.8.10 Definitions for Division 3

12.8.11 Transferring building societies may issue shares equivalent to membership shares

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

12.9.01 Application of Part 12.9

12.9.02 Winding up

12.9.03 Deregistration

Volume 5

Schedule 1—List of forms in Schedule 2

Schedule 2—Forms

Form 314

Form 501

Form 502

Form 503

Form 521

Form 5249

Form 527

Form 530

Form 532

Form 535

Form 536

Form 537

Form 538

Form 539

Form 541

Form 542

Form 543

Form 544

Form 547

Form 548

Form 549

Form 550

Form 551

Form 552

Form 553

Form 701

Form 719

Form 719A

Form 719B

Form 720

Form 721

Form 905

Form 910

Schedule 2A—Forms of transfer of Division 3 securities

Form 1

Form 2

Form 3

Form 4

Form 5

Form 6

Form 7

Form 8

Form 9

Form 10

Volume 6

Schedule 3—Specified offices

Schedule 4—Prescribed amounts

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

Part 2—Names unacceptable for registration

Part 3—Restricted words and phrases

Part 4—Consent required to use restricted words and phrases

Part 5—Names relating to financial institutions for use of which consent is required

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

Schedule 8—Schemes of arrangement under Part 5.1 of the Act

Chapter 5—External administration

Part 1—Interpretation and application

Part 2—Prescribed information relating to proposed compromise or arrangement with creditors or class of creditors

Part 3—Prescribed information relating to proposed compromise or arrangement with members or a class of members

Part 4—Prescribed information relating to proposed compromise or arrangement with members or class of members for transfer to a trustee

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

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

Schedule 8D—Modifications of Division 9 of Part 7.6 of the Act

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 Management costs

103 Transactional and operational costs

104 Indirect cost ratio

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 managed investment products

202 Template for a multiple fee structure—managed investment products

202A Template for single fee structure—managed 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 Managed 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 managed 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

Part 2—Modifications relating to Product Disclosure Statements for RSA products

Part 3—Modifications relating to insurance options under contract associated with superannuation interest

Part 5A—Modifications for margin loan

Part 5B—Modifications for superannuation products to which Subdivision 4.2B of Division 4 of Part 7.9 applies

Part 5C—Modifications for simple managed investment scheme

Part 6—Modifications relating to application forms and Product Disclosure Statements for standard employer-sponsor arrangements and successor funds

Part 6A—Modifications relating to MySuper measures

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

Part 8—Modifications relating to periodic statements for RSA providers

Part 9—Modifications relating to periodic statements for superannuation entities and RSA providers

Part 10—Modifications relating to ongoing disclosure of material changes and significant events in relation to superannuation products and RSAs

Part 11—Modifications relating to charges for information requested

Part 12—Modifications relating to information when member leaves a fund

Part 13—Modifications relating to exceptions to exit reporting period provisions

Part 14—Modifications relating to obligation to give information about financial products

Part 15—Modifications for confirmation of transactions

Part 16—Modifications relating to reporting periods

Part 17—Modifications relating to application forms for specified superannuation products

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

Part 19—Modifications for carbon units, Australian carbon credit units and eligible international emissions units

Expand 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

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

Part 2—Modification of Part 7.9 of the Act—disclosure to investors not required for recognised offer under Chapter 8

Schedule 10BA—Modifications of the Act relating to Short-Form Product Disclosure Statements

Part 1—Modifications of Part 7.7 of the Act

Part 2—Modifications of Part 7.8 of the Act

Part 3—Modifications of Part 7.9 of the Act

Schedule 10C—Form and content of Product Disclosure Statement—margin loan

1 Length and font size for Product Disclosure Statement for margin loan

2 Minimum content of Product Disclosure Statement for margin loan

3 Contents of section 1 (About [name of provider of the margin loan] and [name of margin loan product])

4 Contents of section 2 (Benefits of [name of margin loan product])

5 Contents of section 3 (How [name of margin loan product] 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)

Expand Schedule 10D—Form and content of Product Disclosure Statement—superannuation product to which Subdivision 4.2B of Division 4 of Part 7.9 applies

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 10D—Persons who are not covered by section 1433 of the Act

Schedule 12—ASIC transitional standards

Volume 7

Endnotes

Endnote 1—About the endnotes

Endnote 2—Abbreviation key

Endnote 3—Legislation history

Endnote 4—Amendment history

Endnote 5—Miscellaneous

TOC

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Federal Register of Legislation - Australian Government

Primary content

Corporations Regulations 2001