• Specific Year
    Any

CORPORATIONS ACT 2001 - SECT 994Q Kinds of orders that may be made to redress loss or damage suffered by non - party consumers etc.

CORPORATIONS ACT 2001 - SECT 994Q

Kinds of orders that may be made to redress loss or damage suffered by non - party consumers etc.

    Without limiting subsection   994P(1), the orders that the Court may make under that subsection against a person (the respondent ) include all or any of the following:

  (a)   an order declaring the whole or any part of a contract made between the respondent and a non - party consumer referred to in that subsection, or a collateral arrangement relating to such a contract:

  (i)   to be void; and

  (ii)   if the Court thinks fit--to have been void ab initio or void at all times on and after such date as is specified in the order (which may be a date that is before the date on which the order is made);

  (b)   an order:

  (i)   varying such a contract or arrangement in such manner as is specified in the order; and

  (ii)   if the Court thinks fit--declaring the contract or arrangement to have had effect as so varied on and after such date as is specified in the order (which may be a date that is before the date on which the order is made);

  (c)   an order refusing to enforce any or all of the provisions of such a contract or arrangement;

  (d)   an order directing the respondent to refund money or return property to a non - party consumer referred to in that subsection;

  (e)   an order directing the respondent, at the respondent's own expense, to repair, or provide parts for, goods that have been supplied under the contract or arrangement to a non - party consumer referred to in that subsection;

  (f)   an order directing the respondent, at the respondent's own expense, to supply specified services to a non - party consumer referred to in that subsection;

  (g)   an order, in relation to an instrument creating or transferring an interest in land, directing the respondent to execute an instrument that:

  (i)   varies, or has the effect of varying, the first - mentioned instrument; or

  (ii)   terminates or otherwise affects, or has the effect of terminating or otherwise affecting, the operation or effect of the first - mentioned instrument.

Administrators of significant financial benchmarks must be licensed under this Part. Administrators of other financial benchmarks may voluntarily opt in to the same licensing scheme.

Licensees are subject to certain obligations.

ASIC may make financial benchmark rules that apply in relation to licensees and the financial benchmarks they administer.

ASIC may also make compelled financial benchmark rules to deal with circumstances such as the failure of a licensee to administer a significant financial benchmark specified in its licence.

Offences and civil penalty provisions apply to conduct that could unduly manipulate a financial benchmark.

 

Commonwealth Coat of Arms of Australia

Corporations Act 2001

No.   50, 2001

Compilation No.   128

Compilation date:   1 January 2024

Includes amendments:   Act No. 69, 2023

Registered:   24 January 2024

This compilation is in 7 volumes

Volume 1:   sections   1-260E

Volume 2:   sections   283AA-600K

Volume 3:   sections   601-742

Volume 4:   sections   760A-994Q

Volume 5:   sections   1010A-1243A

Volume 6:   sections   1272-1701

Volume 7:   Schedules

  Endnotes

Each volume has its own contents

About this compilation

This compilation

This is a compilation of the Corporations Act 2001 that shows the text of the law as amended and in force on 1 January 2024 (the compilation date ).

The notes at the end of this compilation (the endnotes ) include information about amending laws and the amendment history of provisions of the compiled law.

Uncommenced amendments

The effect of uncommenced amendments is not shown in the text of the compiled law. Any uncommenced amendments affecting the law are accessible on the Register (www.legislation.gov.au). The details of amendments made up to, but not commenced at, the compilation date are underlined in the endnotes. For more information on any uncommenced amendments, see the Register for the compiled law.

Application, saving and transitional provisions for provisions and amendments

If the operation of a provision or amendment of the compiled law is affected by an application, saving or transitional provision that is not included in this compilation, details are included in the endnotes.

Editorial changes

For more information about any editorial changes made in this compilation, see the endnotes.

Modifications

If the compiled law is modified by another law, the compiled law operates as modified but the modification does not amend the text of the law. Accordingly, this compilation does not show the text of the compiled law as modified. For more information on any modifications, see the Register for the compiled law.

Self - repealing provisions

If a provision of the compiled law has been repealed in accordance with a provision of the law, details are included in the endnotes.

 

 

 

Contents

Chapter   7--Financial services and markets

Part   7.9--Financial product disclosure and other provisions relating to issue, sale and purchase of financial products

Division   1--Preliminary

1010A   Part generally does not apply to securities

1010B   Part does not apply to financial products not issued in the course of a business

1010BA   Part does not apply to contribution plans and ESS contribution plans

1010C   Meaning of offer , purchase and sale --Part   7.9

1010D   General approach to offence provisions

Division   2--Product Disclosure Statements

Subdivision A--Preliminary

1011A   Jurisdictional scope of Division

1011B   Meaning of regulated person

1011C   Treatment of offers of options over financial products

Subdivision B--Requirement for a Product Disclosure Statement to be given

1012A   Obligation to give Product Disclosure Statement--personal advice recommending particular financial product

1012B   Obligation to give Product Disclosure Statement--situations related to issue of financial products

1012C   Obligation to give Product Disclosure Statement--offers related to sale of financial products

1012D   Situations in which Product Disclosure Statement is not required

1012DAA   Rights issues for which Product Disclosure Statement is not required

1012DA   Product Disclosure Statement not required for sale amounting to indirect issue

1012E   Small scale offerings of managed investment and other prescribed financial products (20 issues or sales in 12 months)

1012F   Product Disclosure Statement for certain superannuation products may be provided later

1012G   Product Disclosure Statement may sometimes be provided later

1012GA   Product Disclosure Statement for certain general insurance product quotes may be provided later, or is not required

1012H   Obligation to take reasonable steps to ensure that Product Disclosure Statement is given to person electing to be covered by group financial product

1012I   Obligation to give employer a Product Disclosure Statement in relation to certain superannuation products and RSAs

1012IA   Treatment of arrangements under which a person can instruct another person to acquire a financial product

1012J   Information must be up to date

1012K   Anti - avoidance determinations

Subdivision C--Preparation and content of Product Disclosure Statements

1013A   Who must prepare Product Disclosure Statement

1013B   Title of Product Disclosure Statement

1013C   Product Disclosure Statement content requirements

1013D   Product Disclosure Statement content--main requirements

1013DA   Information about ethical considerations etc.

1013E   General obligation to include other information that might influence a decision to acquire

1013F   General limitations on extent to which information is required to be included

1013FA   Information not required to be included in PDS for continuously quoted securities

1013G   Product Disclosure Statement must be dated

1013GA   Extra requirements if Product Disclosure Statement relates to foreign passport fund products

1013H   Requirements if Product Disclosure Statement states or implies that financial product will be able to be traded

1013I   Extra requirements if Product Disclosure Statement relates to managed investment products that are ED securities

1013IA   Extra requirements if Product Disclosure Statement relates to foreign passport fund products that are ED securities

1013J   Requirements if Statement has been lodged with ASIC

1013K   Requirements relating to consents to certain statements

1013L   Product Disclosure Statement may consist of 2 or more separate documents given at same time

1013M   Combining a Product Disclosure Statement and a Financial Services Guide in a single document

Subdivision D--Supplementary Product Disclosure Statements

1014A   Meaning of Supplementary Product Disclosure Statement

1014B   Title of Supplementary Product Disclosure Statement

1014C   Form of Supplementary Product Disclosure Statement

1014D   Effect of giving person a Supplementary Product Disclosure Statement

1014E   Situation in which only a Supplementary Product Disclosure Statement need be given

1014F   Application of other provisions in relation to Supplementary Product Disclosure Statements

Subdivision DA--Replacement Product Disclosure Statements

1014G   Application of this Subdivision--stapled securities

1014H   Meaning of Replacement Product Disclosure Statement

1014J   Consequences of lodging a Replacement Product Disclosure Statement

1014K   Form, content and preparation of Replacement Product Disclosure Statements

1014L   Giving, lodgment and notice of Replacement Product Disclosure Statements

Subdivision E--Other requirements relating to Product Disclosure Statements and Supplementary Product Disclosure Statements

1015A   Subdivision applies to Product Disclosure Statements and Supplementary Product Disclosure Statements

1015B   Some Statements must be lodged with ASIC

1015C   How a Statement is to be given

1015D   Notice, retention and access requirements for Statement that does not need to be lodged

1015E   Altering a Statement after its preparation and before giving it to a person

Subdivision F--Other rights and obligations related to Product Disclosure Statements

1016A   Provisions relating to use of application forms

1016B   If Statement lodged with ASIC, financial product is not to be issued or sold before specified period

1016C   Minimum subscription condition must be fulfilled before issue or sale

1016D   Condition about ability to trade on a market must be fulfilled before issue or sale

1016E   Choices open to person making the offer if disclosure condition not met or Product Disclosure Statement defective

1016F   Remedies for person acquiring financial product under defective Product Disclosure Document

Division   3--Other disclosure obligations of the issuer of a financial product

1017A   Obligation to give additional information on request

1017B   Ongoing disclosure of material changes and significant events

1017BA   Trustees of regulated superannuation funds--obligation to make product dashboard publicly available

1017BB   Trustees of registrable superannuation entities--obligation to make information relating to investment of assets publicly available

1017C   Information for existing holders of superannuation products and RSAs

1017D   Periodic statements for retail clients for financial products that have an investment component

1017DA   Trustees of superannuation entities--regulations may specify additional obligations to provide information

1017E   Dealing with money received for financial product before the product is issued

1017F   Confirming transactions

1017G   Certain product issuers and regulated persons must meet appropriate dispute resolution requirements

Division   4--Advertising for financial products

1018A   Advertising or other promotional material for financial product must refer to Product Disclosure Statement

1018B   Prohibition on advertising personal offers covered by section   1012E

Division   5--Cooling - off periods

1019A   Situations in which this Division applies

1019B   Cooling - off period for return of financial product

Division   5A--Unsolicited offers to purchase financial products off - market

1019D   Offers to which this Division applies

1019E   How offers are to be made

1019F   Prohibition on inviting offers to sell

1019G   Duration and withdrawal of offers

1019H   Terms of offer cannot be varied

1019I   Contents of offer document

1019J   Obligation to update market value

1019K   Rights if requirements of Division not complied with

Division   5B--Disclosure etc. in relation to short sales covered by securities lending arrangement of listed section   1020B products

1020AAA   Treatment of transactions relating to section   1020B products

1020AA   Meaning of securities lending arrangement

1020AB   Seller disclosure

1020AC   Licensee disclosure

1020AD   Public disclosure of information

1020AE   Licensee's obligation to ask seller about short sale

1020AF   Regulations

Division   5C--Information about CGS depository interests

1020AG   Jurisdictional scope of Division

1020AH   Meaning of CGS depository interest information website , information statement and regulated person

1020AI   Requirement to give information statements for CGS depository interest if recommending acquisition of interest

1020AJ   Information statement given must be up to date

1020AK   How an information statement is to be given

1020AL   Civil action for loss or damage

Division   6--Miscellaneous

1020A   Offers etc. relating to certain managed investment schemes not to be made in certain circumstances

1020BAA   Offers etc. relating to foreign passport funds not to be made in certain circumstances

1020B   Prohibition of certain short sales of securities, managed investment products, foreign passport fund products and certain other financial products

1020D   Part   cannot be contracted out of

1020E   Stop orders by ASIC

1020F   Exemptions and modifications by ASIC

1020G   Exemptions and modifications by regulations

Division   7--Enforcement

Subdivision A--Offences

1021A   Overview

1021B   Meaning of defective and disclosure document or statement

1021C   Offence of failing to give etc. a disclosure document or statement

1021D   Offence of preparer of defective disclosure document or statement giving the document or statement knowing it to be defective

1021E   Preparer of defective disclosure document or statement giving the document or statement (whether or not known to be defective)

1021F   Offence of regulated person (other than preparer) giving disclosure document or statement knowing it to be defective

1021FA   Paragraph   1012G(3)(a) obligation--offences relating to communication of information

1021FB   Paragraph   1012G(3)(a) obligation--offences relating to information provided by product issuer for communication by another person

1021G   Financial services licensee failing to ensure authorised representative gives etc. disclosure documents or statements as required

1021H   Offences if a Product Disclosure Statement (or Supplementary PDS) does not comply with certain requirements

1021I   Offence of giving disclosure document or statement that has not been prepared by the appropriate person

1021J   Offences if preparer etc. of disclosure document or statement becomes aware that it is defective

1021K   Offence of unauthorised alteration of Product Disclosure Statement (or Supplementary PDS)

1021L   Offences of giving, or failing to withdraw, consent to inclusion of defective statement

1021M   Offences relating to keeping and providing copies of Product Disclosure Statements (or Supplementary PDSs)

1021N   Offence of failing to provide additional information requested under section   1017A

1021NA   Offences relating to obligation to make product dashboard publicly available

1021NB   Offences relating to obligation to make superannuation investment information publicly available

1021O   Offences of issuer or seller of financial product failing to pay money into an account as required

1021P   Offences relating to offers to which Division   5A applies

Subdivision B--Civil liability

1022A   Meaning of defective and disclosure document or statement

1022B   Civil action for loss or damage

1022C   Additional powers of court to make orders

Part   7.9A--Product intervention orders

1023A   Object

1023B   Meaning of financial product-- Part   7.9A

1023C   Application of product intervention orders

1023D   ASIC may make product intervention orders

1023E   Significant detriment to retail clients

1023F   ASIC to consult before making product intervention orders

1023G   Commencement and duration of product intervention orders

1023H   Extension of product intervention orders

1023J   Amendment of product intervention orders

1023K   Revocation of product intervention orders

1023L   ASIC to issue public notice of product intervention orders

1023M   Remaking product intervention orders

1023N   Product intervention orders may require notification

1023P   Enforcement of product intervention orders

1023Q   Civil liability

1023R   Additional powers of court to make orders

1023S   Avoidance schemes--prohibition

1023T   Avoidance schemes--presumption of avoidance for certain schemes in civil cases

1023U   Avoidance schemes--exemption by ASIC

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

Division   1--Preliminary

1040A   Content of Part

1040B   Treat certain instruments as if they were financial products and Division   3 financial products

Division   2--The prohibited conduct (other than insider trading prohibitions)

1041A   Market manipulation

1041B   False trading and market rigging--creating a false or misleading appearance of active trading etc.

1041C   False trading and market rigging--artificially maintaining etc. trading price

1041D   Dissemination of information about illegal transactions

1041E   False or misleading statements

1041F   Inducing persons to deal

1041G   Dishonest conduct

1041H   Misleading or deceptive conduct (civil liability only)

1041I   Civil action for loss or damage for contravention of sections   1041E to 1041H

1041J   Sections of this Division have effect independently of each other

1041K   Division applies to certain conduct to the exclusion of State Fair Trading Acts provisions

Division   2A--Proportionate liability for misleading and deceptive conduct

1041L   Application of Division

1041M   Certain concurrent wrongdoers not to have benefit of apportionment

1041N   Proportionate liability for apportionable claims

1041O   Defendant to notify plaintiff of concurrent wrongdoer of whom defendant aware

1041P   Contribution not recoverable from defendant

1041Q   Subsequent actions

1041R   Joining non - party concurrent wrongdoer in the action

1041S   Application of Division

Division   3--The insider trading prohibitions

Subdivision A--Preliminary

1042A   Meaning of some terms relating to the insider trading prohibitions

1042B   Application of Division

1042C   Meaning of generally available

1042D   Meaning of material effect

1042E   Meaning of able to be traded

1042F   Meaning of procure

1042G   Information in possession of officer of body corporate

1042H   Information in possession of partner or employee of partnership

Subdivision B--The prohibited conduct

1043A   Prohibited conduct by person in possession of inside information

1043B   Exception for withdrawal from registered scheme or notified foreign passport fund

1043C   Exception for underwriters

1043D   Exception for acquisition pursuant to legal requirement

1043E   Exception for information communicated pursuant to a legal requirement

1043F   Chinese wall arrangements by bodies corporate

1043G   Chinese wall arrangements by partnerships etc.

1043H   Exception for knowledge of person's own intentions or activities

1043I   Exception for bodies corporate

1043J   Exception for officers or agents of body corporate

1043K   Transactions by holder of financial services licence or a representative of the holder of such a licence

1043L   A specific situation in which a compensation order under section   1317HA may be made

1043M   Defences to prosecution for an offence

1043N   Relief from civil liability

1043O   Powers of Court

Division   4--Defences, relief and limits on liability

1044A   General defence or relief for publishers

1044B   Limit on liability for misleading or deceptive conduct

Division   5--Miscellaneous

1045A   Exemptions and modifications by regulations

Part   7.10A--External dispute resolution

Division   1--Authorisation of an external dispute resolution scheme

Subdivision A--Minister may authorise an external dispute resolution scheme

1050   Minister may authorise an external dispute resolution scheme

Subdivision B--Mandatory requirements and general considerations

1051   Mandatory requirements

1051A   General considerations

Division   2--Regulating the AFCA scheme

1052   Obligation to comply with mandatory requirements

1052A   ASIC may issue regulatory requirements

1052B   Directions to increase limits on the value of claims

1052BA   Directions to ensure sufficient financing

1052C   General directions to AFCA

1052D   Approval of material changes to the AFCA scheme

1052E   Referring matters to appropriate authorities

Division   3--Additional provisions relating to superannuation complaints

Subdivision A--When complaints relating to superannuation can be made under the AFCA scheme

1053   When complaints relating to superannuation can be made under the AFCA scheme

1053A   Persons taken to be members of regulated superannuation funds, AFCA regulated superannuation schemes and approved deposit funds and holders of RSAs

Subdivision B--Powers of AFCA

1054   Power to join other parties to superannuation complaint

1054A   Power to obtain information and documents

1054B   Power to require attendance at conciliation conferences

1054BA   Power to give directions

1054C   Reference of questions of law to Federal Court

Subdivision C--Determinations of superannuation complaints

1055   Making a determination

1055A   AFCA to give reasons

1055B   Operation of determination of superannuation complaint

1055C   Evidence of determination of superannuation complaint

1055D   Compliance with determinations under the AFCA scheme

Subdivision D--Superannuation complaints relating to payment of death benefits

1056   When superannuation complaint cannot be made in relation to decision about the payment of death benefit

1056A   Joining persons to complaints relating to death benefit decisions

Subdivision E--Appeals to the Federal Court

1057   Appeals to the Federal Court from determination of superannuation complaint

1057A   Operation and implementation of determination that is subject to appeal

1057B   Sending of documents to, and disclosure of documents by, the Federal Court

Subdivision F--Secrecy

1058   Secrecy

Division   4--Information sharing and reporting

1058A   Authorised use or disclosure of information

1058B   AFCA reporting to CSLR operator

Part   7.10B--Financial services compensation scheme of last resort

Division   1--Establishment of the scheme

1059   Establishment of the scheme

1060   Minister may authorise an operator of the scheme

1061   Minister may appoint independent member

1062   Mandatory requirements

Division   2--Compensation payments under the scheme

1063   Compensation payments

1064   Eligibility for compensation payments

1065   Meaning of relevant AFCA determination

1066   Applications for compensation payments

1067   Amount of compensation payments

1068   Offer of compensation payments

1069   Acceptance of offer of compensation payments

1069A   CSLR operator's right of subrogation if compensation is paid

Division   3--Reimbursement of unpaid AFCA fees

1069B   Payment of AFCA's unpaid fees

1069C   Payment of AFCA's accumulated unpaid fees

Division   4--Powers, reporting and information sharing

Subdivision A--Powers of CSLR operator

1069D   Power to obtain information and documents

Subdivision B--Information sharing and reporting

1069E   Authorised use or disclosure of information

1069F   Reporting by CSLR operator

1069G   Publishing reports

Subdivision C--Powers of the Minister

1069H   Ministerial determination

Division   5--Regulating the CSLR operator

1069J   Obligation to comply with mandatory requirements

1069K   ASIC may issue regulatory requirements

1069L   General directions to CSLR operator

Division   6--Financial matters

1069M   Costs for first levy period

1069N   Payment to the CSLR operator of amount for the first levy period for the scheme

1069P   Payment to the CSLR operator of amounts equal to levy

1069Q   Application of money by CSLR operator

1069R   Investment by CSLR operator

1069S   Recovery of overpayments

Part   7.11--Title and transfer

Division   1--Title to certain securities

1070A   Nature of shares and certain other interests in a company or registered scheme

1070B   Numbering of shares

1070C   Matters to be specified in share certificate

1070D   Loss or destruction of title documents for certain securities

Division   2--Transfer of certain securities

Subdivision A--General provisions

1071A   Application of the Subdivision to certain securities

1071B   Instrument of transfer

1071C   Occupation need not appear in transfer document, register etc.

1071D   Registration of transfer at request of transferor

1071E   Notice of refusal to register transfer

1071F   Remedy for refusal to register transfer or transmission

1071G   Certification of transfers

1071H   Duties of company with respect to issue of certificates

Subdivision B--Special provisions for shares

1072A   Transmission of shares on death (replaceable rule--see section   135)

1072B   Transmission of shares on bankruptcy (replaceable rule--see section   135)

1072C   Rights of trustee of estate of bankrupt shareholder

1072D   Transmission of shares on mental incapacity (replaceable rule--see section   135)

1072E   Trustee etc. may be registered as owner of shares

1072F   Registration of transfers (replaceable rule--see section   135)

1072G   Additional general discretion for directors of proprietary companies to refuse to register transfers (replaceable rule--see section   135)

1072H   Notices relating to non - beneficial and beneficial ownership of shares

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

1073A   Application of the Division to certain securities

1073B   Meaning of transfer

1073C   Application of Division to certain bodies as if they were companies

1073D   Regulations may govern transfer of certain securities

1073E   ASIC may extend regulations to securities not otherwise covered

1073F   Operation of this Division and regulations made for its purposes

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

1074A   Financial products to which this Division applies

1074C   Operating rules of prescribed CS facility may deal with transfer of title

1074D   Valid and effective transfer if operating rules complied with

1074E   Regulations may govern transfer of financial products in accordance with operating rules of prescribed CS facility

1074F   Issuer protected from civil liability for person's contravention of prescribed CS facility's certificate cancellation rules

1074G   Operation of this Division and regulations made for its purposes

Division   5--Exemptions and modifications

1075A   ASIC's power to exempt and modify

Part   7.12--Miscellaneous

Division   1--Qualified privilege

1100A   Qualified privilege for information given to ASIC

1100B   Qualified privilege for the conduct of market licensees and CS facility licensees

1100C   Qualified privilege for information given to market licensees and CS facility licensees etc.

1100D   Extension of protections given by this Division

Division   1A--Employee share schemes

Subdivision A--Introduction

1100E   Simplified outline of this Division

1100F   Geographical coverage of Division

1100G   Offers and invitations both covered

1100H   Person offering interests

1100J   Offers may also be made in reliance on section   708 or 1012D

1100K   Financial markets recognised under this Division

Subdivision B--Key concepts

1100L   Meaning of employee share scheme

1100M   Meaning of ESS interest

Subdivision C--Offers that are eligible to be made under this Division

1100N   Offers that are eligible to be made under this Division

1100P   Offers for no monetary consideration

1100Q   Offers for monetary consideration

1100R   Offers that would otherwise not need disclosure

1100S   Requirements for trusts

1100T   Meaning of ESS contribution plan

1100U   Requirements for connected loans

1100V   Issue cap for offers involving consideration

1100W   Disclosure requirements for offers involving consideration

1100X   Additional disclosure requirements for offers by unlisted bodies corporate

1100Y   Terms of the offer--disclosure etc.

1100Z   Terms of the offer--misleading statements and omissions

1100ZA   Monetary cap for offers by unlisted bodies corporate

1100ZB   Amounts that are excluded from the monetary cap

Subdivision D--Making offers under this Division

1100ZC   Making offers under this Division

1100ZD   Regulatory relief for certain subsequent sale offers of ESS interests

1100ZE   Dealing with money received before ESS interest is issued

1100ZF   Dealing with money received before liquidity period

1100ZG   Revocation of regulatory relief in certain circumstances

Subdivision E--Prohibitions and defences

1100ZH   Misstatement in, or omission from, disclosure information

1100ZI   Misstatement in, or omission from, financial information for options and incentive rights

1100ZJ   Obligation to inform person about deficiencies in disclosure documents

Subdivision F--ASIC powers

1100ZK   ASIC's power to make exemptions and declare modifications etc. in relation to this Division

1100ZL   ASIC stop orders

1100ZM   ASIC's power to request documents

Division   2--Codes of conduct

Subdivision A--Approved codes of conduct

1101A   Approved codes of conduct

1101AA   Variations to approved codes of conduct

1101AB   Review of approved codes of conduct

1101AC   Obligation to comply with enforceable code provisions

1101AD   Regulations

Subdivision B--Mandatory codes of conduct

1101AE   Mandatory codes of conduct

1101AF   Obligation to comply with mandatory code of conduct

Division   3--Other matters

1101B   Power of Court to make certain orders

1101C   Preservation and disposal of records etc.

1101D   Destruction of records by ASIC

1101E   Concealing etc. of books

1101F   Falsification of records

1101G   Precautions against falsification of records

1101GA   How Part   9.3 applies to books required to be kept by this Chapter etc.

1101H   Contravention of Chapter does not generally affect validity of transactions etc.

1101I   Gaming and wagering laws do not affect validity of contracts relating to financial products

1101J   Delegation

Chapter   8--Mutual recognition of securities offers

Part   8.1--Preliminary

1200A   Meaning of some terms relating to mutual recognition of securities offers

Part   8.2--Foreign offers that are recognised in this jurisdiction

Division   1--Recognised offers

1200B   Meaning of recognised offer

1200C   Conditions that must be met to be a recognised offer

1200D   Required documents and information

1200E   Warning statement

Division   2--Effect of a recognised offer

1200F   Effect of a recognised offer

Division   3--Ongoing conditions for recognised offers

1200G   Offering conditions

1200H   Address for service condition

1200J   Dispute resolution condition

Division   4--Modification of provisions of this Act

1200K   Additional operation of section   675 (continuous disclosure)

1200L   Pre - offer advertising

1200M   Modification by the regulations

Division   5--ASIC's powers in relation to recognised offers

1200N   Stop orders

1200P   Ban on making subsequent recognised offers

1200Q   Offence of breaching an ongoing condition

Division   6--Miscellaneous

1200R   Service of documents

Part   8.3--Offers made under foreign recognition schemes

1200S   Notice to ASIC

1200T   Extension of this Act to recognised jurisdictions

1200U   ASIC stop order for advertising in a recognised jurisdiction

Chapter   8A--Asia Region Funds Passport

Part   8A.1--Preliminary

1210   Meaning of participating economy

1210A   List of participating economies

1210B   Minister may determine that funds not to offer interests in this jurisdiction

Part   8A.2--Passport Rules

1211   Minister may make Passport Rules for this jurisdiction

1211A   Meaning of Passport Rules

1211B   Compliance with the Passport Rules

Part   8A.3--Australian passport funds

1212   Application for registration

1212A   Registration of Australian passport funds

1212B   All documents etc. lodged with ASIC to bear APFRN

1212C   Notifying ASIC if offering interests in another participating economy in another name

Part   8A.4--Notified foreign passport funds

Division   1--Becoming a notified foreign passport fund

1213   Notice of intention to offer interests in a foreign passport fund

1213A   ASIC may notify operator that notice of intention lacks information required

1213B   Rejecting a notice of intention

1213C   Notified foreign passport funds--authority to offer interests in this jurisdiction

1213D   Meaning of consideration period

Division   2--Treatment of notified foreign passport funds

1213E   Notified foreign passport funds to be treated as managed investment schemes

1213F   Operators and notified foreign passport funds not to be treated as companies etc.

1213G   Offences relating to the operation of notified foreign passport funds

Division   3--Conduct of notified foreign passport funds in this jurisdiction

1213H   Notified foreign passport funds must not issue debentures in this jurisdiction

Division   4--Providing key information in relation to notified foreign passport funds

Subdivision A--Obligations to provide information to members in this jurisdiction

1213J   Constitution--right to obtain a copy

1213K   Register of members--right to obtain a copy

1213L   Use of information on register of members

1213M   Reports required under the law of the home economy

1213N   Order for copies of books of a notified foreign passport fund

Subdivision B--Obligations to provide information to ASIC

1213P   Register of members--ASIC may require lodgment

1213Q   Destruction of records by ASIC

Part   8A.5--Register of Passport Funds

1214   Register of Passport Funds

Part   8A.6--Stop orders

1215   Stop order--Australian passport funds

1215A   Stop order--notified foreign passport fund

1215B   Interim stop orders

1215C   Revocation of stop order made under section   1215 or 1215A

1215D   Compliance with stop orders

Part   8A.7--Deregistration and denotification

Division   1--Deregistration of Australian passport funds

Subdivision A--Voluntary deregistration

1216   Application to deregister

1216A   ASIC to deregister

1216B   When is there an expectation that a fund would become an Australian passport fund?

Subdivision B--Deregistration initiated by ASIC

1216C   Deregistration--initiated by ASIC

Subdivision C--Process for deregistration

1216D   Process for deregistration

Division   2--Denotification of notified foreign passport funds

Subdivision A--Voluntary denotification

1216E   Application to be removed as a notified foreign passport fund

1216F   ASIC to remove fund as a notified foreign passport fund

1216G   When is there an expectation that a fund would become a notified foreign passport fund?

Subdivision B--Notified foreign passport fund deregistered in the fund's home economy

1216H   ASIC to remove a fund as a notified foreign passport fund

Subdivision C--Process for removal as a notified foreign passport fund

1216J   Process for removal as a notified foreign passport fund

Division   3--Continued application of the Corporations legislation

1216K   ASIC's power to continue the application of the Corporations legislation

1216L   Regulations may continue the application of the Corporations legislation

Part   8A.8--Exemptions and modifications

1217   ASIC's power to make exemptions and declare modifications etc. in relation to this Chapter

1217A   ASIC's power to make exemptions and declare modifications etc. in relation to the Passport Rules

1217B   Exemptions and modification by regulations

Chapter   8B--Corporate collective investment vehicles

Part   8B.1--Preliminary

1221   Objects of this Chapter

Part   8B.2--Registration of CCIVs

Division   1--Registering a CCIV

Subdivision A--Requirements for registration as a CCIV

1222   Requirements for registration as a CCIV

Subdivision B--How a CCIV is registered

1222A   Applying for registration

1222B   No other way to register a CCIV

1222C   Registration of a CCIV

1222D   Corporate director and members of a CCIV

Subdivision C--Names of CCIVs

1222E   Special requirements for naming of CCIVs

1222F   Special requirements for acceptable abbreviations of CCIV names

1222G   Carrying on business using "CCIV" in name

1222H   Change of name not allowed while sub - fund in liquidation

Subdivision D--Retail CCIVs and wholesale CCIVs

1222J   Meaning of retail CCIV and wholesale CCIV

1222K   Retail CCIV test

1222L   Notifying ASIC of status as a retail CCIV or wholesale CCIV

1222M   Table of provisions that apply only to retail CCIVs

Subdivision E--Listing not permitted for certain CCIVs and sub - funds

1222N   Certain CCIVs and sub - funds must not be listed

Subdivision F--Changing company type not permitted

1222P   Part   2B.7 does not apply to a CCIV

Division   2--Registering a sub - fund of a CCIV

Subdivision A--What is a sub - fund of a CCIV

1222Q   What is a sub - fund of a CCIV

Subdivision B--How a sub - fund of a CCIV is registered

1222R   Initial sub - funds to be registered when the CCIV is registered

1222S   Registration of a sub - fund

1222T   Sub - fund is established on registration

1222U   Application to register further sub - funds

Subdivision C--Names of sub - funds

1222V   A sub - fund's name

1222W   Using sub - fund name and ARFN on documents

1222X   Acceptable abbreviations of sub - fund names

1222Y   Sub - fund changing its name

1222Z   ASIC's power to direct CCIV to change a sub - fund's name

1222ZA   Effect of name change

Division   3--Registers

1222ZB   Registers relating to CCIVs

Part   8B.3--Corporate governance of CCIVs

Division   1--Governance rules

Subdivision A--How a CCIV exercises company powers

1223   Execution of documents (including deeds) by the CCIV itself

Subdivision B--Constitution

1223A   Replaceable rules do not apply to a CCIV

1223B   Requirement for a CCIV to have a constitution

1223C   Retail CCIV--ASIC may direct CCIV to modify its constitution

1223D   Adoption, modification and repeal of constitution

1223E   Effect of constitution

Subdivision C--Minimum content requirements for the constitution of a CCIV

1223F   Wholesale CCIV--Basic content requirement

1223G   Retail CCIV--Basic content requirements

1223H   Retail CCIV--Additional content requirement for redemption of shares

Division   2--Officers and employees of the CCIV

Subdivision A--Officers and employees generally

1224   A CCIV has a single corporate director

1224A   A CCIV has no secretary and no employees

1224B   Meaning of officer of a CCIV

1224C   General duties owed by officers

1224D   Duties owed by director

1224E   Certain provisions in Chapter   2D do not apply to CCIVs

Subdivision B--The corporate director of a CCIV

1224F   Who can be the director of a CCIV

1224G   Retail CCIV--additional rules about who can be the director

1224H   Effectiveness of acts by corporate director

1224J   Corporate director must operate the CCIV

1224K   Corporate director not required to disclose material personal interest

1224L   Corporate director may appoint an agent or engage a person

1224M   Retail CCIV--responsibility of corporate director for certain acts of agents

1224N   Retail CCIV--limitation on right of corporate director to fees and indemnities

1224P   Retail CCIV--limitation on right of corporate director to acquire shares in CCIV

1224Q   Exercise of powers while sub - fund is in liquidation

Subdivision C--Replacing the corporate director

1224R   Changes only take effect when ASIC alters record of registration

1224S   CCIV does not have an eligible corporate director

1224T   Retirement of corporate director

1224U   Replacement of corporate director by members

1224V   Appointment of temporary corporate director by Court

1224W   Temporary corporate director to initiate appointment of permanent corporate director

1224X   Temporary corporate director fails to initiate appointment of permanent corporate director

1224Y   Members fail to appoint permanent corporate director

1224Z   Former corporate director to hand over books and provide reasonable assistance

1224ZA   Rights, obligations and liabilities of former corporate director

1224ZB   Effect of change of corporate director on documents etc. to which former corporate director is party

Subdivision D--Termination payments

1224ZC   Member approval not needed for benefit specified in constitution

1224ZD   Modified member approval for CCIVs

1224ZE   Benefits paid to corporate director not covered by exemptions

Division   3--Officers, employees and auditors of the corporate director

Subdivision A--Officers and auditors of the corporate director

1225   Retail CCIV--duties owed by officers of corporate director

1225A   Responsibility of secretary of corporate director for certain contraventions by CCIV

1225B   Responsibility of secretary of corporate director for certain contraventions by corporate director

1225C   Extended obligation of directors of corporate director

1225D   Right of access to CCIV books

1225E   Extended operation of sections   199A and 199B (about indemnities and insurance)

Subdivision B--Employees of the corporate director

1225F   Retail CCIV--duties owed by employees of corporate director

Division   4--Compliance plan for retail CCIVs

Subdivision A--Documenting the compliance plan

1226   Requirement for compliance plan

1226A   Contents of the compliance plan

1226B   Compliance plan may incorporate provisions from another CCIV's plan

1226C   ASIC may require further information about compliance plan

1226D   Changing the compliance plan

1226E   ASIC may require consolidation of compliance plan to be lodged

Subdivision B--Auditing the compliance plan

1226F   Engaging auditor

1226G   Audit and audit report

1226H   Contraventions by auditor

1226J   Removal and resignation of auditors

1226K   Action on change of auditor of compliance plan

Division   5--Member protection

Subdivision A--Related party transactions by retail CCIVs to be approved at sub - fund level

1227   Application of Chapter   2E to retail CCIVs

1227A   Need for member approval for financial benefit

1227B   Exceptions not available for a retail CCIV

1227C   Requirements for explanatory statement to members

1227D   Modified references

1227E   Related parties of a CCIV

Subdivision B--Rights and remedies of members of a CCIV

1227F   Grounds for Court order

1227G   Orders the Court can make

1227H   Applying for and granting leave

1227J   Varying and cancelling class rights

1227K   Certain actions taken to vary rights etc.

1227L   Company must lodge documents and resolutions with ASIC

Subdivision C--Civil liability of corporate director to members

1227M   Civil liability of corporate director to members

Division   6--Meetings

Subdivision A--Directors' meetings

1228   Resolutions of CCIVs

Subdivision B--Meetings of members of CCIVs or sub - funds

1228A   Meetings of members of CCIVs

1228B   Meetings of members of sub - funds

1228C   Auditors of scheme compliance plans

1228D   Copy of the register of members--sub - funds

1228E   Members' resolutions

1228F   Voting at meetings of members

1228G   Corporate director and associates cannot vote if interested in resolution

1228H   How to work out the value of a share

Division   7--Corporate contraventions

Subdivision A--General provisions relating to establishing civil and criminal liability under Commonwealth laws

1229   Application of this Subdivision

1229A   Other rules for corporate contraventions do not apply

1229B   General rule for attributing conduct and state of mind to a CCIV

1229C   Exceptions etc. specific to this Act

Subdivision B--Consequences of contraventions of Commonwealth laws

1229D   Corporate director generally taken to commit offences committed by CCIV

1229E   Corporate director generally liable for civil penalties for which the CCIV would be liable

Subdivision C--Consequences of contraventions of State and Territory laws

1229F   Compensation orders--State and Territory laws

1229G   Time limit for application for compensation order

1229H   Civil evidence and procedure rules for compensation orders

Part   8B.4--Corporate finance and financial reporting for CCIVs

Division   1--Shares

Subdivision A--Issuing and converting shares in a CCIV

1230   Shares can only be issued in respect of sub - funds

1230A   Minimum of one class of shares per sub - fund

1230B   Power to issue redeemable shares

1230C   Conversion of shares

Subdivision B--Redemption of shares

1230D   Redemptions to which this Subdivision applies

1230E   Redeemed shares to be cancelled

1230F   Requirements for redemptions by all CCIVs

1230G   Further requirements for redemptions by retail CCIVs

1230H   When a sub - fund is liquid

1230J   Redemption offers for non - liquid sub - funds of retail CCIVs

1230K   Satisfying redemption requests for non - liquid sub - funds of retail CCIVs

Subdivision C--Partly - paid shares

1230L   Section   254N does not apply to a CCIV

Subdivision D--Dividends

1230M   Circumstances in which a dividend may be paid

1230N   Dividend rights

Subdivision E--Notice requirements

1230P   Part   2H.6 does not apply to a CCIV

Subdivision F--Cross - investment between sub - funds of a CCIV

1230Q   Cross - investment between sub - funds is permitted

1230R   Requirements or restrictions for cross - investment

1230S   Consequences for failing to comply with requirements or restrictions for cross - investment

1230T   Requirements or restrictions on membership rights for shares acquired from cross - investment

1230U   Cross - investment between sub - funds is not a share buy - back

1230V   General duties still apply for cross - investment between sub - funds

Division   2--Transactions affecting share capital

Subdivision A--Reductions in share capital and share buy - backs

1231   Purpose

1231A   CCIV may make reduction not otherwise authorised

1231B   Consequences of making an unauthorised reduction

1231C   A CCIV's power to buy back its own shares

1231D   Authorised reductions--share redemptions

1231E   Authorised reductions--regulations

1231F   Authorised reductions--Court orders

1231G   Authorised reductions--return of financial product

1231H   Other share capital reductions

Subdivision B--Self - acquisition and control of shares

1231J   Directly acquiring own shares

1231K   Taking security over own shares

Subdivision C--Financial assistance

1231L   Part   2J.3 does not apply to a CCIV

Subdivision D--Interaction with other duties

1231M   Other duties still apply

Division   3--Debentures

1231N   Debentures can only be issued in respect of sub - funds

1231P   Modified operation of section   283AA

Division   4--Financial reports and audit of CCIVs

Subdivision A--Application of Chapter   2M to CCIVs and their sub - funds

1232   Application of Chapter   2M to CCIVs

Subdivision B--Financial records (all CCIVs)

1232A   Obligation to keep financial records for sub - funds

1232B   Access to financial records of CCIVs and sub - funds

Subdivision C--Financial reporting (retail CCIVs only)

1232C   Annual financial reports and directors' reports for sub - funds--general rules

1232D   Annual financial reports and directors' reports for sub - funds--special rules for financial reports

1232E   Annual financial reports and directors' reports for sub - funds--special rules for directors' reports

1232F   Half - year financial reports and directors' reports for sub - funds with ED securities on issue

1232G   Audit and auditor's report for sub - funds

Subdivision D--Annual financial reporting to members (retail CCIVs only)

1232H   Annual financial reporting to members of sub - funds

1232J   Deadline for reporting to members of sub - funds

1232K   Consideration of reports at AGM

1232L   Additional reporting by CCIVs that are debenture issuers

Subdivision E--Lodging reports with ASIC (retail CCIVs only)

1232M   Relodgement if financial statements or directors' reports relating to sub - fund amended after lodgement

Subdivision F--Appointment and removal of auditors (retail CCIVs only)

1232N   Conflict of interest situation

1232P   Auditor independence--specific requirements

1232Q   People who are regarded as officers of a CCIV

1232R   Appointment, removal and fees of auditors for CCIVs

1232S   Effect of winding up of sub - fund on office of auditor

Subdivision G--Sanctions for contravention of Chapter   2M

1232T   Extended liability of directors of the corporate director for contraventions of Chapter   2M

Division   5--Updating ASIC information about CCIVs

1232U   Solvency resolutions

Part   8B.5--Operating a CCIV

Division   1--Preliminary

1233   Meaning of property

1233A   References to liabilities of a CCIV

Division   2--Requirement to operate sub - funds as separate businesses

1233B   Sub - funds to be operated as separate businesses

Division   3--Requirement for assets and liabilities to be allocated between sub - funds

Subdivision A--The CCIV's allocation register

1233C   Corporate director to keep allocation register

1233D   Requirement to enter assets on the allocation register

1233E   Requirement to enter liabilities on the allocation register

1233F   Liquidator may require corporate director to record debt, claim or property in allocation register

1233G   Requirement to retain records of allocations for 7 years

Subdivision B--What are the assets of a particular sub - fund

1233H   Meaning of assets --sub - fund of a CCIV

1233J   When an allocation determination is required

1233K   When property must be converted into money etc.

Subdivision C--What are the liabilities of a particular sub - fund

1233L   Meaning of liabilities --sub - fund of a CCIV

1233M   When an allocation determination is required

1233N   Variations of proportional allocation of liabilities

1233P   Creditor may require corporate director to provide information about allocation

Subdivision D--Orders the Court can make

1233Q   Orders the Court can make in relation to assets and liabilities of sub - funds

Division   4--Purposes for which sub - fund assets may be applied

1234   Unallocated money and property may not be applied for any purpose

1234A   Requirement for segregated application of assets of sub - funds

1234B   Purposes for which sub - fund assets may be applied

1234C   Property that is required to be converted to be applied only for that purpose

1234D   Requirement for security interests to be segregated

1234E   Court orders

1234F   Consequences of non - compliant application of assets

Division   5--How CCIV assets must be held

1234G   Who may hold the assets of a CCIV

1234H   Person other than CCIV holds money or property on trust

1234J   How CCIV money and property must be held

1234K   Regulations may create exceptions

Part   8B.6--External administration and deregistration

Division   1--Preliminary

1235   Construing terms and expressions affected by substituted references

Division   2--Arrangements and reconstructions of sub - funds

1235A   Object of this Division

1235B   Compromises etc. not to be made between 2 or more sub - funds

1235C   Applying arrangements and reconstructions provisions to sub - funds

1235D   Persons not to be appointed to administer compromise or arrangement

1235E   Provisions for facilitating reconstruction and amalgamation of sub - funds within a CCIV

1235F   Court may make order in relation to assets and liabilities of sub - funds

Division   3--Receivers, and other controllers, of property of sub - funds

Subdivision A--Preliminary

1236   Object of this Division

1236A   Meaning of property and receiver --sub - fund of a CCIV

Subdivision B--Appointment of controllers

1236B   Appointment of a controller of property of a sub - fund of a CCIV

1236C   Persons not to act as receivers

1236D   Notifying of appointment or cessation of controller

Subdivision C--Application of Part   5.2 to control of property of sub - funds

1236E   Applying Part   5.2 etc. to sub - funds

Subdivision D--Modified duties and powers of receivers etc.

1236F   Liability of controller

1236G   Powers of receiver

1236H   Controller may require reports relating to other sub - funds if necessary

1236J   Controller may inspect books of CCIV

Subdivision E--Other modifications

1236K   Application of sub - fund property to meet certain priority payments

1236L   Transfer of books to ASIC etc.

Division   4--Administration and restructuring

1236M   Part   5.3A does not apply to a CCIV

1236N   Part   5.3B does not apply to a CCIV

Division   5--Winding up of sub - funds

Subdivision A--Preliminary

1237   Object of this Division

1237A   No winding up of a CCIV

Subdivision B--Application of winding up provisions to winding up of sub - funds

1237B   Applying winding up provisions to sub - funds

1237C   References to debts etc. of a sub - fund

Subdivision C--Winding up of a sub - fund in insolvency

1237D   When a sub - fund is presumed to be insolvent

1237E   Statutory demand--creditor may serve demand on CCIV

1237F   Statutory demand--CCIV may apply to set aside demand

1237G   Statutory demand--determining application to set aside where there is a dispute or offsetting claim

1237H   Statutory demand--determining application to set aside where there is a dispute about the sub - fund

1237J   Substitution of sub - fund where statutory demand not relied on

1237K   Declaration of solvency

Subdivision D--Modified duties and powers of liquidator of a sub - fund

1237L   Disqualification of liquidator

1237M   Notifying of appointment, resignation or removal of liquidator

1237N   Duties and powers of liquidator

1237P   Retention and destruction of books

Subdivision E--Modified duties and powers of officers of corporate director and CCIV

1237Q   Officers of corporate director to help liquidator

1237R   Corporate director may retain certain books

1237S   Corporate director may access certain books

1237T   Corporate director may direct ASIC not to destroy books

1237U   Mandatory examination

1237V   Court may make order imposing liability on unlicensed person operating CCIV

Subdivision F--Proof and ranking of claims

1237W   Liquidator must be satisfied debt or claim is a liability of the sub - fund

1237X   Determination of debts and claims that relate to the business of 2 or more sub - funds and are of uncertain value

1237Y   Application of sub - fund property

Subdivision G--Powers of Courts

1237Z   Warrant in relation to books

Subdivision H--Recovering property

1237ZA   Presumptions to be made in recovery proceedings

1237ZB   Directors of the corporate director

1237ZC   Vesting of PPSA security interests if collateral not registered within time

Division   6--Recovering property of sub - funds

1238   Duties owed by directors of corporate director of a CCIV

1238A   Applying property recovery provisions to CCIVs

1238B   References to incurring debts

1238C   When debts arise in relation to redeemable shares

Division   7--External administration offences

1238D   Applying external administration offences to CCIVs

1238E   Interpretation of ceased to carry on business

1238F   Frauds by officers

Division   8--Miscellaneous

1238G   Applying external administration miscellaneous provisions to sub - funds

Division   9--Deregistration and transfer of registration

Subdivision A--Deregistration

1239   Deregistration of a sub - fund--voluntary

1239A   Deregistration of a sub - fund--ASIC initiated

1239B   Process for ASIC initiated deregistration of a sub - fund

1239C   Deregistration of a sub - fund--following amalgamation or winding up

1239D   Effect of deregistration of a sub - fund

1239E   The Commonwealth's and ASIC's power to fulfil outstanding obligations in relation to deregistered sub - fund

1239F   Claims against insurers in relation to deregistered sub - fund

1239G   Reinstatement of a sub - fund

1239H   CCIV reinstated following reinstatement of a sub - fund

1239J   Notices relating to reinstatement of a sub - fund

1239K   Deregistration of a CCIV

1239L   Books of the CCIV to be kept by former corporate director

1239M   A CCIV may not be reinstated under section   601AH

Subdivision B--Transfer of registration

1239N   Registration of CCIV cannot be transferred

Part   8B.7--Control, financial services and disclosure

Division   1--Takeovers, compulsory acquisitions and buy - outs

1240A   Takeovers--prohibition on acquisitions of shares in a listed CCIV

1240B   Takeovers--directors of the corporate director of a listed CCIV

1240C   Takeovers--bidder's statement content

1240D   Takeovers Panel--declaration of unacceptable circumstances may only be made in relation to a listed CCIV

1240E   Compulsory acquisition--only available for securities in a listed CCIV

Division   2--Continuous disclosure

1240F   Continuous disclosure--CCIVs

Division   3--Fundraising

1240G   Fundraising rules do not apply to CCIVs

1240H   Offering securities of a CCIV or sub - fund that does not exist

Division   4--Financial services and markets

1241   Application of Chapter   7 to CCIVs

1241A   For Chapter   7, treat the corporate director as providing financial services etc. being provided by the CCIV

1241B   Certain licensing concepts do not apply to CCIVs

1241C   Extra kinds of financial services relating to CCIVs

1241D   CCIV buy - back or redemption facility does not make a market

1241E   Certain conduct relating to CCIVs is not providing a custodial or depository service

1241F   Australian financial services licences

1241G   Immediate suspensions or cancellations of licences

1241H   Restriction on use of certain words or expressions

1241J   Agreements with certain unlicensed persons

1241K   Treat the CCIV as a professional investor

1241L   Financial services disclosure does not apply to operating the business and conducting the affairs of CCIVs

1241M   Financial records of the corporate director of a CCIV

1241N   Prohibition on hawking of securities in a CCIV

1241P   Modifications of Part   7.8A

1241Q   Part   7.9 applies to the issue or sale of securities in a CCIV

1241R   Product Disclosure Statements--when a security in a CCIV is of the same kind as another product

1241S   Product Disclosure Statements--situations when not required for CCIVs

1241T   Product Disclosure Statements--content requirements

1241U   Product Disclosure Statements--replacement statements

1241V   Product Disclosure Statements--lodging with ASIC

1241W   Product Disclosure Statements--use of application forms

1241X   Product Disclosure Statements--if lodged, then security not to be issued or sold before specified period

1241Y   Remedies for person acquiring financial product under defective Product Disclosure Document

1241Z   Disclosure obligations of issuers of securities in CCIVs

1241ZA   Cooling - off periods

1241ZB   Unsolicited offers to purchase securities in CCIVs off - market

1241ZC   Product intervention orders

1241ZD   Insider trading--exceptions

Part   8B.8--Miscellaneous

1242   Director identification numbers

1242A   Registers

1242B   Inspection of books

1242C   Falsification of books

1242D   Application of Part   9.4

1242E   Disclosures qualifying for protection under Part   9.4AAA

1242F   Powers of Courts--irregularities

1242G   Fees payable to the Commonwealth

Part   8B.9--Subordinate legislation relating to CCIVs

1243   ASIC's power to make exemption and modification orders

1243A   Modification by regulations

Note:   This Chapter applies to a CCIV in a modified form: see Division   4 of Part   8B.7.

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