AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION REGULATIONS 2001
- made under the Australian Securities and Investments Commission Act 2001 and the Corporations Act 2001
Table of Provisions
PART 1--PRELIMINARY
- 1 Name of Regulations
- 2 Definitions
- 2A Territorial application of Act
- 2AC Professional accounting bodies
- 2B Financial products: credit facility
- 2BA Declared financial product
- 2BB Specific things that are not financial products--Australian carbon credit units and eligible international emissions units
- 2BC Specific things that are not financial products--certain tradeable water rights
- 2BD Specific things that are not financial products--guarantees issued by the NHFIC
- 2C Meaning of financial service-- off - market offers for financial products
- 2D Circumstances in which a person is taken to be provided a traditional trustee company service
- 2DA Prescribed amount--acquiring financial services as a consumer
- 2E Prescribed requirements for definition of assert a right to payment
- 2F Prescribed requirements for warning statements
PART 2--GENERAL
- 3A Professional standards schemes
- 3B Deferred sales for add - on insurance products--when consumer enters into a commitment
- 3 Prescribed agencies (Act s 18(2)(d))
- 4 Form of notice requiring assistance and appearance for examination
- 5 Notice to produce books
- 6 Evidence of authority
- 7 Summons to witnesses to appear before Commission
- 8 Allowances and expenses payable to examinees and witnesses
- 8AAAA Delegation
- 8AA Prescribed professional disciplinary and other bodies
- 8AB Commission may disclose confidential information to certain bodies corporate
- 8AC Commission may disclose confidential information to specified bodies or entities
- 8AAA Annual reports
- 8B Prescribed body
- 11 Summons to witnesses to appear before Disciplinary Board
- 12 Allowances and expenses payable for attendance at hearings of Disciplinary Board
PART 2A--DEFERRED--SALES MODEL EXEMPTIONS
- 12A Definitions
- 12B Deferred sales model exemptions
- 12C Meaning of add - on comprehensive motor vehicle or vessel insurance product
- 12D Meaning of add - on compulsory third party motor vehicle insurance product
- 12E Meaning of add - on home and contents insurance product
- 12F Meaning of add - on home building insurance product
- 12G Meaning of add - on landlord insurance product
- 12H Meaning of add - on limited motor vehicle or vessel insurance product
- 12J Meaning of add - on transport and delivery insurance product
- 12K Meaning of add - on travel insurance product
- 12L Meaning of business - related add - on insurance product
- 12M Meaning of superannuation - related add - on insurance product
PART 2B--FINANCIAL--SERVICES AND CREDIT PANELS
- 12N Circumstances in which ASIC must convene a Financial Services and Credit Panel
- 12P Allowances and expenses payable for attendance at hearings of a Financial Services and Credit Panel
PART 3--PROCEDURES
Division 1--Preliminary
Division 2--Applications
Division 3--Decisions to conduct proceedings
- 21 Notice of decision
- 22 Decision to hold inquiry
Division 4--Submissions
Division 5--Conferences
- 35 Purpose of conferences
- 37 Conduct of conferences
- 38 Procedures at conferences
- 39 Addresses to the Takeovers Panel at conferences
- 40 Witnesses
- 41 Misbehaviour at conferences
Division 6--Other matters
- 42 Summons to witnesses by the Takeovers Panel
- 43 Allowances and expenses payable for attendances
PART 5--CLEARING--AND SETTLEMENT FACILITIES
- 45 Meaning of clearing and settlement facility
- 46 Conduct that does not constitute operating a clearing and settlement facility
- 47 Financial transaction reports
PART 6--APPLICATION--AND TRANSITIONAL PROVISIONS
Division 1--Application of amendments made by the Treasury Laws Amendment (Acquisition as Consumer--Financial Thresholds) Regulations 2020
- 48 Application--prescribed amount for acquiring financial services as a consumer
Division 2--Transitional matters relating to the Treasury Laws Amendment (Disclosure of Information to Fraud Fusion Taskforce) Regulations 2023
- 49 Disclosure of information to the Fraud Fusion Taskforce