Commonwealth Consolidated Regulations

AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION REGULATIONS 2001

- made under the Australian Securities and Investments Commission Act 2001

TABLE OF PROVISIONS

   PART 1--PRELIMINARY

   1.      Name of Regulations [see Note 1]  
   1A.     Commencement [see Note 1]  
   2.      Definitions  
   2A.     Territorial application of Act  
   2AC.    Professional accounting bodies  
   2B.     Financial products: credit facility  
   2C.     Meaning of financial service -- off-market offers for financial products  

   PART 2--GENERAL

   3A.     Prescribed schemes (Act s 12GNA (2) (a))  
   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  
   8AA.    Prescribed professional disciplinary bodies  
   8A.     Commission may disclose confidential information to certain bodies corporate  
   11.     Summons to witnesses to appear before Disciplinary Board  
   12.     Allowances and expenses payable for attendance at hearings of Disciplinary Board  

   PART 3--PANEL PROCEDURES

           Division 1--Preliminary

   13.     Objects of this Part  
   14.     Application of this Part  
   15.     Definitions for Part 3  
   16.     Powers of Panel  

           Division 2--Applications

   18.     Reference of matters to the Commission by the Panel  
   19.     Making of applications  
   20.     Consideration of applications  

           Division 3--Decisions to conduct proceedings

   21.     Notice of decision  
   22.     Decision to hold inquiry  

           Division 4--Submissions

   23.     Expressions of interest by non-parties  
   24.     Panel may accept submissions from persons expressing interest  
   25.     Submissions  
   26.     Disregard of certain submissions  
   27.     Abuse of Panel procedures to be noted  
   28.     Lodgment and distribution of submissions  
   30.     Panel may invite further submissions  
   34.     Submissions that are not lodged in time  

           Division 5--Conferences

   35.     Purpose of conferences  
   37.     Conduct of conferences  
   38.     Procedures at conferences  
   39.     Addresses to the Panel at conferences  
   40.     Witnesses  
   41.     Misbehaviour at conferences  

           Division 6--Other matters

   42.     Summons to witnesses by the Panel  
   43.     Allowances and expenses payable for attendances  

   PART 4--REPEAL OF OLD ASIC REGULATIONS

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

   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--FINANCIAL REPORTING PANEL

   48.     Form for written summons (Act s 239CE)  
           SCHEDULE 1 Forms
           SCHEDULE 2 Witnesses fees and allowances for expenses
           SCHEDULE 3 Bodies corporate to which information may be disclosed