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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

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