Commonwealth Consolidated Regulations Commonwealth Consolidated RegulationsStatutory Rules 2001 No. 192 as amended
This compilation was prepared on 12 May 2012
taking into account amendments up to SLI 2012 No. 69
Prepared by the
Office of Legislative Drafting and Publishing,
Attorney-General's Department, Canberra
Contents
Note about numbering 5
Part 1 Preliminary
1 Name of Regulations [see Note 1] 5
1A Commencement [see Note 1] 5
2 Definitions 5
2A Territorial application of Act 6
2AC Professional accounting bodies 7
2B Financial products: credit facility 7
2BA Declared financial product 9
2BB Specific things that are not financial products--Australian carbon credit units and eligible international emissions units 9
2C Meaning of financial service -- off-market offers for financial products 10
2D Circumstances in which a person is taken to be provided a traditional trustee company service 10
2E Prescribed requirements for definition of assert a right to payment 10
2F Prescribed requirements for warning statements 11
Part 2 General
3A Prescribed schemes (Act s 12GNA (2) (a)) 12
3 Prescribed agencies (Act s 18 (2) (d)) 12
4 Form of notice requiring assistance and appearance for examination 13
5 Notice to produce books 13
6 Evidence of authority 13
7 Summons to witnesses to appear before Commission 13
8 Allowances and expenses payable to examinees and witnesses 13
8AA Prescribed professional disciplinary bodies 14
8A Commission may disclose confidential information to certain bodies corporate 14
8B Prescribed body 14
11 Summons to witnesses to appear before Disciplinary Board 14
12 Allowances and expenses payable for attendance at hearings of Disciplinary Board 14
Part 3 Panel Procedures
Division 1 Preliminary
13 Objects of this Part 15
14 Application of this Part 15
15 Definitions for Part 3 15
16 Powers of Panel 16
Division 2 Applications
18 Reference of matters to the Commission by the Panel 17
19 Making of applications 17
20 Consideration of applications 17
Division 3 Decisions to conduct proceedings
21 Notice of decision 18
22 Decision to hold inquiry 18
Division 4 Submissions
23 Expressions of interest by non-parties 19
24 Panel may accept submissions from persons expressing interest 19
25 Submissions 20
26 Disregard of certain submissions 20
27 Abuse of Panel procedures to be noted 20
28 Lodgment and distribution of submissions 20
30 Panel may invite further submissions 21
34 Submissions that are not lodged in time 21
Division 5 Conferences
35 Purpose of conferences 21
37 Conduct of conferences 22
38 Procedures at conferences 22
39 Addresses to the Panel at conferences 23
40 Witnesses 23
41 Misbehaviour at conferences 23
Division 6 Other matters
42 Summons to witnesses by the Panel 23
43 Allowances and expenses payable for attendances 24
Part 4 Repeal of old ASIC Regulations
44 Repeal of the Australian Securities and Investments Commissions Regulations 1990 25
Part 5 Clearing and settlement facilities
45 Meaning of clearing and settlement facility 26
46 Conduct that does not constitute operating a clearing and settlement facility 26
47 Financial transaction reports 27
Part 6 Financial Reporting Panel
48 Form for written summons (Act s 239CE) 29
Schedule 1 Forms 30
Form 1 Notice requiring appearance at an examination or reasonable assistance in connection with an investigation 30
Form 2 Notice requiring the production of books 32
Form 3 Summons to witness 33
Form 4 Summons to witness 34
Schedule 2 Witnesses fees and allowances for expenses 36
Schedule 3 Bodies corporate to which information may be disclosed 37
Part 1 Australian bodies corporate 37
Part 2 Foreign bodies corporate 38
Notes 42
These Regulations are made under the Australian Securities and Investments Commission Act 2001. To assist users of these Regulations, the structure and numbering of these Regulations follow, as far as possible, the pattern of the Australian Securities and Investments Commission Regulations 1990 that were made under the Australian Securities and Investments Commission Act 1989. Some gaps in the numbering of these Regulations appear because there were gaps in the numbering of the Australian Securities and Investments Commission Regulations 1990. In addition, a commencement provision that was not in the Australian Securities and Investments Commission Regulations 1990 is included in these Regulations.
Notes to the Australian Securities and Investments Commission Regulations 2001
Note 1
The Australian Securities and Investments Commission Regulations 2001
(in force under the
Australian
Securities and Investments Commission Act 2001
) as
shown in this compilation comprise Statutory Rules
2001
No. 192
amended as indicated in the Tables
below.
Table
of Instruments
|
Year and |
Date of notification |
Date of |
Application, saving or |
|
2001 No. 192 |
13 July 2001 |
15 July 2001 (see Gazette 2001, No. S285) |
|
|
2001 No. 317 |
15 Oct 2001 |
11 Mar 2002 (see r. 2 and Gazette 2001, No. GN42) |
-- |
|
2002 No. 39 |
7 Mar 2002 |
(a) |
-- |
|
2002 No. 124 |
14 June 2002 |
(b) |
-- |
|
2003 No. 107 |
4 June 2003 |
4 June 2003 |
-- |
|
2004 No. 102 |
28 May 2004 |
28 May 2004 |
-- |
|
2004 No. 210 |
9 July 2004 |
9 July 2004 |
-- |
|
2004 No. 397 |
23 Dec 2004 |
Rr. 1-3 and Schedule 1: |
-- |
|
2006 No. 101 |
10 May 2006 (see F2006L01443) |
11 May 2006 |
-- |
|
2007 No. 119 |
14 May 2007 (see F2007L01269) |
15 May 2007 |
-- |
|
2007 No. 321 |
28 Sept 2007 (see F2007L03800) |
29 Sept 2007 |
-- |
|
2007 No. 322 |
28 Sept 2007 (see F2007L03845) |
31 Dec 2007 (see r. 2) |
-- |
|
2010 No. 86 |
6 May 2010 (see F2010L01096) |
6 May 2010 (see r. 2) |
-- |
|
2010 No. 87 |
10 May 2010 (see F2010L01197) |
1 Jan 2011 |
-- |
|
2010 No. 183 |
30 June 2010 (see F2010L01801) |
28 June 2010 (see r. 2) |
-- |
|
2010 No. 278 |
18 Nov 2010 (see F2010L03015) |
1 Jan 2011 |
-- |
|
2010 No. 331 |
10 Dec 2010 (see F2010L03187) |
13 Dec 2010 (see r. 2 and F2010L03188) |
-- |
|
2011 No. 193 |
21 Oct 2011 (see F2011L02103) |
31 Oct 2011 |
-- |
|
2012 No. 69 |
11 May 2012 (see F2012L01026) |
12 May 2012 |
-- |
(a) Regulation 2 of the Australian Securities and Investments Commission Amendment Regulations 2002 (No. 1) provides as follows:
2 These Regulations commence at 12.02 am (in the Australian Capital Territory) on 11 March 2002.
(b) Regulation 2 of the Australian Securities and Investments Commission Amendment Regulations 2002 (No. 2) provides as follows:
2 These Regulations are taken to have commenced at 12.02 am on 11 March 2002.
Table of Amendments
|
ad. = added or inserted am. = amended rep. = repealed rs. = repealed and substituted |
|
|
Provision affected |
How affected |
|
Part 1 |
|
|
R. 2......................................... |
am. 2012 No. 69 |
|
R. 2A....................................... |
ad. 2001 No. 317 |
|
R. 2AC.................................... |
ad. 2004 No. 210 |
|
R. 2B....................................... |
ad. 2001 No. 317 |
|
R. 2BA.................................... |
ad. 2010 No. 87 |
|
R. 2BB.................................... |
ad. 2012 No. 69 |
|
R. 2C...................................... |
ad. 2003 No. 107 |
|
|
rs. 2010 No. 331 |
|
R. 2D...................................... |
ad. 2010 No. 86 |
|
R. 2E....................................... |
ad. 2010 No. 278 |
|
R. 2F....................................... |
ad. 2010 No. 278 |
|
Part 2 |
|
|
R. 3A....................................... |
ad. 2006 No. 101 |
|
R. 3......................................... |
am. 2001 No. 317; 2012 No. 69 |
|
R. 5......................................... |
am. 2001 No. 317 |
|
R. 8AA.................................... |
ad. 2007 No. 322 |
|
R. 8B....................................... |
ad. 2010 No. 183 |
|
Part 3 |
|
|
Division 1 |
|
|
R. 15....................................... |
am. 2001 No. 317 |
|
Part 5 |
|
|
Part 5...................................... |
ad. 2001 No. 317 |
|
R. 45....................................... |
ad. 2001 No. 317 |
|
|
am. 2012 No. 69 |
|
R. 46....................................... |
ad. 2001 No. 317 |
|
|
am. 2002 No. 124; 2007 No. 321 |
|
R. 47....................................... |
ad. 2001 No. 317 |
|
Part 6 |
|
|
Part 6...................................... |
ad. 2004 No. 397 |
|
R. 48....................................... |
ad. 2004 No. 397 |
|
Schedule 1 |
|
|
Form 2................................... |
am. 2001 No. 317 |
|
Form 3................................... |
am. 2001 No. 317 |
|
Form 4................................... |
ad. 2004 No. 397 |
|
Schedule 3 |
|
|
Schedule 3............................ |
am. 2001 No. 317; 2002 No. 39; 2004 Nos. 102 and 397; 2007 Nos. 119 and 321; 2011 No. 193 |