CORPORATIONS REGULATIONS 2001

Table of Provisions

CHAPTER 1--Introductory

PART 1.0----MISCELLANEOUS

• 1.0.01 Name of Regulations
• 1.0.02 Definitions
• 1.0.02AA Meaning of basic deposit product-- prescription of prior notice requirement
• 1.0.02AB Meaning of prescribed CS facility
• 1.0.02A Meaning of prescribed financial market
• 1.0.02B Proprietary company thresholds (Act s 45A)
• 1.0.03 Prescribed forms (Act s 350)
• 1.0.03A Documents that must be in the prescribed form
• 1.0.03B Documents that must be lodged with ASIC
• 1.0.03C Documents that must be in a form approved by ASIC
• 1.0.04 Directions and instructions in forms
• 1.0.05 Documents and information required by forms
• 1.0.06 Annexures accompanying forms
• 1.0.07 General requirements for documents
• 1.0.08 Information to accompany financial documents lodged for financial years
• 1.0.09 Information to accompany financial documents etc lodged for half - years
• 1.0.10 Continuous disclosure notices
• 1.0.11 Certain documents to be signed by personal representatives etc
• 1.0.12 Form of notice of resolution
• 1.0.13 Time for lodging documents
• 1.0.14 Address of registered office or place of business
• 1.0.15 Affidavits and statements in writing
• 1.0.16 Certification and verification of certain documents
• 1.0.17 Documents signed or sworn in accordance with the rules of court
• 1.0.18 Prescribed provisions (Act s 53)
• 1.0.20 Copies of orders to be lodged
• 1.0.21 Identification of lodged orders
• 1.0.22 Meaning of this jurisdiction --specification of external Territories for specified provisions of Chapter 7 of the Act

PART 1.1----PRESCRIBED AMOUNTS

• 1.1.01 Prescribed amounts

PART 1.2----INTERPRETATION

Division 1--General

• 1.2.01 Remuneration recommendations (Act s 9B)

PART 1.2A----DISCLOSING ENTITIES

• 1.2A.01 Securities declared not to be ED securities
• 1.2A.02 Foreign companies issuing securities under foreign scrip offers etc exempt from disclosing entity provisions
• 1.2A.03 Foreign companies issuing securities under employee share scheme exempt from the disclosing entity provisions

CHAPTER 2A--Registration of companies

PART 2A.1----SIZE OF PARTNERSHIPS OR ASSOCIATIONS (ACT S 115(2))

• 2A.1.01 Size of partnerships or associations

PART 2A.2----CHANGE OF PLACE OF REGISTRATION OF COMPANY (ACT S 119A(3))

• 2A.2.01 Approval of application for change of place of registration
• 2A.2.02 Special resolution may be set aside by Court order
• 2A.2.03 Application for change of place of registration
• 2A.2.04 Change of place of registration

CHAPTER 2B--Basic features of a company

PART 2B.6----NAMES

• 2B.6.01 Availability of names (Act s 147)
• 2B.6.02 Consents required for use of certain letters, words and expressions
• 2B.6.02A Exemption from requirement to include "Limited" in name
• 2B.6.03 Exemptions from requirement to set out name and ACN on certain documents (Act s 155)

CHAPTER 2C--Registers

PART 2C.1----REGISTERS GENERALLY

Division 2C.1.1--Location of register

• 2C.1.01 Form of notice

Division 2C.1.2--Right to inspect and get copies of register

• 2C.1.02 Form of register
• 2C.1.03 Improper purposes for getting copy of register
• 2C.1.04 Information to be included in application for copy of register

Division 2C.1.3--Use of information on registers by bodies corporate

• 2C.1.05 Contact with members after failure to provide copy of register

CHAPTER 2D--Officers and employees

PART 2D.2----RESTRICTIONS ON INDEMNITIES, INSURANCE AND TERMINATION PAYMENTS

Division 2D.2.2--Termination payments

• 2D.2.01 Meaning of base salary
• 2D.2.02 Meaning of benefit
• 2D.2.03 When benefit given in connection with retirement from an office or a position

PART 2D.6----DISQUALIFICATION FROM MANAGING CORPORATIONS

Division 2D.6.1--Automatic disqualification (Act s 206B)

• 2D.6.01 Prescribed foreign jurisdictions (Act s 206B(7))

PART 2D.7----BAN ON HEDGING REMUNERATION OF KEY MANAGEMENT PERSONNEL

• 2D.7.01 Hedging arrangements (Act s 206J(3))

CHAPTER 2E--Related party transactions

• 2E.1.01 Small amounts given to related entity

CHAPTER 2G--Meetings

PART 2G.2----MEETINGS OF MEMBERS OF COMPANIES

Division 6--Proxies and body corporate representatives

• 2G.2.01 Authentication of appointment of proxy (Act s 250A)

CHAPTER 2K--Charges

PART 2K.2----REGISTRATION

• 2K.2.01 Lien or charge on crop or wool, or stock mortgage, that is a registrable security: prescribed law--subsection 262(5) of the Act
• 2K.2.02 Time period for the provisional registration of charges
• 2K.2.03 Charge that is a registrable security: specified law--paragraphs 273A(4)(b), 273B(3)(b) and 273C(3)(b) of the Act

CHAPTER 2L--Debentures

PART 2L.2----DUTIES OF BORROWER

• 2L.2.01 Register relating to trustees for debenture holders

CHAPTER 2M--Financial reports and audit

PART 2M.3----FINANCIAL REPORTING

Division 1--Annual financial reports and directors' reports

• 2M.3.01 Disclosures required by notes to consolidated financial statements--annual financial reports (Act s 295)
• 2M.3.03 Prescribed details (Act s 300A)
• 2M.3.04 Prescribed details--annual directors' report of a registrable superannuation entity

PART 2M.4----AUDITOR

• 2M.4.01A Membership designations (Act s 324BE)
• 2M.4.01 Notice of appointment of auditors

PART 2M.4A----ANNUAL TRANSPARENCY REPORTS FOR AUDITORS

• 2M.4A.01 Application
• 2M.4A.02 Content of annual transparency report (Act s 332B)

PART 2M.6----MODIFICATION OF THE OPERATION OF CHAPTER 2M OF THE ACT

• 2M.6.01 Modifications (Act s 343)
• 2M.6.05 Conduct of auditor--relevant relationships

CHAPTER 2N--Updating ASIC information about companies and registered schemes

PART 2N.2----EXTRACT OF PARTICULARS

• 2N.2.01 Particulars ASIC may require in an extract of particulars (Act s 346B)

PART 2N.4----RETURN OF PARTICULARS

• 2N.4.01 Particulars ASIC may require in a return of particulars (Act s 348B)

CHAPTER 5--External administration

PART 5.1----ARRANGEMENTS AND RECONSTRUCTIONS

• 5.1.01 Prescribed information for paragraph 411(3)(b) and subparagraph 412(1)(a)(ii) of the Act
• 5.1.50 Prescribed kinds of contracts, agreements or arrangements under which rights are not subject to the stay in section 415D of the Act

PART 5.2----RECEIVERS, AND OTHER CONTROLLERS, OF CORPORATIONS

• 5.2.01 Controller's notice to owner or lessor of property--how given
• 5.2.02 Certified copies of reports
• 5.2.50 Prescribed kinds of contracts, agreements or arrangements under which rights are not subject to the stay in section 434J of the Act

PART 5.3A----ADMINISTRATION OF A COMPANY'S AFFAIRS WITH A VIEW TO EXECUTING A DEED OF COMPANY ARRANGEMENT

• 5.3A.03A Notice of first meeting of creditors
• 5.3A.05 Administrator's notice to owner or lessor of property--how given
• 5.3A.06 Provisions included in deed of company arrangement
• 5.3A.06A Notice of resolution to wind up voluntarily
• 5.3A.07A Notice of appointment of administrator
• 5.3A.50 Prescribed kinds of contracts, agreements or arrangements under which rights are not subject to the stay in section 451E of the Act

PART 5.3B----RESTRUCTURING OF A COMPANY

Division 1--Preliminary

• 5.3B.01 Definitions

Division 2--Restructuring

• 5.3B.02 When restructuring ends
• 5.3B.03 Eligibility criteria for restructuring
• 5.3B.04 Transactions or dealings in the ordinary course of business
• 5.3B.05 Consent to transactions or dealings outside the ordinary course of business
• 5.3B.06 Termination of restructuring
Subdivision B--Restructuring practitioner for company under restructuring
• 5.3B.07 Authority
• 5.3B.08 Powers of restructuring practitioner for company under restructuring
• 5.3B.09 Replacement restructuring practitioner must fulfil certain past requirements
• 5.3B.11 Protection from liability
Subdivision C--Stay on enforcing rights merely because the company is under restructuring etc.
• 5.3B.12 Prescribed kinds of contracts, agreements or arrangements under which rights are not subject to the stay in section 454N of the Act

Division 3--Restructuring plan

• 5.3B.13 Authority
Subdivision B--Proposing a restructuring plan
• 5.3B.14 How a restructuring plan is proposed
• 5.3B.15 Contents of restructuring plan
• 5.3B.16 Restructuring proposal statement
• 5.3B.17 Meaning of proposal period
• 5.3B.18 Restructuring practitioner must make declaration in relation to restructuring plan
• 5.3B.19 Restructuring practitioner must notify company of defect in restructuring plan
• 5.3B.20 Proposal to make restructuring plan lapses
• 5.3B.21 Proposing a restructuring plan to creditors
• 5.3B.22 Creditors may dispute schedule of debts and claims before restructuring plan is made
• 5.3B.23 Creditors may change vote
• 5.3B.24 Company under restructuring must do certain things
Subdivision C--Accepting a proposal for a restructuring plan
• 5.3B.25 Acceptance of restructuring plan
• 5.3B.26 How a restructuring plan is made
• 5.3B.27 Standard terms for restructuring plans
• 5.3B.28 Parties to restructuring plan
• 5.3B.29 Effect of restructuring plan
• 5.3B.30 Protection of company's property from persons bound by restructuring plan
• 5.3B.31 When restructuring plan terminates
• 5.3B.32 Effect of termination or avoidance
Subdivision D--Restructuring practitioner for a restructuring plan
• 5.3B.33 Appointment of restructuring practitioner for restructuring plan
• 5.3B.34 Vacancy in office of restructuring practitioner for restructuring plan
• 5.3B.35 Declaration by new and replacement restructuring practitioners--relevant relationships
• 5.3B.36 Replacement declarations--relevant relationships
• 5.3B.37 Functions of restructuring practitioner for restructuring plan
• 5.3B.38 Replacement restructuring practitioner must lodge outstanding notices etc.
• 5.3B.39 When restructuring practitioner may dispose of encumbered property
• 5.3B.42 Protection from liability
• 5.3B.43 Right of indemnity
• 5.3B.44 Right of indemnity has priority over other debts
• 5.3B.45 Lien to secure indemnity

Division 4--The restructuring practitioner

• 5.3B.46 Authority
• 5.3B.47 Company must notify restructuring practitioner of certain matters

Division 5--Information, reports, documents etc.

• 5.3B.48 Authority
Subdivision B--Information, reports, documents etc. during restructuring
• 5.3B.49 Declaration by directors--eligibility to be under restructuring and other matters
• 5.3B.50 Notice of appointment of restructuring practitioner for company
• 5.3B.51 Notice of termination of appointment of restructuring practitioner for company
• 5.3B.52 Notice of restructuring plan etc. given to affected creditors
• 5.3B.53 Notice of end of restructuring
Subdivision C--Information, reports, documents etc. once restructuring plan is made
• 5.3B.54 Notice of appointment of restructuring practitioner for restructuring plan
• 5.3B.55 Notice of making of restructuring plan
• 5.3B.56 Notice of contravention of restructuring plan
• 5.3B.57 Notice of termination of restructuring plan
• 5.3B.58 Notice of termination of appointment of restructuring practitioner for restructuring plan

Division 6--Powers of Court

• 5.3B.59 Authority
• 5.3B.60 Court may make orders in relation to creditor disputes before restructuring plan is made
• 5.3B.61 When Court may vary restructuring plan
• 5.3B.62 When Court may void or validate restructuring plan
• 5.3B.63 When Court may terminate restructuring plan
• 5.3B.64 Court may limit rights of secured creditor or owner or lessor

Division 7--Other matters

• 5.3B.65 Approved forms

PART 5.4----WINDING UP IN INSOLVENCY

• 5.4.01AAA Meaning of statutory minimum and statutory period-- prescribed amounts
• 5.4.01 Application to Court for winding up--prescribed agency
• 5.4.01A Notice of application to wind up a company
• 5.4.01B Notice of Court - ordered winding up
• 5.4.02 Compromise of debt by liquidator--prescribed amount

PART 5.4C----WINDING UP BY ASIC

• 5.4C.01 Notice of intention to order winding up of a company

PART 5.5----VOLUNTARY WINDING UP

Division 1--Resolution for winding up

• 5.5.01 Notice of resolution to wind up voluntarily

Division 2--Simplified liquidation process

• 5.5.02 Declaration about eligibility for simplified liquidation process and other matters
• 5.5.03 Eligibility criteria for simplified liquidation process
Subdivision B--Simplified liquidation process
• 5.5.04 Transactions that are not voidable
• 5.5.05 Reports by liquidator
• 5.5.06 Notice of adoption of simplified liquidation process
Subdivision C--Ceasing of simplified liquidation process
• 5.5.07 Liquidator must cease to follow the simplified liquidation process
• 5.5.08 Transition from simplified liquidation process
• 5.5.09 Working out whether the 25% in value of creditors test met

PART 5.6----WINDING UP GENERALLY

• 5.6.11 Meaning of proof of debt or claim
• 5.6.37 Establishing title to priority
• 5.6.39 Notice to submit particulars of debt or claim
• 5.6.40 Preparation of a proof of debt or claim
• 5.6.41 Disclosure of security
• 5.6.42 Discounts
• 5.6.43 Periodical payments
• 5.6.43A Debt or claim of uncertain value--appeal to Court
• 5.6.44 Debt discount rate (Act s 554B)
• 5.6.45 Employees' wages
• 5.6.46 Production of bill of exchange and promissory note
• 5.6.47 Admission of debt or claim without formal proof
• 5.6.48 Notice to creditors to submit formal proof
• 5.6.49 Formal proof of debt or claim
• 5.6.50 Contents of formal proof of debt or claim
• 5.6.51 Costs of proof
• 5.6.52 Liquidator to notify receipt of proof of debt or claim
• 5.6.53 Time for liquidator to deal with proofs
• 5.6.54 Grounds of rejection and notice to creditor
• 5.6.55 Revocation or amendment of decision of liquidator
• 5.6.56 Withdrawal or variation of proof of debt or claim
• 5.6.57 Oaths
• 5.6.58 Liquidator to make out provisional list of contributories
• 5.6.59 Time and place for settlement of list
• 5.6.60 Settlement of list of contributories
• 5.6.61 Supplementary list
• 5.6.62 Notice to contributories
• 5.6.63 Dividend payable only on admission of a debt or claim
• 5.6.64 Application of regulations 5.6.37 to 5.6.57
• 5.6.65 Liquidator to give notice of intention to declare a dividend
• 5.6.66 Time allowed for dealing with formal proof of debt or claim
• 5.6.67 Declaration and distribution of dividend
• 5.6.67A Single declaration and distribution of dividend for companies in simplified liquidation
• 5.6.68 Rights of creditor who has not proved debt before declaration of dividend
• 5.6.69 Postponement of declaration
• 5.6.70 Payment of dividend to a person named
• 5.6.70A Prescribed rate of interest on debts and claims from relevant date to date of payment
• 5.6.70B Notice of disclaimer
• 5.6.71 Distribution of surplus in a winding up by the Court
• 5.6.72 Distribution of surplus as directed
• 5.6.73 Eligible unsecured creditor
• 5.6.74 External administration matters--prescribed countries
• 5.6.75 Publication in the prescribed manner

PART 5.7B----RECOVERING PROPERTY OR COMPENSATION FOR THE BENEFIT OF CREDITORS OF INSOLVENT COMPANY

• 5.7B.01 Extension of temporary relief for insolvent trading safe harbour

CHAPTER 5B--Bodies corporate registered as companies, and registrable bodies

PART 5B.2----REGISTRABLE BODIES

• 5B.2.01 Certified copies of certificates of incorporation etc
• 5B.2.02 Manner of certifying constituent documents
• 5B.2.03 Manner of sending letters (Act ss 601CC(2) and 601CL(3))
• 5B.2.04 Manner of sending notices (Act ss 601CC(3) and 601CL(4))
• 5B.2.05 Prescribed countries (Act s 601CDA(a))
• 5B.2.06 Notices (Act s 601CV(1))

PART 5B.3----NAMES OF REGISTRABLE AUSTRALIAN BODIES AND FOREIGN COMPANIES

• 5B.3.01 Availability of names (Act s 601DC)
• 5B.3.02 Consents required for use of certain letters, words and expressions
• 5B.3.03 Exemptions from requirement to set out ARBN etc on certain documents (Act s 601DG)
• 5B.3.04 Notices (Act s 601DH(1))

CHAPTER 5C--Managed investment schemes

PART 5C.1----REGISTRATION OF MANAGED INVESTMENT SCHEMES

• 5C.1.01 Applying for registration
• 5C.1.02 Change of name of registered schemes
• 5C.1.03 Modification (Act s 601QB)

PART 5C.2----THE RESPONSIBLE ENTITY

• 5C.2.01 Duty of responsible entities' agents--surveillance checks
• 5C.2.02 Appointment of temporary responsible entities
• 5C.2.03 Form of notices (Act ss 601FL(2) and 601FM(2))
• 5C.2.04 Notice of appointment of temporary responsible entities
• 5C.2.05 Form of notices (Act s 601FP(3))

PART 5C.4----THE COMPLIANCE PLAN

• 5C.4.01 Agents' authorities to be lodged
• 5C.4.02 Agents to assist auditors of compliance plans

PART 5C.5----THE COMPLIANCE COMMITTEE

• 5C.5.01 Responsible entities etc to assist compliance committees

PART 5C.9----WINDING UP

• 5C.9.01 Notice of commencement of winding up

PART 5C.11----EXEMPTIONS AND MODIFICATIONS

Division 1--Exemptions

• 5C.11.01 Certain schemes not managed investment schemes

Division 2--Modifications

• 5C.11.02 Modifications
• 5C.11.03 Register of members of registered schemes (Act s 169(1))
• 5C.11.03A How to work out the value of an interest
• 5C.11.04 Names of registered schemes (Act s 601EB(1))
• 5C.11.05A Schemes not required to be registered (Act s 601ED)
• 5C.11.06 Liability of responsible entities (Act s 601FB(4))

CHAPTER 5D--Licensed trustee companies

PART 5D.1----PRELIMINARY

• 5D.1.01A Meaning of trustee company
• 5D.1.02 Meaning of traditional trustee company services and estate management functions
• 5D.1.03 Meaning of mortgage - backed security
• 5D.1.04 Interaction between trustee company provisions and State and Territory laws

PART 5D.2----POWERS ETC OF LICENSED TRUSTEE COMPANIES

Division 2.1--Annual Information Returns

• 5D.2.01 Obligation on licensed trustee company to provide an annual information return if requested
• 5D.2.02 Information to be included in annual information return

Division 2.2--Common funds

• 5D.2.03 Common funds
• 5D.2.04 Establishment of common funds
• 5D.2.05 Deciding details about common funds
• 5D.2.06 Operation of common funds
• 5D.2.07 Register of investments
• 5D.2.08 Financial reports

PART 5D.3----REGULATION OF FEES CHARGED BY LICENSED TRUSTEE COMPANIES

• 5D.3.01 Modification of section 601TAB of the Act: disclosure to clients of changed fees

PART 5D.4----OBLIGATIONS OF RECEIVING COMPANY AFTER TRANSFER

• 5D.4.01 Preserving rights under dispute resolution systems and arrangements for compensation

PART 5D.5----ASIC-APPROVED TRANSFERS OF ESTATE ASSETS AND LIABILITIES

• 5D.5.01 Notice of certificate

CHAPTER 6--Takeovers

PART 6.2----EXCEPTIONS TO THE PROHIBITION

• 6.2.01A Prescribed requirements
• 6.2.01 Prescribed circumstances (Act s 611)
• 6.2.02 Other prescribed circumstances (Act s 611)

PART 6.6----VARIATION OF OFFERS

• 6.6.01 Right to withdraw acceptance

PART 6.8----ACCEPTANCES

• 6.8.01 Acceptance of offers made under off - market bid
• 6.8.02 Acceptances by transferees and nominees of offers made under off - market bid

PART 6.10----REVIEW AND INTERVENTION

• 6.10.01 Application for review of Takeovers Panel decision

CHAPTER 6A--Compulsory acquisitions and buy-outs

PART 6A.1----COMPULSORY ACQUISITIONS AND BUY-OUTS AFTER TAKEOVER BID

• 6A.1.01 Terms on which securities to be acquired

CHAPTER 6CA--Continuous disclosure

• 6CA.1.01 Continuous disclosure: other disclosing entities

CHAPTER 6D--Fundraising

PART 6D.2----DISCLOSURE TO INVESTORS ABOUT SECURITIES

• 6D.2.01 Exemption--member shares
• 6D.2.02 Exemption--foreign companies
• 6D.2.03 Sophisticated investors
• 6D.2.04 Simple corporate bonds--base prospectus
• 6D.2.05 Simple corporate bonds--offer - specific prospectus
• 6D.2.06 Simple corporate bonds--key financial ratios relevant to issuing body

PART 6D.3A----CROWD-SOURCED FUNDING

• 6D.3A.01 Offers that are eligible to be made under Part 6D.3A of the Act
• 6D.3A.02 Contents of CSF offer document--general
• 6D.3A.03 Contents of CSF offer document--Section 1: Risk warnings
• 6D.3A.04 Contents of CSF offer document--Section 2: Information about the offering company
• 6D.3A.05 Contents of CSF offer document--Section 3: Information about the offer
• 6D.3A.06 Contents of CSF offer document--Section 4: Information about investor rights
• 6D.3A.07 Obligation of CSF intermediary relating to their platforms--applicant risk acknowledgement
• 6D.3A.08 Gatekeeper obligation of CSF intermediary--checks
• 6D.3A.09 Gatekeeper obligation of CSF intermediary--reasonable standard of checks
• 6D.3A.10 Obligation of CSF intermediary relating to their platforms--general CSF risk warning

PART 6D.5----FUNDRAISING--MISCELLANEOUS

• 6D.5.01 Warrants that are securities
• 6D.5.02 Modification of paragraph 708(8)(c) of the Act: renewal period for accountants' certificates
• 6D.5.03 Modification of section 738X of the Act: requirement to notify right to withdraw application only applies if defect is materially adverse

CHAPTER 7--Financial services and markets

PART 7.1----PRELIMINARY

Division 1--General

• 7.1.04 Derivatives
• 7.1.04A Meaning of kind of financial products (section 1012IA of the Act)
• 7.1.04B Meaning of class of financial products (managed investment schemes)
• 7.1.04C Meaning of class of financial products (superannuation products)
• 7.1.04CAA Meaning of claimant intermediary --persons excluded from being claimant intermediaries
• 7.1.04CA Kinds of financial products
• 7.1.04CB When providing certain claims handing and settling services is not the primary part of a business
• 7.1.04D Meaning of issuer for certain derivatives
• 7.1.04E Issue of a new interest in a superannuation fund
• 7.1.04F Meaning of class of financial services (subsections 917A(3), 917C(2) and 917C(3) of the Act)
• 7.1.04G Meaning of issuer for a foreign exchange contract
• 7.1.04N Specific things that are financial products--litigation funding schemes and arrangements
• 7.1.05 Specific things that are not financial products: superannuation interests
• 7.1.06 Specific things that are not financial products: credit facility
• 7.1.06A Arrangements for certain financial products that are not credit facilities
• 7.1.07 Specific things that are not financial products: surety bonds
• 7.1.07A Specific things that are not financial products: rental agreements
• 7.1.07B Specific things that are not financial products: bank drafts
• 7.1.07C Specific things that are not financial products: insurance under an overseas student health insurance contract
• 7.1.07E Specific things that are not financial products: rights of the holder of a debenture
• 7.1.07F Specific things that are not financial products: money orders
• 7.1.07G Specific things that are not financial products: electronic funds transfers
• 7.1.07H Specific things that are not financial products: ACT insurance
• 7.1.07J Specific things that are not financial products--carbon abatement
• 7.1.08AA Meaning of financial product advice --advice that is not regarded as a necessary part of providing claims handling and settling services
• 7.1.08 Meaning of financial product advice : exempt document or statement
• 7.1.08A Modification of section 766D of the Act--free carbon units
• 7.1.09 Obligations related to clearing and settlement facility
• 7.1.10 Conduct that does not constitute operating a clearing and settlement facility

Division 2--Retail clients and wholesale clients

• 7.1.11 Meaning of retail client and wholesale client : motor vehicle insurance product
• 7.1.12 Meaning of retail client and wholesale client : home building insurance product
• 7.1.13 Meaning of retail client and wholesale client : home contents insurance product
• 7.1.14 Meaning of retail client and wholesale client : sickness and accident insurance product
• 7.1.15 Meaning of retail client and wholesale client : consumer credit insurance product
• 7.1.16 Meaning of retail client and wholesale client : travel insurance product
• 7.1.17 Meaning of retail client and wholesale client : personal and domestic property insurance product
• 7.1.17A General insurance products: medical indemnity insurance products
• 7.1.17B Retail clients and wholesale clients: aggregation of amounts for price or value of financial product
• 7.1.17C Retail clients: traditional trustee company services
• 7.1.18 Retail clients and wholesale clients: price of investment - based financial products
• 7.1.19 Retail clients and wholesale clients: value of investment - based financial products
• 7.1.19A Retail clients and wholesale clients: price of margin lending facilities
• 7.1.20 Retail clients and wholesale clients: price of income stream financial products
• 7.1.21 Retail clients and wholesale clients: value of income stream financial products
• 7.1.22 Retail clients and wholesale clients: value of derivatives
• 7.1.22AA Retail clients and wholesale clients: contract for difference
• 7.1.22A Retail clients and wholesale clients: value of foreign exchange contracts
• 7.1.23 Retail clients and wholesale clients: price of non - cash payment financial products
• 7.1.24 Retail clients and wholesale clients: value of non - cash payment products
• 7.1.25 Retail clients and wholesale clients: life risk insurance and other risk - based financial products
• 7.1.26 Superannuation - sourced money
• 7.1.27 Retail clients and wholesale clients: effect of wholesale status
• 7.1.28 Retail clients and wholesale clients: assets and income

Division 3--When does a person provide a financial service?

• 7.1.28AA Provision of financial product advice about default funds
• 7.1.28A Circumstances in which a person is taken to be provided a traditional trustee company service
• 7.1.29 Circumstances in which a person is taken not to provide a financial service
• 7.1.30 Information and advice about voting
• 7.1.31 Passing on prepared documents
• 7.1.32 Remuneration packages
• 7.1.33A Allocation of funds available for investment
• 7.1.33B General advice
• 7.1.33D Investment - linked life insurance products
• 7.1.33E Advice about the existence of a custodial or depository service
• 7.1.33F School banking
• 7.1.33G Certain general advice that does not attract remuneration etc.
• 7.1.33H Certain general advice given by a financial product issuer

Division 4--Dealings in financial products

• 7.1.34 Conduct that does not constitute dealing in a financial product
• 7.1.35 Conduct that does not constitute dealing in a financial product
• 7.1.35A Conduct that does not constitute dealing in a financial product--lawyers acting on instructions
• 7.1.35B Conduct that does not constitute dealing in a financial product--issuing carbon units, Australian carbon credit units or eligible international emissions units
• 7.1.35C Conduct that does not constitute dealing in a financial product--carbon units, Australian carbon credit units or eligible international emissions units

Division 5--Custodial or depository services

• 7.1.40 Conduct that does not constitute the provision of a custodial or depository service

Division 6--Operating a financial market

• 7.1.50 Operating a financial market

PART 7.2----LICENSING OF FINANCIAL MARKETS

Division 1--Market licensees' obligations

• 7.2.01 Obligation to inform ASIC of certain matters: contraventions of licence or Act
• 7.2.02 Obligation to inform ASIC of certain matters: becoming director, secretary or executive officer of market licensee
• 7.2.03 Obligation to inform ASIC of certain matters: ceasing to be director, secretary or executive officer of market licensee
• 7.2.04 Obligation to inform ASIC of certain matters: voting power in market licensee
• 7.2.05 Giving ASIC information about a listed disclosing entity
• 7.2.06 Annual report of market licensee

Division 2--The market's operating rules and procedures

• 7.2.07 Content of licensed market's operating rules
7.2.08. Content of licensed market's written procedures

Division 3--Powers of the Minister and ASIC

• 7.2.09 Agencies for compliance assessment

Division 4--The Australian market licence: applications (general)

• 7.2.10 Application of Division 4
• 7.2.11 Information
• 7.2.12 Documents

Division 5--The Australian market licence: applications (financial market in foreign country)

• 7.2.13 Application of Division 5
• 7.2.14 Information
• 7.2.15 Documents

Division 6--The Australian market licence: other matters

• 7.2.16 Potential conflict situations

PART 7.2A----SUPERVISION OF FINANCIAL MARKETS

Division 7.2A.1--Enforceable undertakings

• 7.2A.01 Enforceable undertakings

Division 7.2A.2--Infringement notices

• 7.2A.02 Purpose of Division
• 7.2A.03 Definitions for Division 7.2A.2
• 7.2A.04 When infringement notice can be given
• 7.2A.05 Statement of reasons must be given
• 7.2A.06 Contents of infringement notice
• 7.2A.07 Amount of penalty payable to the Commonwealth
• 7.2A.08 Compliance with infringement notice
• 7.2A.09 Extension of compliance period
• 7.2A.10 Effect of compliance with infringement notice
• 7.2A.11 Application to withdraw infringement notice
• 7.2A.12 Withdrawal of infringement notice by ASIC
• 7.2A.13 Notice of withdrawal of infringement notice
• 7.2A.14 Withdrawal of notice after compliance
• 7.2A.15 Publication of details of infringement notice

PART 7.3----LICENSING OF CLEARING AND SETTLEMENT FACILITIES

Division 1--Regulation of CS facility licensees: licensees' obligations

• 7.3.01 Obligation to inform ASIC of certain matters: becoming director, secretary or executive officer of CS facility licensee
• 7.3.02 Obligation to inform ASIC of certain matters: ceasing to be director, secretary or executive officer of CS facility licensee
• 7.3.03 Obligation to inform ASIC of certain matters: voting power in CS facility licensee
• 7.3.04 Annual report of CS facility licensee

Division 2--Regulation of CS facility licensees: the facility's operating rules and procedures

• 7.3.05 Content of licensed CS facility's operating rules
7.3.06. Content of licensed CS facility's written procedures

Division 3--Regulation of CS facility licensees: powers of the Minister and ASIC

• 7.3.07 Agencies for compliance assessment
• 7.3.08 Agencies for compliance assessment

Division 4--The Australian CS facility licence: applications (general)

• 7.3.09 Application of Division 4
• 7.3.10 Information
• 7.3.11 Documents

Division 5--The Australian CS facility licence: applications (overseas clearing and settlement facility)

• 7.3.12 Application of Division 5
• 7.3.13 Information
• 7.3.14 Documents

PART 7.4----LIMITS ON INVOLVEMENT WITH LICENSEES

• 7.4.01 Meaning of widely held market body --prescribed bodies corporate
• 7.4.02 Record - keeping: market licensee
• 7.4.03 Record - keeping: CS facility licensee
• 7.4.04 Information for widely held market body

PART 7.5----COMPENSATION REGIMES FOR FINANCIAL MARKETS

Division 1--Preliminary

• 7.5.01 Definitions for Part 7.5
• 7.5.01A Modification of Act: compensation regimes
• 7.5.02 Meaning of becoming insolvent
• 7.5.03 Meaning of dealer
• 7.5.04 Meaning of excluded person
• 7.5.06 Meaning of sale and purchase of securities
• 7.5.07 Meaning of securities business : general
• 7.5.08 Meaning of securities business : Subdivision 4.9
• 7.5.09 Meaning of security
• 7.5.10 Meaning of transfer of securities
• 7.5.13 Effect of contravention of Part 7.5

Division 2--When there must be a compensation regime

• 7.5.14 Application for Australian market licence: information about compensation arrangements

Division 3--Approved compensation arrangements

• 7.5.15 Application for approval of compensation arrangements after grant of Australian market licence: information about compensation arrangements
• 7.5.16 Notification of payment of levies
• 7.5.17 Amount of compensation

Division 4--NGF Compensation regime

• 7.5.18 Application of Division 4
• 7.5.18A Caps on compensation
Subdivision 4.2--Third party clearing arrangements
• 7.5.19 Clearing arrangements
Subdivision 4.3--Contract guarantees
• 7.5.24 Claim by selling client in respect of default by selling dealer: ASTC - regulated transfer
• 7.5.25 Claim by selling client in respect of default by selling dealer: transaction other than ASTC - regulated transfer
• 7.5.26 Claim by buying client in respect of default by buying dealer: ASTC - regulated transfer
• 7.5.27 Claim by buying client in respect of default by buying dealer: transaction other than ASTC - regulated transfer
• 7.5.28 Cash settlement of claim: ASTC - regulated transfer
• 7.5.29 Cash settlement of claim: transfer other than ASTC - regulated transfer
• 7.5.30 Making of claims
Subdivision 4.7--Unauthorised transfer
• 7.5.53 Application of Subdivision 4.7
• 7.5.54 Claim by transferor
• 7.5.55 Claim by transferee or sub - transferee
• 7.5.56 How and when claim may be made
• 7.5.57 How claim is to be satisfied
• 7.5.58 Discretionary further compensation to transferor
• 7.5.59 Nexus with Australia
Subdivision 4.8--Contraventions of ASTC certificate cancellation provisions
• 7.5.60 Claim in respect of contravention of ASTC certificate cancellation provisions
• 7.5.61 How and when claim may be made
• 7.5.62 How claim is to be satisfied
• 7.5.63 Discretionary further compensation
Subdivision 4.9--Claims in respect of insolvent participants
• 7.5.64 Claim in respect of property entrusted to, or received by, dealer before dealer became insolvent
• 7.5.65 Cash settlement of claims if property unobtainable
• 7.5.66 Ordering of alternative claims and prevention of double recovery
• 7.5.67 No claim in respect of money lent to dealer
• 7.5.68 Nexus with Australia
• 7.5.69 No claim in certain other cases
• 7.5.70 Making of claims
Subdivision 4.10--General
• 7.5.72 Power of SEGC to allow and settle claim
• 7.5.72A Participant - related limits of compensation
• 7.5.72B Claimant - related limits of compensation
• 7.5.73 Application of Fund in respect of certain claims
• 7.5.74 Discretion to pay amounts not received etc because of failure to transfer securities
• 7.5.75 Reduction in compensation
• 7.5.76 Claimant may be required to exercise right of set - off
• 7.5.77 Effect of set - off on claim
• 7.5.78 Claimant entitled to costs and disbursements
• 7.5.79 Interest
• 7.5.80 SEGC to notify claimant if claim disallowed
• 7.5.81 Arbitration of amount of cash settlement of certain claims
• 7.5.82 Instalment payments
• 7.5.83 Notification of payment of levies
• 7.5.84 Notification of payment of levies
Subdivision 4.11--Other provisions relating to compensation
• 7.5.85 Prescribed body corporate with arrangements covering clearing and settlement facility support
• 7.5.85A Transitional provision for joining of Chi - X

Division 5--Provisions common to both kinds of compensation arrangements

• 7.5.86 Excess money in National Guarantee Fund
• 7.5.87 Excess money in fidelity fund
• 7.5.88 Minister's arrangements for use of excess money from compensation funds
• 7.5.89 Payment of excess money from NGF
• 7.5.90 Use of excess money from NGF
• 7.5.91 Payment of excess money from fidelity fund
• 7.5.92 Use of excess money from fidelity fund
• 7.5.93 Qualified privilege

PART 7.5A----REGULATION OF DERIVATIVE TRANSACTIONS AND DERIVATIVE TRADE REPOSITORIES

Division 2--Regulation of derivative transactions: derivative transaction rules

• 7.5A.30 Reporting requirements--prescribed facilities
• 7.5A.50 Persons on whom requirements cannot be imposed
Subdivision 2.1A--Derivative transaction rules imposing clearing requirements
• 7.5A.60 Definitions for Subdivision 2.1A
• 7.5A.61 Meaning of Australian clearing entity
• 7.5A.62 Meaning of foreign clearing entity
• 7.5A.63 Clearing requirements--prescribed facilities
• 7.5A.64 Persons on whom clearing requirements cannot be imposed
• 7.5A.65 Circumstances in which clearing requirements can be imposed
Subdivision 2.1B--Phase 3 reporting entities--exemption from OTC derivative reporting requirements
• 7.5A.70 Definitions for Subdivision 2.1B
• 7.5A.71 Exemption--single - sided transaction and position reporting
• 7.5A.72 Reporting counterparties
• 7.5A.73 Application of exemptions
• 7.5A.74 Reporting requirement--exemption stops applying
Subdivision 2.2--Enforceable undertakings
• 7.5A.101 Enforceable undertakings
Subdivision 2.3--Infringement notices
• 7.5A.102 Infringement notices
• 7.5A.103 Definitions for Subdivision
• 7.5A.104 When infringement notice can be given
• 7.5A.105 Statement of reasons must be given
• 7.5A.106 Contents of infringement notice
• 7.5A.107 Amount of penalty payable to the Commonwealth
• 7.5A.108 Compliance with infringement notice
• 7.5A.109 Extension of compliance period
• 7.5A.110 Effect of compliance with infringement notice
• 7.5A.111 Application to withdraw infringement notice
• 7.5A.112 Withdrawal of infringement notice by ASIC
• 7.5A.113 Notice of withdrawal of infringement notice
• 7.5A.114 Withdrawal of notice after compliance
• 7.5A.115 Publication of details of infringement notice

Division 5--Regulation of licensed derivative trade repositories: other obligations and powers

• 7.5A.150 Obligations and powers--confidential information
• 7.5A.150A European Union requests for derivative trade data
• 7.5A.150B Other requests for derivative trade data
• 7.5A.151 Obligations relating to derivative trade data
• 7.5A.200 ASIC may assess licensee's compliance

Division 7--Regulation of prescribed derivative trade repositories

• 7.5A.250 Obligations and powers--confidential information

Division 8--Other matters

• 7.5A.270 Record - keeping

PART 7.6----LICENSING OF PROVIDERS OF FINANCIAL SERVICES

• 7.6.01 Need for Australian financial services licence: general
• 7.6.01AAAA Need for Australian financial services licence: prescribed insurance products in relation to claimant intermediaries
• 7.6.01AAAB Need for Australian financial services licence: issuers of insurance products
• 7.6.01AAA Particular financial products not exempted
• 7.6.01AB Obligation on persons providing exempt financial service
• 7.6.01A Providing financial services on behalf of a person who carries on a financial services business
• 7.6.01B Need for Australian financial services licence: financial product advice provided by the media
• 7.6.01C Obligation to cite licence number in documents
• 7.6.02 Alternative dispute resolution systems
• 7.6.02AAA Arrangements for compensation if financial services provided to persons as retail clients (Act s 912B)
• 7.6.02AA Modification of section 912B of the Act: professional indemnity insurance and security instead of arrangements for compensation
• 7.6.02AB Modification of section 761G of the Act: meaning of retail client and wholesale client
• 7.6.02AC Modification of section 761G of the Act: meaning of retail client and wholesale client
• 7.6.02AD Modification of section 761G of the Act: meaning of retail client and wholesale client
• 7.6.02AE Modification of section 9 of the Act: Definition of professional investor
• 7.6.02AF Modification of section 761G of the Act: renewal period for accountants' certificates
• 7.6.02AG Modification of section 911A of the Act
• 7.6.02AH Modification of paragraph 911B(1)(e) of the Act
• 7.6.02A Obligation to notify ASIC of certain matters
• 7.6.03 Applying for Australian financial services licence
• 7.6.03A Australian financial services licence--requirements for a foreign entity to appoint local agent
• 7.6.03B Foreign entity must continue to have local agent
• 7.6.03C Financial services licensee must cooperate with AFCA
• 7.6.04 Conditions on Australian financial services licence
• 7.6.04AA Time limits for notification of authorised representatives--modification of section 916F of the Act
• 7.6.04A Exemptions to notification of authorised representatives
• 7.6.05 Register of financial services licensees and register of authorised representatives of financial services licensees
• 7.6.06 ASIC register relating to persons against whom banning order or disqualification order is made
• 7.6.06C Correcting registers
• 7.6.06D Register of Relevant Providers--prescribed instruments
• 7.6.07 Restriction on use of certain words or expressions
• 7.6.07A Modification of section 923C
• 7.6.07B Exam for existing providers

PART 7.6B----PROVISION OF INFORMATION TO APRA ABOUT CONTRACTS OF INSURANCE

• 7.6.08A Definitions
• 7.6.08B Application
• 7.6.08C Modification of section 912CA of the Act
• 7.6.08D Information about general insurance products
• 7.6.08E Information about general insurance products--unauthorised foreign insurers

CHAPTER 7--Financial services and markets

PART 7.7----FINANCIAL SERVICE DISCLOSURE

Division 1--Preliminary

• 7.7.01 How documents, information and statements are to be given

Division 2--Financial Services Guide

• 7.7.02 Situations in which Financial Services Guide is not required
• 7.7.02A Situations when Financial Services Guide is not required
• 7.7.03 Financial Services Guide given by financial services licensee: description of documents
• 7.7.03A Financial Services Guide given by financial services licensee: arrangements for compensation
• 7.7.04 Financial Services Guide given by financial services licensee: remuneration, commission and benefits
• 7.7.04A Financial services guide given by financial services licensee: more detailed information about remuneration etc
• 7.7.04AA Financial Services Guide given by financial services licensee: non - monetary benefit that is not conflicted remuneration
• 7.7.04AB Financial Services Guide given by authorised representative: non - monetary benefit that is not conflicted remuneration
• 7.7.05 Record of advice given by financial services licensee
• 7.7.05A Financial Services Guide given by authorised representative of financial services licensee: authorised representative number
• 7.7.05B Personalised Financial Services Guide
• 7.7.05C Exemption from providing certain information in a Financial Services Guide
• 7.7.06 Financial Services Guide given by authorised representative of financial services licensee: description of documents
• 7.7.06A Financial Services Guide given by authorised representative of financial services licensee--licence number
• 7.7.06B Financial Services Guide given by authorised representative of financial services licensee: arrangements for compensation
• 7.7.07 Financial Services Guide given by authorised representative of financial services licensee: remuneration, commission and benefits
• 7.7.07A Financial services guide given by authorised representative: more detailed information about remuneration etc
• 7.7.08 Record of advice given by authorised representative of financial services licensee

Division 2A--Combined Financial Services Guide and Product Disclosure Statement

• 7.7.08A Combined Financial Services Guide and Product Disclosure Statement

Division 2AA--Combined Financial Services Guide and credit guide

• 7.7.08B Modification of section 942DA of the Act

Division 2B--Record of small investment advice

• 7.7.08C Record of small investment advice--content requirements

Division 3--Statement of Advice

• 7.7.09 Situations in which statement of advice is not required: further advice
• 7.7.09A Situations in which Statement of Advice is not required: small investments threshold
• 7.7.09AA Statement of Advice from financial services licensee
• 7.7.09AB Modification of subsection 947B(4) of the Act
• 7.7.09B Statement of Advice from providing entity--information not included in the Statement
• 7.7.09BA Statement of Advice from authorised representative
• 7.7.09BB Modification of subsection 947C(4) of the Act
• 7.7.09BC Statement of Advice given by financial services licensee: non - monetary benefit that is not conflicted remuneration
• 7.7.09BD Statement of Advice given by authorised representative: non - monetary benefit that is not conflicted remuneration
• 7.7.09C Requirement to keep Statement of Advice and other documents
• 7.7.10 Products for which a Statement of Advice is not required
• 7.7.10AA Obligation on authorised representative to give a financial services guide
• 7.7.10AAA Record of advice without a recommendation to purchase or sell--content requirements
• 7.7.10AB Financial services guide--contents of guide
• 7.7.10AC Financial services guide
• 7.7.10AD Financial services guide
• 7.7.10AE Situations in which Statement of Advice not required
• 7.7.10AF Various consequential amendments to Division 7 of Part 7.7 concerning situations where Financial Services Guides do not have to be given
• 7.7.10AG Various consequential amendments to Division 7 of Part 7.7
• 7.7.10AI Obligation to warn client that advice does not take account of client's objectives, financial situation or needs--carbon units, Australian carbon credit units and eligible international emissions units
• 7.7.10A Statements of Advice--requirement to state information as amounts in dollars
• 7.7.10B Insertion of definition--further advice
• 7.7.10C Omission of definition--further market - related advice
• 7.7.10D Additional information in Statement of Advice
• 7.7.10E Additional information in Statement of Advice
• 7.7.11 Statement of Advice given by financial services licensee
• 7.7.11A Statement of Advice given by authorised representative of financial services licensee--licence number
• 7.7.11B Statement of Advice--disclosure of dollar amounts
• 7.7.12 Statement of Advice given by authorised representative of financial services licensee
• 7.7.13 Statement of Advice provided by authorised representative--disclosure of dollar amounts
• 7.7.13A Additional information about charges or benefits--disclosure of dollar amounts
• 7.7.13B Additional information about charges or benefits--disclosure of dollar amounts

Division 4--General advice provided to a retail client

• 7.7.14 Product Disclosure Statement not required

Division 5--Other disclosure requirements

• 7.7.20 General advice to retail client--no obligation to warn client
• 7.7.20A Extension of disclosure requirements to wholesale clients dealing with certain unauthorised insurers

Division 6--Exemptions from application of Part 7.7 of the Act

• 7.7.21 Exemption from application of Part 7.7 of the Act

PART 7.7A----BEST INTERESTS OBLIGATIONS AND REMUNERATION

Division 2--Best interests obligations

• 7.7A.05 Best interests duty--basic banking products etc.
• 7.7A.06 Best interests duty--general insurance products

Division 3--Charging ongoing fees to clients

• 7.7A.10 Arrangements that are not ongoing fee arrangements
• 7.7A.11 Fee disclosure statements
• 7.7A.11AA Compliance records required to be kept by fee recipients

Division 4--Conflicted remuneration

• 7.7A.11A What this Subdivision is about
• 7.7A.11B Circumstances in which benefits in relation to life risk insurance products are conflicted remuneration
• 7.7A.11C Circumstances in which benefits in relation to information about life risk insurance products are not conflicted remuneration
• 7.7A.11D Circumstances in which benefits in relation to dealings in life risk insurance products are not conflicted remuneration
Subdivision 2--Monetary benefits that are not conflicted remuneration
• 7.7A.12 What subdivision is about
• 7.7A.12B Stamping fees
• 7.7A.12C Time - sharing schemes
• 7.7A.12D Brokerage fees
• 7.7A.12E Fees paid by clients for dealing services
• 7.7A.12EA Application of ban on conflicted remuneration--purchase or sale of financial advice business
Subdivision 3--Monetary benefits that relate to life risk insurance products
• 7.7A.12EB Life risk insurance products--clawback requirements related to cancellation etc.
• 7.7A.12EC Life risk insurance products--clawback requirements related to reduction of policy cost
Subdivision 4--Other monetary and non-monetary benefits that are not conflicted remuneration
• 7.7A.12F What subdivision is about
• 7.7A.12G General insurance
• 7.7A.12H Basic banking and general insurance products
• 7.7A.12I Mixed benefits
• 7.7A.13 Non - monetary benefit given in certain circumstances not conflicted remuneration: prescribed amount
• 7.7A.14 Non - monetary benefit given in certain circumstances not conflicted remuneration: education or training course
• 7.7A.15 Non - monetary benefit given in certain circumstances not conflicted remuneration: other education and training benefit
• 7.7A.15A Non - monetary benefit given in certain circumstances not conflicted remuneration--education and training in conducting a financial services business
Subdivision 4A--Ban on conflicted remuneration (rebates)
• 7.7A.15AJ What Subdivision is about
• 7.7A.15AK Obligations of covered person
Subdivision 6--Application provisions relating to the Corporations Amendment (Life Insurance Remuneration Arrangements) Act 2017
• 7.7A.16G Definitions
• 7.7A.16H Life risk insurance products substantially related to existing products
Subdivision 7--Asset-based fees on borrowed amounts
• 7.7A.17 Financial services licensees
• 7.7A.18 Authorised representatives

Division 6--Exemptions from application of Part 7.7A of the Act

• 7.7A.40 Exemption from application of Part 7.7A of the Act

PART 7.8----OTHER PROVISIONS RELATING TO CONDUCT ETC CONNECTED WITH FINANCIAL PRODUCTS AND FINANCIAL SERVICES, OTHER THAN FINANCIAL PRODUCT DISCLOSURE

Division 2--Dealing with clients' money

• 7.8.01A Wholesale client money
• 7.8.01 Obligation to pay money into an account
• 7.8.02 Accounts maintained for section 981B of the Act
• 7.8.02A Accounts maintained for the purposes of section 981B of the Act--special rules for retail clients
• 7.8.03 How money to be dealt with if licensee ceases to be licensed etc
• 7.8.04 Money to which Subdivision A of Division 2 of Part 7.8 of the Act applies taken to be held in trust: breach of financial services law
• 7.8.05 Money to which Subdivision A of Division 2 of Part 7.8 of the Act applies taken to be held in trust: risk accepted by insurer
Subdivision AA--Client money reporting rules
• 7.8.05A Definitions for Subdivision AA of Division 2
• 7.8.05B Enforceable undertakings
• 7.8.05C Client money reporting infringement notices
• 7.8.05D Effect of client money reporting infringement notice provisions
• 7.8.05E Statement of reasons must be given
• 7.8.05F Contents of client money reporting infringement notice
• 7.8.05G Amount of penalty payable to the Commonwealth
• 7.8.05H Compliance with client money reporting infringement notice
• 7.8.05J Extension of client money reporting infringement notice period
• 7.8.05K Effect of compliance with client money reporting infringement notice
• 7.8.05L Application to withdraw client money reporting infringement notice
• 7.8.05M Withdrawal of client money reporting infringement notice by ASIC
• 7.8.05N Notice of withdrawal of client money reporting infringement notice
• 7.8.05P Withdrawal of notice after compliance
• 7.8.05Q Publication of details of client money reporting infringement notice
Subdivision B--Loan money
• 7.8.06 Statement setting out terms of loan etc

Division 3--Dealing with other property of clients

• 7.8.06A Property exempt from Division 3 of Part 7.8 of the Act
• 7.8.06B Wholesale client property
• 7.8.07 How property to which Division 3 of Part 7.8 of the Act to be dealt with

Division 4--Special provisions relating to insurance

• 7.8.08 Debts of financial services licensee in relation to premiums etc

Division 4A--Special provisions relating to margin lending facilities

• 7.8.08A Limit of margin lending facility taken to be increased
• 7.8.08B Exemption from requirement to make unsuitability assessment
• 7.8.09 Reasonable inquiries etc about retail client: inquiries
• 7.8.09A Modification of section 985G of the Act
• 7.8.10 Circumstances in which margin lending facility is unsuitable
• 7.8.10A Margin lending facility taken not to be unsuitable

Division 6--Financial records, statements and audit

• 7.8.11 Particular categories of information to be shown in records
• 7.8.11A Particular categories of information to be shown in records: records of non - monetary benefit that is not conflicted remuneration
• 7.8.11B Information to be shown in records: records of rebates in relation to conflicted remuneration
• 7.8.12 Requirements in relation to financial records of financial services licensees
Subdivision C--Financial statements of financial services licensees
• 7.8.12A Modification of section 989B of the Act
• 7.8.13 Auditor's report with annual profit and loss statement and balance sheet
• 7.8.13A Compliance certificate with profit and loss statement and balance sheet
• 7.8.14 Contents of annual profit and loss statement and balance sheet and applicable accounting procedures
• 7.8.14A Lodgement of annual profit and loss statement and balance sheet
Subdivision D--Appointment etc. of auditors
• 7.8.14B Modification of section 990B of the Act
• 7.8.15 Appointment of auditor by financial services licensee
• 7.8.16 When person is ineligible to act as auditor of financial services licensee

Division 7--Other rules about conduct

• 7.8.17 Priority to clients' orders
• 7.8.18 Instructions to deal through licensed markets
• 7.8.19 Records of instructions to deal on licensed markets and foreign markets
• 7.8.20 Dealings with non - licensees
• 7.8.20A Dealings involving employees of financial service licensees--risk insurance products
• 7.8.21 Dealings involving employees of financial services licensees

Division 8--Miscellaneous

• 7.8.21A Exceptions to prohibition on hawking of financial products
• 7.8.23 Return of financial product: transfer between superannuation entities or RSAs
• 7.8.24 Right of return not to apply
• 7.8.25 Variation of amount to be repaid

PART 7.8A----DESIGN AND DISTRIBUTION REQUIREMENTS RELATING TO FINANCIAL PRODUCTS FOR RETAIL CLIENTS

Division 1--Preliminary

• 7.8A.01 Definitions
• 7.8A.02 Meaning of regulated person --prescribed persons

Division 2--Financial products for which target market determinations are required

• 7.8A.03 Financial products for which target market determinations are required
• 7.8A.04 Jurisdictional scope of Division
• 7.8A.05 Simple corporate bonds
• 7.8A.06 Debentures of certain bodies
• 7.8A.07 Basic banking products
• 7.8A.08 Investor - directed portfolio services
• 7.8A.09 Exchange traded products
• 7.8A.10 Custodial or depository services

Division 3--Exemptions

• 7.8A.20 Financial products for which target market determinations are not required
• 7.8A.25 Exemption from Part 7.8A--Employers complying with certain superannuation guarantee obligations

PART 7.9----FINANCIAL PRODUCT DISCLOSURE AND OTHER PROVISIONS RELATING TO ISSUE AND SALE OF FINANCIAL PRODUCTS

Division 1--Preliminary

• 7.9.01 Interpretation
• 7.9.02 Sub - plans
• 7.9.02A Alternative ways of giving Statement
• 7.9.02B Product Disclosure Statement in electronic form

Division 2--Arrangements for Product Disclosure Statements in relation to superannuation products and RSAs

• 7.9.03 Application of Division 2
Subdivision 2.2--Late provision of Product Disclosure Statement for certain members of regulated superannuation fund, public offer superannuation fund or successor fund
• 7.9.04 Product Disclosure Statement to be provided later
Subdivision 2.3--Product Disclosure Statement for RSA
• 7.9.05 Situation in which Product Disclosure Statement is not required
Subdivision 2.4--Additional obligations for eligible rollover funds
• 7.9.06A Meaning of relevant superannuation entity
• 7.9.06B Application forms
Subdivision 2.5--Product Disclosure Statement for insurance options
• 7.9.07 Modification of Act: Product Disclosure Statement in relation to insurance options

Division 2A--Product Disclosure Statement for warrants

• 7.9.07A Warrants

Division 2B--Product Disclosure Statement for market-traded derivatives

• 7.9.07B Product Disclosure Statements for certain market - traded derivatives
• 7.9.07C Remedies for Product Disclosure Statements for certain market - traded derivatives

Division 2BA--Product Disclosure Statement for discretionary mutual funds

• 7.9.07CA Extension of Product Disclosure Statement requirements to wholesale clients

Division 2C--Situations where a Product Disclosure Statement is not required

• 7.9.07D Product Disclosure Statement not required for offers of bundled contracts of insurance
• 7.9.07E Product Disclosure Statement not required if offer of financial product is declined
• 7.9.07F Product Disclosure Statement not required if the client is not contactable
• 7.9.07FA Product Disclosure Statement not required for certain specified products
• 7.9.07FB Product Disclosure Statement not required if client not in this jurisdiction
• 7.9.07FC Product Disclosure Statement not required general insurance situation

Division 2D--Preparation and content of Product Disclosure Statements

• 7.9.07J Only 1 responsible person for a Product Disclosure Statement
• 7.9.07K Definition of defective : Product Disclosure Statement, Short - Form PDS or Replacement Product Disclosure Statement

Division 2E--Obligation to make information publicly available: registrable superannuation entities

• 7.9.07L Modification of Act
• 7.9.07M Source of power for this Subdivision
• 7.9.07N Definitions
• 7.9.07P Meaning of MySuper product dashboard reporting standards
• 7.9.07Q Product dashboard--how information must be set out
• 7.9.07R Product dashboard--return target
• 7.9.07S Product dashboard--return
• 7.9.07T Product dashboard--comparison between return target and return
• 7.9.07U Comparison to be set out as a graph
• 7.9.07V Product dashboard--level of investment risk
• 7.9.07W Product dashboard--statement of fees and other costs
Subdivision 2E.2--Making portfolio holding information publicly available
• 7.9.07Z Kinds of disclosable item for aggregated reporting
• 7.9.07ZA Way the information must be organised
Subdivision 2E.3--Additional obligations to provide information
• 7.9.07ZB Obligation to provide information to the holder of a superannuation product via website
• 7.9.07ZC Transitional obligation to provide information to the holder of a superannuation product via website

Division 3--Dealing with money received for financial product before the product is issued

• 7.9.08 Accounts
• 7.9.08A Dealing with interest
• 7.9.08B Crediting of payments before money is received
• 7.9.08C Money held in trust for a superannuation product or RSA
• 7.9.08D Statutory funds under the Life Insurance Act 1995

Division 4--Content of Product Disclosure Statements

• 7.9.09 Application of this Division
Subdivision 4.1A--No Product Disclosure Statement for carbon units, Australian carbon credit units and eligible international emissions units
• 7.9.09A Application of this Subdivision
• 7.9.09B Provisions of Part 7.9 of Act that do not apply in relation to carbon units, Australian carbon credit units and eligible international emissions units
• 7.9.09C Modification of Act
Subdivision 4.2A--Form and content of Product Disclosure Statement for standard margin lending facility
• 7.9.11 Application of this Subdivision
• 7.9.11A Provisions of Part 7.7 of Act that do not apply in relation to standard margin lending facility
• 7.9.11B Definitions for Subdivision 4.2A
• 7.9.11C Modification of Act--standard margin lending facility
• 7.9.11D Form and content of Product Disclosure Statement for standard margin lending facility
• 7.9.11E Requirements for references to incorporated information for standard margin lending facility
• 7.9.11F Retention of copies of Product Disclosure Statement for standard margin lending facility
• 7.9.11G Requirement to provide copy of Product Disclosure Statement for standard margin lending facility free of charge
• 7.9.11H Notification about change to Approved Securities List or current interest rate for standard margin lending facility
Subdivision 4.2B--Content of Product Disclosure Statement for superannuation product
• 7.9.11K Application of this Subdivision
• 7.9.11L Provisions of Part 7.7 of Act that do not apply in relation to superannuation product
• 7.9.11LA Attribution of accrued default amount to MySuper product--exemption from significant event notice requirements
• 7.9.11LB Attribution of accrued default amount to MySuper product--modification of significant event notice requirements
• 7.9.11M Provisions of Part 7.9 of Act that do not apply in relation to superannuation product
• 7.9.11N Modification of Act--superannuation product
• 7.9.11O Form and content of Product Disclosure Statement for superannuation product
• 7.9.11P Requirements for references to incorporated information for superannuation product
• 7.9.11Q Retention of copies of Product Disclosure Statement for superannuation product
• 7.9.11R Requirement to provide copy of Product Disclosure Statement for superannuation product free of charge
Subdivision 4.2C--Content of Product Disclosure Statement for simple managed investment scheme
• 7.9.11S Application of this Subdivision
• 7.9.11T Provisions of Part 7.7 of Act that do not apply in relation to simple managed investment scheme
• 7.9.11U Provisions of Part 7.9 of Act that do not apply in relation to simple managed investment scheme
• 7.9.11V Modification of Act--simple managed investment scheme
• 7.9.11W Form and content of Product Disclosure Statement for simple managed investment scheme
• 7.9.11X Requirements for references to incorporated information for simple managed investment scheme
• 7.9.11Y Retention of copies of Product Disclosure Statement for simple managed investment scheme
• 7.9.11Z Requirement to provide copy of Product Disclosure Statement for simple managed investment scheme free of charge
Subdivision 4.2D--Content of Product Disclosure Statement for simple sub-fund products
• 7.9.11ZA Application of this Subdivision
• 7.9.11ZB Provisions of Part 7.7 of Act that do not apply in relation to simple sub - fund products
• 7.9.11ZC Provisions of Part 7.9 of Act that do not apply in relation to simple sub - fund products
• 7.9.11ZD Modification of Act--simple sub - fund products
• 7.9.11ZE Form and content of Product Disclosure Statement for simple sub - fund products
• 7.9.11ZF Requirements for references to incorporated information for simple sub - fund products
• 7.9.11ZG Retention of copies of Product Disclosure Statement for simple sub - fund products
• 7.9.11ZH Requirement to provide copy of Product Disclosure Statement for simple sub - fund products free of charge
Subdivision 4.3--Other arrangements for Product Disclosure Statements and application forms
• 7.9.12 Modification of Act: Product Disclosure Statements and application forms for standard employer - sponsors and successor funds
• 7.9.13 Offer of superannuation interest without application or eligible application
• 7.9.14 Remedies for person acquiring financial product under defective Product Disclosure Statement: superannuation and RSAs
• 7.9.14A Treatment of arrangements under which a person can instruct another person to acquire a financial product
Subdivision 4.4--Product information for certain insurance products
• 7.9.14B Product information

Division 4A--General

• 7.9.14C Labour standards and environmental, social and ethical considerations
• 7.9.14D Further statements required in Product Disclosure Statement--financial claims scheme
• 7.9.15 More detailed information in Product Disclosure Statement: unauthorised foreign insurer
• 7.9.15A Product Disclosure Statements--requirement to state information as amounts in dollars
• 7.9.15B Product Disclosure Statements--disclosure of dollar amounts
• 7.9.15C Product Disclosure Statements--disclosure of dollar amounts
• 7.9.15CA Less information in Product Disclosure Statement--financial claims scheme
• 7.9.15D Less information in product disclosure statement: general insurance product
• 7.9.15DA Statement or information not included in a Product Disclosure Statement
• 7.9.15DB Requirement to keep record of Product Disclosure Statement and other documents
• 7.9.15DC Requirement to lodge documents mentioned in a Product Disclosure Statement with ASIC
• 7.9.15E More detailed information in product disclosure statement: general insurance product
• 7.9.15F Product disclosure statement: general insurance product
• 7.9.15FA Transitional arrangements for regulations 7.9.15D, 7.9.15E and 7.9.15F
• 7.9.15H New section 1012G: product disclosure statement may sometimes be provided later
• 7.9.15I Modification of section 1012IA
• 7.9.16 More detailed information in Product Disclosure Statement: consumer credit insurance product
• 7.9.16A Small scale offerings of managed investment and other prescribed financial products (20 issues or sales in 12 months)

Division 4B--Ongoing disclosure

• 7.9.16G Ongoing disclosure of material changes and significant events

Division 4C--Fee Disclosure for certain financial products

• 7.9.16J Application of this Division to financial products
• 7.9.16JA Application of this Division to financial products--temporary arrangements
• 7.9.16K Application of this Division to periodic statements and Product Disclosure Statements
Subdivision 4C.2--Product Disclosure Statements
• 7.9.16L More detailed information about fees and costs
• 7.9.16M Modification of section 1015C of the Act
• 7.9.16N Presentation, structure and format of fees and costs in Product Disclosure Statements
Subdivision 4C.3--Periodic statements
• 7.9.16O Presentation, structure and format of fees and charges in periodic statements

Division 4D--Other requirements relating to Product Disclosure Statements and Supplementary Product Disclosure Statements

• 7.9.16T Variation of paragraph 1015D(2)(b) of the Act

Division 5--Ongoing requirements for product disclosure after person becomes a member

• 7.9.17 Application of Division 5
Subdivision 5.2--Periodic statements for retail clients for financial products that have an investment component: regulated superannuation funds, approved deposit funds and RSAs
• 7.9.18 Application of Subdivision 5.2
• 7.9.19 Specific requirements for periodic statements: superannuation funds (other than self managed superannuation funds) and RSAs
• 7.9.19A Withdrawal benefit--fees, charges or expenses
• 7.9.19B Withdrawal benefit--fees, charges and expenses
• 7.9.20 Specific requirements for certain periodic statements: superannuation funds (other than self managed superannuation funds)
• 7.9.20AA Specific requirements for certain periodic statements: superannuation funds (other than self managed superannuation funds)--long - term returns
• 7.9.20A Details of other significant benefits--disclosure of fees, charges or expenses
• 7.9.20B Other significant benefits--disclosure of fees, charges or expenses
• 7.9.21 Specific requirements in particular cases: member (other than capital guaranteed member) of fund other than a self managed superannuation fund
• 7.9.22 Specific requirements: capital guaranteed funds and RSAs
• 7.9.23 Information for capital guaranteed fund: benefits reach $10 000
• 7.9.24 Modification of Act: pensioners, members subject to compulsory protection of small amounts and members with small amounts that are expected to grow quickly
Subdivision 5.3--Periodic statements for retail clients for financial products that have an investment component: information for RSAs
• 7.9.25 Application of Subdivision 5.3
• 7.9.26 Specific requirements where applicable: RSAs
• 7.9.27 Modification of Act: periodic statements for RSA holders
• 7.9.28 Information for RSA: amount reaches $10 000
Subdivision 5.4--Periodic statements for retail clients for financial products that have an investment component: additional information for superannuation entities and RSA providers
• 7.9.29 Application of Subdivision 5.4
• 7.9.30 Additional information for change to choices
Subdivision 5.4A--Periodic statements for retail clients for financial products that have an investment component: additional information for margin lending facilities
• 7.9.30A Application of Subdivision 5.4A
• 7.9.30B Details to be included in periodic statements for margin lending facilities
Subdivision 5.5--Fund information for retail clients for financial products that have an investment component: superannuation
• 7.9.31 Application of Subdivision 5.5
• 7.9.31A Trustee of superannuation entity must provide fund information to holders of interests in the entity
• 7.9.32 Fund information must be provided for each fund reporting period
• 7.9.33 Use of more than 1 document
Subdivision 5.6--Fund information for retail clients for financial products that have an investment component: fund information for regulated superannuation funds and approved deposit funds
• 7.9.34 Application of Subdivision 5.6
• 7.9.35 General requirement
• 7.9.36 Specific requirements in all cases
• 7.9.37 Specific requirements in particular cases
• 7.9.39 Benefits determined by life insurance products
Subdivision 5.7--Fund information for retail clients for financial products that have an investment component: fund information for pooled superannuation trusts
• 7.9.40 Application of Subdivision 5.7
• 7.9.41 Specific requirements in all cases
• 7.9.42 Specific requirements in particular cases
Subdivision 5.8--Ongoing disclosure of material changes and significant events
• 7.9.43 Modification of Act: disclosure of material changes and significant events in relation to superannuation products and RSAs
• 7.9.44 Benefits to be paid to eligible rollover fund
Subdivision 5.8A--Information in relation to inactive superannuation accounts
• 7.9.44A Meaning of inactive
• 7.9.44B Notices about insurance--inactivity
• 7.9.44C Notices about insurance--right to cease insurance cover
Subdivision 5.9--Information on request: members
• 7.9.45 Regulated superannuation funds, approved deposit funds and pooled superannuation trusts
• 7.9.46 RSAs
Subdivision 5.10--Information on request: payments
• 7.9.47 Modification of Act: charges for information requested
Subdivision 5.12--Periodic report when product holder ceases to hold product: superannuation products and RSAs
• 7.9.49 Application of Subdivision 5.12
• 7.9.50 Meaning of exit reporting period
• 7.9.51 Time for compliance
• 7.9.52 General requirement
• 7.9.53 Information on death of product holder
• 7.9.54 Specific requirements in all cases
• 7.9.55 Specific requirements in particular cases
• 7.9.56 Exceptions to exit reporting period provisions: superannuation products and RSAs
• 7.9.57 Exception--members subject to compulsory protection of small amounts
• 7.9.58 Information to be given in cases other than death of RSA holder
• 7.9.59 Information to be given where applicable
• 7.9.60 Modification of Act: exceptions to exit reporting period provisions

Division 5AA--General requirements for financial disclosure

• 7.9.60A Modification of Act: disclosure
• 7.9.60B Disclosure of transactions in periodic statements

Division 5AB--Short-Form Product Disclosure Statements

• 7.9.61AA Modification of the Act: Short - Form Product Disclosure Statements

Division 5A--Dealing with money received for financial product before the product is issued

• 7.9.61A Lost application money
• 7.9.61B Issue of substitute insurance product
• 7.9.61C Cheques

Division 5B--Confirming transactions

• 7.9.61D Transactions involving superannuation products

Division 5C--CGS depository interests

• 7.9.61E Meaning of CGS depository interest information website

Division 6--Confirmation of transactions

• 7.9.62 Confirmation of transactions not required
• 7.9.63 Confirmation of transactions: precise costs of transaction not known
• 7.9.63A Persons who must confirm transactions
• 7.9.63B Content of confirmation of transactions--general
• 7.9.63C Confirmation of transaction--multiple transactions
• 7.9.63D Confirmation of transaction--information about cooling - off period
• 7.9.63E Confirmation of transaction--facility that provides written confirmation
• 7.9.63F Confirmation of transaction--acquisition of financial product
• 7.9.63G Confirmation of transaction--disposal of financial product
• 7.9.63H Certain product issuers and regulated persons must meet appropriate dispute resolution requirements--self managed superannuation funds
• 7.9.63I Confirmation of transaction in electronic form

Division 7--Cooling-off periods

• 7.9.64 Cooling - off periods not to apply
• 7.9.64A Notification of exercise of right of return--risk insurance products
• 7.9.65 Return of financial product: general
• 7.9.66 Return of financial product: superannuation and RSAs
• 7.9.67 Variation of amount to be repaid
• 7.9.68 Modification of section 1019B of the Act: client includes standard employer - sponsor
• 7.9.69 Modification of provisions of Division 5 of Part 7.9 of the Act: terms of contract
• 7.9.70 Modification of provisions of Division 5 of Part 7.9 of the Act: distributions

Division 8--Other requirements

• 7.9.71 Modification of section 1017D of the Act: use of more than 1 document
• 7.9.71A Periodic statements--exemption for passbook accounts
• 7.9.72 Modification of section 1017D of the Act: information already given
• 7.9.73 Reporting periods: general
• 7.9.74 Form of application
• 7.9.74A Periodic statements--requirement to state information as amounts in dollars
• 7.9.75 Content of periodic statements: costs of transactions
• 7.9.75A Ways of giving information
• 7.9.75B Information in electronic form
• 7.9.75C Periodic statements--disclosure of amounts
• 7.9.75D Periodic statements--disclosure of amounts
• 7.9.76 Consents to certain statements
• 7.9.77 Alternative dispute resolution requirements--product issuer that is not a financial services licensee
• 7.9.77A Dispute resolution requirement--obligation to cooperate with AFCA
• 7.9.78 Additional statement: trustee required to provide benefits
• 7.9.80B Short selling of certain warrants

Division 9--Additional requirements for transfer of lost members and lost RSA holders

• 7.9.81 Lost members
• 7.9.82 Lost RSA holders

Division 11--Superannuation to which arrangements apply under the Family Law Act 1975

• 7.9.84 Definitions for Division 11
• 7.9.85 Application of Division 11
• 7.9.86 Acquisition of financial product
• 7.9.87 Modification of Act: Product Disclosure Statement in relation to superannuation interest under Family Law Act
• 7.9.88 Statement content in relation to superannuation interest under Family Law Act: superannuation fund
• 7.9.89 Statement content in relation to superannuation interest under Family Law Act: RSA
• 7.9.90 Information for existing holders of superannuation products and RSAs in relation to superannuation interest
• 7.9.91 Periodic statements for retail clients for financial products that have an investment component--general
• 7.9.92 Periodic statements for retail clients for financial products that have an investment component--superannuation interest other than percentage - only interest
• 7.9.93 Trustees of superannuation entities--additional obligation to provide information in relation to superannuation interest
• 7.9.94 Division 5 of Part 7.9 of the Act not to apply in relation to non - member spouse

Division 12--Medical indemnity insurance

• 7.9.95 Medical indemnity insurance--exemption from product disclosure provisions

Division 13--Unsolicited offers to purchase financial products off market

• 7.9.95A Offers to which this Subdivision applies
• 7.9.95B Duration and withdrawal of the offer
• 7.9.95C Varying the terms of the offer
• 7.9.95D Rights if requirements not complied with
Subdivision B--Other matters
• 7.9.96 Percentage increase or decrease in the market value of a product
• 7.9.97 Off - market trading by professional investors etc
• 7.9.97A Information in offer document if payment is to be made in instalments

Division 14--Exemptions from Parts 7.7, 7.8 and 7.9 of the Act

• 7.9.98 Certain providers of financial services exempted from the requirements of Parts 7.7, 7.8 and 7.9 of the Act
• 7.9.98A Exemption from application of Part 7.9 of the Act

Division 15--Disclosure in relation to short sales covered by securities lending arrangement of listed section 1020B products

• 7.9.99 Interpretation
• 7.9.100 Seller disclosure
• 7.9.100A Seller disclosure of existing short position
• 7.9.101 Licensee disclosure
• 7.9.102 Public disclosure of information

PART 7.10----MARKET MISCONDUCT AND OTHER PROHIBITED CONDUCT RELATING TO FINANCIAL PRODUCTS AND FINANCIAL SERVICES

• 7.10.01 Meaning of Division 3 financial products-- excluded superannuation products
• 7.10.02 Professional standards schemes
• 7.10.03 Exemption for market participants of qualifying gas trading exchange

PART 7.10B----FINANCIAL SERVICES COMPENSATION SCHEME OF LAST RESORT

• 7.10B.50 Reporting by CSLR operator if sub - sector levy cap could be exceeded (or further exceeded)
• 7.10B.55 Reporting by CSLR operator after the end of each levy period

PART 7.11----TITLE AND TRANSFER

Division 1--Preliminary

• 7.11.01 Definitions
• 7.11.03 Arrangements about Division 4 financial products
• 7.11.04 Arrangements for forms
• 7.11.05 Document duly completed in accordance with a particular form
• 7.11.06 Stamping of documents
• 7.11.07 Application of Division 3 of Part 7.11 of the Act to certain bodies
• 7.11.08 Interests in registered schemes

Division 2--Application of Part 7.11

• 7.11.09 Application

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

• 7.11.10 Application of Division 3
• 7.11.11 Sufficient transfer: general
• 7.11.12 Sufficient transfer of Division 3 assets: licensed trustee company or Public Trustee of a State or Territory
• 7.11.13 Sufficient transfer of Division 3 rights: licensed trustee company or Public Trustee of a State or Territory
• 7.11.14 Sufficient transfer
• 7.11.15 Transferee's execution of transfer of Division 3 assets
• 7.11.16 Transferee's execution of transfer of Division 3 rights
• 7.11.17 Transfer document that purports to bear stamp of transferor's broker
• 7.11.18 Warranties by market licensee if transfer document purports to bear its stamp
• 7.11.19 Indemnities by market licensee and broker if transfer document purports to bear their stamps
• 7.11.20 Joint and several warranties and liabilities
• 7.11.21 Registration of certain instruments
• 7.11.22 Details to be included in instrument of transfer

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

• 7.11.23 Application of Division 4
• 7.11.24 Application of ASTC operating rules
7.11.25. Participant's authority to enter into transaction continues despite client's death
• 7.11.26 Authority to enter into transaction gives authority to transfer
• 7.11.27 Effect of proper ASTC transfer on transferee: Division 4 financial products other than rights
• 7.11.28 Effect of proper ASTC transfer on transferee: rights
• 7.11.29 Warranties by participant if identification code is included in transfer document
• 7.11.30 Indemnities in respect of warranted matters: transfer not effected by the participant
• 7.11.31 Indemnities in respect of warranted matters: transferor not legally entitled or authorised to transfer Division 4 financial products
• 7.11.32 Indemnities in respect of warranted matters: participant not authorised to effect transfer
• 7.11.33 Joint and several warranties and liabilities
• 7.11.34 ASTC entitled to assume its operating rules complied with
• 7.11.35 ASTC - regulated transfer not to be registered unless proper ASTC transfer
• 7.11.36 Issuer not to refuse to register proper ASTC transfer
• 7.11.37 Determination of who holds Division 4 financial products for the purposes of meeting
• 7.11.38 Determination of who holds Division 4 financial products in class of Division 4 financial products for the purposes of meeting
• 7.11.39 Determination of who holds Division 4 financial products for the purposes of conferring security benefits

Division 5--Offences

• 7.11.40 Stamping of broker's stamp on sufficient transfer
• 7.11.41 Inclusion of identification codes in proper ASTC transfers
• 7.11.42 Contravention by participant of the ASTC certificate cancellation provisions relating to use of cancellation stamps

Division 6--Civil liability

• 7.11.43 Contravention by participant of the ASTC certificate cancellation provisions

PART 7.12----MISCELLANEOUS

• 7.12.01 Destruction of records by ASIC

CHAPTER 8--Mutual recognition of securities offers

PART 8.1----PRELIMINARY

• 8.1.01 Meaning of foreign recognition scheme
• 8.1.02 Meaning of offeror-- prescribed offer and kind of person
• 8.1.03 Meaning of recognised jurisdiction

PART 8.2----FOREIGN OFFERS THAT ARE RECOGNISED IN THIS JURISDICTION

Division 1--Recognised offers

• 8.2.01 Prescribed offer (Act s 1200C(4))
• 8.2.02 Prescribed warning statements (Act s 1200E)
• 8.2.03 Prescribed details to be given in warning statements (Act s 1200E(b))
• 8.2.04 Prescribed home regulators (Act s 1200G(13) and (14))

Division 4--Modification of the Act in relation to its application to recognised offers for interests in New Zealand managed investment schemes (Act s 1020G, 1200M)

• 8.4.01 Modification of Part 7.9 of the Act--New Zealand offer documents replace Product Disclosure Statements
• 8.4.02 Modification of Part 6D.2 of the Act and Part 7.9 of the Act--certain disclosure obligations not to apply

CHAPTER 8A--Asia Region Funds Passport

PART 8A.4----NOTIFIED FOREIGN PASSPORT FUNDS

Division 1--Becoming a notified foreign passport fund

• 8A.4.10 Rejecting a notice of intention--name of fund identical to another or unacceptable

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

• 8A.4.40 Register of members--purposes for which a person may obtain and use a copy
• 8A.4.45 Destruction of records by ASIC--period before documents may be destroyed

PART 8A.5----REGISTER OF PASSPORT FUNDS

• 8A.5.10 Prescribed details for the Register of Passport Funds

PART 8A.7----DEREGISTRATION AND DENOTIFICATION

• 8A.7.10 Authority
• 8A.7.15 Continued application of Corporations legislation to deregistered Australian passport funds
• 8A.7.20 Continued application of Corporations legislation to funds that have been removed as notified foreign passport funds

CHAPTER 8B--Corporate collective investment vehicles

PART 8B.4----CORPORATE FINANCE AND FINANCIAL REPORTING FOR CCIVS

Division 1--Shares

• 8B.4.10 Cross investment between sub - funds of a CCIV--restriction for circular cross - investment
• 8B.4.15 Cross investment between sub - funds of a CCIV--requirements and restrictions on membership rights

Division 4--Financial reports and audit of CCIVs

• 8B.4.40 Keeping financial records for sub - funds--further requirement for cross - investment
• 8B.4.45 Annual financial reports for sub - funds--further requirement for cross - investment
• 8B.4.50 Combining financial reports, and directors' reports etc., for sub - funds of the same CCIV

PART 8B.5----OPERATING A CCIV

• 8B.5.10 Who may hold CCIV assets--minimum standards and other requirements
• 8B.5.15 Holding money and property of a CCIV on trust--exception
• 8B.5.20 Holding money and property of a CCIV separately--exception and other requirements for certain classes of assets

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

Division 4--Financial reports and audit of CCIVs

CHAPTER 9--Miscellaneous

PART 9.1----REGISTERS AND REGISTRATION OF DOCUMENTS

• 9.1.01 Prescribed registers
• 9.1.02 Prescribed information

PART 9.2----REGISTRATION OF AUDITORS

Division 2--Registration

• 9.2.01 Practical experience in auditing (Act s 1280(2))
• 9.2.02 Prescribed universities and institutions (Act ss 1280(2A))
• 9.2.03 Prescribed courses (Act s 1280(2A))

Division 2A--Conditions on registration

• 9.2.08 Kinds of conditions (Act s 1289A)

PART 9.2A----AUTHORISED AUDIT COMPANIES

Division 1--Registration

• 9.2A.01 Application for registration as authorised audit company (Act s 1299A)
• 9.2A.03 Annual statements by authorised audit company (Act s 1299G)

PART 9.4A----REGISTER AND INDEX

• 9.4A.01 Definitions for Part 9.4A
• 9.4A.02 Register and index must be kept up to date: subsection 1306(4A) of the Act

PART 9.4AB----INFRINGEMENT NOTICES

• 9.4AB.01 Prescribed offences (Act s 1317DAN)
• 9.4AB.02 Prescribed civil penalty provisions (Act s 1317DAN)

PART 9.5----DELEGATION OF POWERS AND FUNCTIONS UNDER THE ACT

• 9.5.01 Prescribed functions (Law s 1345A(1))

PART 9.7----UNCLAIMED PROPERTY

• 9.7.01 Entitlement to unclaimed property

PART 9.10----FEES IMPOSED BY THE CORPORATIONS (FEES) ACT 2001 AND THE CORPORATIONS (REVIEW FEES) ACT 2003

• 9.10.01 Penalty for failure to pay review fee on time--prescribed penalty (Act s 1364)

PART 9.12----MATTERS RELATING TO REGULATIONS

• 9.12.01 Exemptions from Chapter 7
• 9.12.02 Exemption from provisions of Chapter 7--CLS Bank
• 9.12.03 Partial exemption of foreign - based market licensees from certain notification obligations
• 9.12.03A Exemption from provisions of Chapter 7--compliance with ASIC exemptions
• 9.12.04 Exemption from provisions of Chapter 7--carbon unit auctions
• 9.12.05 Exemption from provisions of Chapter 7--gas trading exchange

CHAPTER 10--Repeals, transitional matters and application provisions

PART 10.2----TRANSITIONAL ARRANGEMENTS RELATING TO FINANCIAL SERVICES REFORM LEGISLATION

Division 1--Preliminary

• 10.2.01 Application of Part 10.2
• 10.2.02 Definitions
• 10.2.02A References to transition periods
• 10.2.02B References to the application of Division 2 of Part 7.9 of the Act

Division 1A--Treatment of proposed markets that have not started to operate by the FSR commencement

• 10.2.02C Proposed markets

Division 2--Transitional arrangements relating to business rules or listing rules

• 10.2.03 Amendment of business rules of securities exchange before FSR commencement
• 10.2.04 Amendment of SCH business rules before FSR commencement
• 10.2.05 Amendment of SEGC business rules before FSR commencement
• 10.2.06 Amendment of business rules of futures body before FSR commencement
Subdivision 2.2--Listing rules
• 10.2.07 Amendment of listing rules of securities exchange before FSR commencement

Division 3--Status of directions and notices

• 10.2.08 Direction to securities exchange to comply with ongoing requirements
• 10.2.09 Notice to securities exchange of need to prohibit trading
• 10.2.10 Notice to securities exchange prohibiting trading
• 10.2.11 Direction to futures exchange--orderly market

Division 4--Assistance to ASIC

• 10.2.12 Obligations of securities exchange: disciplinary action
• 10.2.13 Obligations of securities exchange: particulars of contravention
• 10.2.14 Obligations of securities exchange: information about listed disclosing entity
• 10.2.15 Obligations of securities clearing house: disciplinary action
• 10.2.16 Obligations of futures body: disciplinary action
• 10.2.17 Obligations of futures body: particulars of contravention
• 10.2.18 Obligations of clearing house for futures exchange: information about listed disclosing entity

Division 5--Special reports

• 10.2.19 Special report by securities exchange about compliance with ongoing requirements
• 10.2.20 Special report by securities exchange about compliance with ongoing requirements: ASIC requirements

Division 5A--Transactions by holder of financial services licence or a representative of the holder of such a licence

• 10.2.20A References to financial service licensee

Division 5B--Obligation to pay money into account

• 10.2.20B Financial products quoted on Australian Stock Exchange Limited

Division 6--Self-listing

• 10.2.21 Status of arrangements for self - listing
• 10.2.22 Status of exemption relating to self - listing

Division 7--Decisions about membership of futures exchange

• 10.2.23 Status of notice to applicant
• 10.2.24 Status of notice to ASIC

Division 8--National Guarantee Fund

• 10.2.25 Status of claim against the National Guarantee Fund
• 10.2.26 Entitlement to make claim against the National Guarantee Fund
• 10.2.27 Status of future claim against the National Guarantee Fund
• 10.2.27A Expenditure of excess funds from National Guarantee Fund

Division 9--Claims against fidelity funds

• 10.2.28 Status of claim against fidelity fund
• 10.2.29 Entitlement to make claim against fidelity fund
• 10.2.29A Status of incomplete claim against fidelity fund
• 10.2.30 Status of future claim against fidelity fund

Division 10--Status of netting markets

• 10.2.31 Netting markets
• 10.2.32 Netting market approval granted before the FSR commencement

Division 11--Status of listed securities

• 10.2.33 Securities of exempt stock markets

Division 12--Miscellaneous

• 10.2.34 Preservation of nomination of body corporate as SEGC

Division 13--Regulated principals

• 10.2.35 Definitions
• 10.2.35A Streamlined licensing procedure for certain regulated principals
• 10.2.36 Persons who are not covered by section 1433 of the Act
• 10.2.37 Variation of conditions on financial services licence
• 10.2.38 Persons taken to be regulated principals: giving of incidental advice and previously exempt persons
• 10.2.39 Reference to offer covered by Australian financial services licence: section 911A of the Act
• 10.2.40 Reference to financial services licensee: section 911A of the Act
• 10.2.40A Need for an Australian financial services licence
• 10.2.41 Reference to second principal: section 911B of the Act
• 10.2.42 Reference to financial services licensee: section 916D of the Act
• 10.2.43 Status of insurance agent: section 1436A of the Act
• 10.2.44A Obligation to cite licence number in documents
• 10.2.46 When Australian financial services licence may be granted
• 10.2.46A When Australian financial services licence may be varied
• 10.2.47A Modification of pre - FSR authority

Division 14--Financial services disclosure

• 10.2.48 Obligation to give Financial Services Guide for service arranged before application of Part 7.7 of the Act
• 10.2.48A Obligation to give a Financial Services Guide for a custodial and depository service
• 10.2.49 Obligation to give Financial Services Guide in relation to existing clients
• 10.2.50 Content of Financial Services Guide for an authorised representative that is a regulated principal or a representative of a regulated principal
• 10.2.50A Treatment of arrangements under which a person can instruct another person to acquire a financial product

Division 15--Other provisions relating to conduct etc

• 10.2.51 Sale offers that need disclosure
• 10.2.52 Offers that do not need disclosure: small scale offerings
• 10.2.52A Offers that do not need disclosure
• 10.2.53 Money other than loans: financial services licensee who formerly held dealer's licence
• 10.2.54 Money other than loans: financial services licensee who formerly held futures broker's licence
• 10.2.55 Money other than loans: financial services licensee who was formerly a registered insurance broker
• 10.2.56 Money other than loans: financial services licensee who ceases to be licensed
• 10.2.57 Loan money: financial services licensee who formerly held dealer's licence
• 10.2.58 Other property of clients: financial services licensee who formerly held dealer's licence
• 10.2.59 Other property of clients: financial services licensee who formerly held futures broker's licence
• 10.2.60 Special provisions relating to insurance: financial services licensee who was formerly a registered insurance broker
• 10.2.61 Obligation to report: financial services licensee who formerly held a futures broker's licence
• 10.2.62 Reporting in relation to dealings in derivatives: financial services licensee who formerly held a dealer's licence
• 10.2.63 Financial statements of financial services licensee: general
• 10.2.64 Financial statements of financial services licensees who were certain regulated principals
• 10.2.65 Auditors: certain financial services licensee who formerly held dealer's licence
• 10.2.66 Auditors: certain financial services licensees who held a futures broker's licence
• 10.2.67 Auditor's report in certain matters: financial services licensee who formerly held a dealer's licence
• 10.2.68 Auditor's report on certain matters: financial services licensee who formerly held a futures broker's licence
• 10.2.69 Auditor's report on certain matters: financial services licensee who was formerly a registered insurance broker
• 10.2.70 Priority to clients' orders: financial services licensee who held a dealers licence
• 10.2.71 Sequencing of instructions to deal through licensed markets: financial services licensee who formerly held a futures brokers licence
• 10.2.72 Records relating to instructions to deal through licensed markets: financial services licensee who held a futures brokers licence
• 10.2.73 Dealing with non - licensees: financial services licensee who held a dealers licence
• 10.2.73A Advertising for financial products
• 10.2.73B Freezing accounts

Division 16--Product disclosure provisions for existing products during transition period

• 10.2.74 Financial products in the same class
• 10.2.75 References to financial services licensee
• 10.2.76 References to retail client
• 10.2.77 References to issue of product
• 10.2.78 References to Product Disclosure Statement: offer previously accepted
• 10.2.79 References to Product Disclosure Statement: managed investment products
• 10.2.80 Lodgment of Product Disclosure Statement after lodgment of notice
• 10.2.81 Ongoing disclosure
• 10.2.82 Money received for financial product before the product is issued: general
• 10.2.83 Money received for financial product before the product is issued: requirement before application of subsection 37(2) of Insurance (Agents and Brokers) Act 1984
• 10.2.84 Confirmation of transactions
• 10.2.85 Dispute resolution requirements: financial products
• 10.2.86 Dispute resolution requirements: regulated principals
• 10.2.87A Meaning of financial product advice : exempt document or statement

Division 17--Arrangements relating to enforcement of matters by ASIC

• 10.2.88 Definition
• 10.2.89 Financial services law
• 10.2.90 ASIC may have regard to prior conduct and events
• 10.2.91 Power to act in relation to relevant old legislation

Division 18--Specific kinds of documents in existence before FSR commencement

• 10.2.92 Banning orders made before FSR commencement
• 10.2.93 Banning orders made under relevant old legislation after FSR commencement
• 10.2.94 Banning orders made under the Act after FSR commencement
• 10.2.94A Prohibitions under paragraphs 827(1)(d) and 1192(1)(d) of the old Corporations Act made before FSR commencement
• 10.2.94B Prohibitions under paragraphs 827(1)(d) and 1192(1)(d) of the old Corporations Act made after FSR commencement
• 10.2.95 Undertakings
• 10.2.96 Registers in existence before FSR commencement
• 10.2.97 Registers created after FSR commencement
• 10.2.98 Registers, documents and things kept before FSR commencement
• 10.2.98A Licenses, registration, etc in force before FSR commencement

Division 19--Extension of limitation periods

• 10.2.99 Application of items 111 and 121 of the Financial Services Reform (Consequential Provisions) Act 2001 to amendments of the Australian Securities and Investments Commission Act 2001

Division 20--Rules for dealing with liability during transition period

• 10.2.100 Application of Division 20
• 10.2.101 Definitions for Division 20
• 10.2.102 Liability of responsible person: general rules
10.2.103. Conduct by a person who operates as representative and principal
• 10.2.104 Operation of regulations 10.2.102 and 10.2.103

Division 21--Title and transfer

• 10.2.105 Loss or destruction of certificates
• 10.2.106 Instrument of transfer
• 10.2.107 Trustee etc may be registered as owner of shares
• 10.2.108 Registration of transfer at request of transferor
• 10.2.109 Notice of refusal to register transfer
• 10.2.110 Duties of company with respect to issue of certificates: allotment of shares or debentures or making interests available
• 10.2.111 Duties of company with respect to issue of certificates: transfer of shares, debentures or interests
• 10.2.112 Notices relating to non - beneficial and beneficial ownership of shares
• 10.2.113 What is a sufficient transfer of marketable securities or marketable rights: general
• 10.2.114 Sufficient transfer by authorised trustee corporation
• 10.2.115 Determination of who holds quoted securities for the purposes of a meeting: determination made before FSR commencement

Division 22--Transitional matters under relevant old legislation: Financial Transaction Reports Act 1988

• 10.2.116 Cash dealer
• 10.2.117 Exempt cash transaction

Division 23--Transitional matters under relevant old legislation: Income Tax Assessment Act 1936

• 10.2.118 Offshore banking units

Division 24--Transitional matters under relevant old legislation: Insurance Act 1973

• 10.2.119 Insurers carrying on class of insurance business

Division 24A--Transitional matters under relevant old legislation: Insurance (Agents and Brokers) Act 1984

• 10.2.119A Debts of broker in relation to premiums etc
• 10.2.119B Disqualifications made before FSR commencement
• 10.2.119C Disqualifications made after FSR commencement

Division 25--Transitional matters under relevant old legislation: Marine Insurance Act 1909

• 10.2.120 Marine policy effected through broker

Division 25A--Transitional matters under relevant old legislation: Retirement Savings Accounts Regulations 1997

• 10.2.120A Continuation of RSA Regulations during transition period

Division 25B--Transitional matters under relevant old legislation: Superannuation Industry (Supervision) Regulations 1994

• 10.2.120B Continuation of SIS Regulations during transition period

Division 27--Transitional matters under the Act (other than Chapter 7)

• 10.2.122 Solvency and insolvency
• 10.2.123 Managed investment products held by 100 or more persons
• 10.2.124 When a managed investment scheme must be registered
• 10.2.125 Responsible entity to be a public company and hold an Australian financial services licence
• 10.2.126 Duties of officers of responsible entity
• 10.2.127 Voidable contracts
• 10.2.128 Situations not giving rise to relevant interests
• 10.2.129 Bidder's statement content
• 10.2.130 Continuous disclosure: other disclosing entities
• 10.2.131 Sale offers that need disclosure: securities issued before FSR commencement
• 10.2.132 Offers that do not need disclosure: offer to sophisticated investor through licensed dealer
• 10.2.133 Prospectus content: general disclosure test
• 10.2.134 Prospectus content--specific disclosures
• 10.2.135 Registers

Division 27A--Transitional matters under other legislation

• 10.2.135A References to authorised foreign exchange dealers

Division 28--Retail clients and wholesale clients

• 10.2.136 Securities before the FSR commencement
• 10.2.137 Incomplete financial services
• 10.2.138 Professional investors

Division 29--Effect on definitions in old Corporations Act of transition to licensed markets and licensed CS facilities

• 10.2.139 Approved foreign bank
• 10.2.140 Eligible exchange - traded options
• 10.2.141 Futures law
• 10.2.142 Member organisation
• 10.2.143 Non - broker
• 10.2.144 Non - dealer
• 10.2.145 Securities law
• 10.2.146 Marketable parcel

Division 30--Effect on certain conduct of transition to licensed markets and licensed CS facilities

• 10.2.147 Own account dealings and transactions: futures contracts
• 10.2.148 Conditions of dealers licence
• 10.2.149 Persons who are not clients
• 10.2.150 Dealings and transactions on a dealer's own account
• 10.2.151 Dealer to give priority to clients' orders
• 10.2.152 Dealers' financial records
• 10.2.153 Auditor to report to ASIC on certain matters
• 10.2.154 Qualified privilege for auditor
• 10.2.155 Court may freeze certain bank accounts of dealers and former dealers
• 10.2.156 Interpretation--registers
• 10.2.157 Conditions of futures broker's licence: membership of futures organisation
• 10.2.158 Futures organisation to be informed about conditions of futures brokers licence
• 10.2.159 Licensee to notify breach of licence condition
• 10.2.160 Register of Futures Licensees
• 10.2.161 Excluded clients
• 10.2.162 Segregation of client money and property
• 10.2.163 Accounts to be kept by futures brokers
• 10.2.164 Property in custody of futures broker
• 10.2.165 Auditor to report to ASIC in certain cases
• 10.2.166 Defamation
• 10.2.167 Power of Court to restrain dealings with futures broker's bank accounts
• 10.2.168 Power of Court to restrain dealings with futures broker's bank accounts
• 10.2.169 Sequence of transmission and execution of orders
• 10.2.170 Dealings by employees of futures brokers and futures advisers

Division 31--Effect on fundraising of transition to licensed markets and licensed CS facilities

• 10.2.171 Sale offers that need disclosure
• 10.2.172 Prospectus content--specific disclosures
• 10.2.173 Issuing or transferring the securities under a disclosure document
• 10.2.174 Choices open to person making an offer if disclosure document condition not met or disclosure document defective
• 10.2.175 Restrictions on advertising and publicity

Division 32--Effect on product disclosure of transition to licensed markets and licensed CS facilities

• 10.2.176 Offers that do not need disclosure
• 10.2.177 Prospectus content--general disclosure test
• 10.2.178 Prospectus content--specific disclosures
• 10.2.179 Futures broker to give certain information to prospective client

Division 33--Effect on Corporations Regulations 2001 of transition of financial service providers and transition to licensed markets and licensed CS facilities

• 10.2.180 Licence conditions--investment advice to retail investors
• 10.2.181 Exemption from licensing--certain dealings
• 10.2.182 Exemption from licensing--managed investment schemes
• 10.2.183 Exempt dealer
• 10.2.184 Exempt securities and interests
• 10.2.185 Transactions in prescribed circumstances
• 10.2.186 Exempted transaction
• 10.2.187 Charging brokerage on principal transactions
• 10.2.188 Exemption from subsection 844(2) of old Corporations Act
• 10.2.189 Exemption: Part 8.3 of old Corporations Act--certain futures contracts
• 10.2.190 Exemption of certain transactions from subsection 1206(1) of old Corporations Act
• 10.2.191 Exemption of certain transactions from subsection 1207(1) of the old Corporations Act
• 10.2.192 Which futures broker to comply with subsection 1207(1) of old Corporations Act in relation to certain transactions
• 10.2.193 Exemption of certain transactions from paragraphs 1207(1)(g) and (h) of old Corporations Act

Division 34--Effect on certain instruments of transition of financial service providers and transition to licensed markets and licensed CS facilities

• 10.2.194 References to certain matters

Division 35--Streamlined licensing

• 10.2.195 Suspension or cancellation of streamlined licence

Division 36--Insurance multi-agents

• 10.2.196 Application by holder of qualified licence

Division 37--Hawking of managed investment products

• 10.2.197 Hawking interest in managed investment scheme
• 10.2.198 Hawking financial product--other arrangements

Division 38--Security bonds issued before FSR commencement

• 10.2.199 Security bonds

Division 39--Disclosure documents

• 10.2.200 Disclosure documents--cooling - off period

Division 41--Requirements if Product Disclosure Statement is not in existence

• 10.2.202 Documents equivalent to Product Disclosure Statement

Division 42--Dealing with money received for financial product before the product is issued

• 10.2.203 Payment of money into account

Division 43--Arrangements related to deposits with stock exchanges

• 10.2.204 Withdrawals from trust account

Division 44--Superannuation to which arrangements apply under the Family Law Act 1975

• 10.2.205 Application of amendments

Division 45--Arrangements relating to certain reporting periods

• 10.2.206 Fund information for retail clients for financial products that have an investment component: superannuation
• 10.2.207 Periodic statements for retail clients for financial products that have an investment component

Division 46--Arrangements relating to passbook accounts

• 10.2.208 Periodic statements
• 10.2.209 Confirmation of transactions

Division 47--Agreements with unlicensed persons relating to the provision of financial services

• 10.2.210 Agreements

Division 48--Arrangements for Lloyd's

• 10.2.211 Lloyd's

Division 49--Hawking of certain financial products

• 10.2.212 Hawking of managed investment products

Division 50--Warrants or options to acquire issued securities

• 10.2.213 Warrants or options to acquire issued securities

Division 52--Winding up of fidelity funds if market ceases to operate

• 10.2.215 Winding up of fidelity funds if market ceases to operate

PART 10.5----TRANSITIONAL PROVISIONS RELATING TO THE CORPORATE LAW ECONOMIC REFORM PROGRAM (AUDIT REFORM AND CORPORATE DISCLOSURE) ACT 2004

• 10.5.01 Adoption of auditing standards made by accounting profession before commencement (Act ss 1455(1) and (3))

PART 10.15----TRANSITIONAL PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (FINANCIAL MARKET SUPERVISION) ACT 2010

• 10.15.01 Application of Part 10.15
• 10.15.02 Amendments not to apply to certain operators of licensed markets
• 10.15.03 Transfer of documents
• 10.15.04 Notifications, consents, waivers, etc
• 10.15.05 Notification given by participant to operator of licensed market
• 10.15.06 Registers

PART 10.18----TRANSITIONAL PROVISIONS RELATING TO CORPORATIONS AMENDMENT (FURTHER FUTURE OF FINANCIAL ADVICE MEASURES) ACT 2012

PART 10.19----TRANSITIONAL MATTERS RELATING TO MYSUPER MEASURES

• 10.19.01 Changes to product disclosure statements and periodic statements

PART 10.21----APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (CENTRAL CLEARING AND SINGLE-SIDED REPORTING) REGULATION 2015

• 10.21.01 First application of 7.5A.73--existing phase 3 reporting entities

PART 10.22----APPLICATION PROVISIONS RELATED TO THE CORPORATIONS AMENDMENT (FINANCIAL SERVICES INFORMATION LODGEMENT PERIODS) REGULATION 2015

• 10.22.01 Application of amendment of paragraph 7.6.04(1)(c)
• 10.22.02 Application of modification of subsections 916F(1) and (3)

PART 10.23----APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (REMUNERATION DISCLOSURES) REGULATION 2016

• 10.23.01 Application--remuneration disclosures

PART 10.24----APPLICATION PROVISIONS RELATING TO THE FINANCIAL SERVICES LEGISLATION AMENDMENT (WHOLESALE MARGINING) REGULATION 2016

• 10.24.01 Application of regulations 7.8.01A and 7.8.06B

PART 10.25----TRANSITION TO PART 3 OF THE INSOLVENCY PRACTICE SCHEDULE (CORPORATIONS)

• 10.25.01 Transition to Part 3 of the Insolvency Practice Schedule (Corporations)
• 10.25.02 Application of certain amendments relating to the enactment of the Insolvency Practice Schedule (Corporations)

PART 10.25----APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (FAIR AND SUSTAINABLE SUPERANNUATION) REGULATIONS 2017

• 10.25.01 Application of amendment of subregulation 7.9.04(1)

PART 10.26----APPLICATION PROVISIONS RELATED TO THE CORPORATIONS AMENDMENT (CLIENT MONEY) REGULATIONS 2017

• 10.26.01 Application of regulation 7.8.02A

PART 10.27----TRANSITIONAL PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (PUTTING CONSUMERS FIRST--ESTABLISHMENT OF THE AUSTRALIAN FINANCIAL COMPLAINTS AUTHORITY) REGULATIONS 2018

• 10.27.01 Membership of the AFCA scheme
• 10.27.02 Membership of existing external dispute resolution schemes
• 10.27.03 Written reasons for internal review decisions
• 10.27.04 Disclosing information about the AFCA scheme

PART 10.28----APPLICATION PROVISIONS RELATED TO THE CORPORATIONS AMENDMENT (CLIENT MONEY REPORTING RULES ENFORCEMENT POWERS) REGULATIONS 2018

• 10.28.01 Application--client money reporting rules enforcement powers

PART 10.29----APPLICATION AND TRANSITIONAL PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (PROTECTING YOUR SUPERANNUATION PACKAGE) REGULATIONS 2019

• 10.29.01 Definitions
• 10.29.02 Transitional provisions relating to regulation 7.9.44B
• 10.29.03 Application of amendments relating to product disclosure statements
• 10.29.04 Application of amendments relating to periodic statements

PART 10.30----APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (PROPRIETARY COMPANY THRESHOLDS) REGULATIONS 2019

• 10.30.01 Application of amendments--changes to proprietary company thresholds

PART 10.31----APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (STRENGTHENING CORPORATE AND FINANCIAL SECTOR PENALTIES) REGULATIONS 2019

• 10.31.01 Application--offences

PART 10.32----APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (AFCA COOPERATION) REGULATIONS 2019

• 10.32.01 Application--obligation to cooperate with AFCA

PART 10.33----APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (ENDING GRANDFATHERED CONFLICTED REMUNERATION) REGULATIONS 2019

• 10.33.01 Application of end of grandfathering arrangements
• 10.33.02 Application of record keeping requirements for rebate scheme

PART 10.34----APPLICATION PROVISIONS RELATED TO THE CORPORATIONS AMENDMENT (NATIONAL GUARANTEE FUND PAYMENTS) REGULATIONS 2019

• 10.34.01 Application--claims for compensation payable out of the NGF

PART 10.35----APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (PORTFOLIO HOLDINGS DISCLOSURE) REGULATIONS 2021

• 10.35.01 Application of amendments relating to portfolio holdings disclosure

PART 10.37----APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (FINANCIAL SERVICES IMPROVED CONSUMER PROTECTION) (FUNERAL EXPENSES FACILITIES) REGULATIONS 2019

• 10.37.01 Application of amendment relating to funeral expenses policies

PART 10.38----APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (LITIGATION FUNDING) REGULATIONS 2020

• 10.38.01 Application of amendments relating to litigation funding

PART 10.39----APPLICATION PROVISIONS FOR THE FINANCIAL SECTOR REFORM (HAYNE ROYAL COMMISSION RESPONSE) (HAWKING OF FINANCIAL PRODUCTS) REGULATIONS 2021

• 10.39.01 Right of return and refund for hawked financial products

PART 10.40----APPLICATION PROVISIONS RELATING TO THE FINANCIAL SECTOR REFORM (HAYNE ROYAL COMMISSION RESPONSE) (REGULATION OF SUPERANNUATION) REGULATIONS 2020

• 10.40.01 Definitions
• 10.40.02 Transitional provision relating to non - public offer funds

PART 10.41----APPLICATION PROVISIONS RELATING TO THEFINANCIAL SECTOR REFORM (HAYNE ROYAL COMMISSION RESPONSE--BREACH REPORTING AND REMEDIATION) REGULATIONS 2021

• 10.41.01 Provisions relating to continued application of section 912D of the Act

PART 10.42----APPLICATION PROVISIONS RELATING TO THE FINANCIAL SECTOR REFORM (HAYNE ROYAL COMMISSION RESPONSE) (2021 MEASURES NO. 1) REGULATIONS 2021

• 10.42.01 Application of claims handling and settling services reforms

PART 10.43----APPLICATION PROVISIONS RELATING TO SIMPLIFIED LIQUIDATION PROCESS UNDER THE CORPORATIONS AMENDMENT (CORPORATE INSOLVENCY REFORMS) REGULATIONS 2020

• 10.43.01 Application of amendments relating to the simplified liquidation process

PART 10.45----APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (STATUTORY MINIMUM) REGULATIONS 2021

• 10.45.01 Application of amendment of paragraph 5.4.01AAA(1)(b)

PART 10.47----APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (LITIGATION FUNDING) REGULATIONS 2021

• 10.47.01 Application of amendments relating to licence conditions in relation to a litigation funding scheme mentioned in subregulation 7.1.04N(3)

PART 10.48----APPLICATION PROVISIONS RELATING TO THE CORPORATIONS AMENDMENT (LITIGATION FUNDING) REGULATIONS 2022

• 10.48.01 Application of amendments relating to litigation funding

PART 10.49----APPLICATION PROVISIONS RELATING TO SCHEDULE 1 TO THE TREASURY LAWS AMENDMENT (MODERNISING BUSINESS COMMUNICATIONS AND OTHER MEASURES) REGULATIONS 2022

• 10.49.01 Application of amendment to Form 509H (creditor's statutory demand for payment of debt)

PART 10.50----APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (FINANCIAL REPORTING AND AUDITING OF REGISTRABLE SUPERANNUATION ENTITIES) REGULATIONS 2023

• 10.50.01 Application of amendments relating to financial reporting and auditing of registrable superannuation entities

PART 10.51----APPLICATION PROVISIONS RELATING TO THE TREASURY LAWS AMENDMENT (PRECONTRACTUAL DISCLOSURE AND OTHER MEASURES) REGULATIONS 2023

• 10.51.01 Application--decisions approving or refusing to approve domestic qualifications

CHAPTER 12--Financial sector reform

PART 12.1----PRELIMINARY

• 12.1.01 Definitions for Chapter 12
• 12.1.02 Application of this Chapter to previous governing Codes etc
• 12.1.03 Interpretation of applied provisions

PART 12.2----TRANSITIONAL MATTERS--GENERAL

Division 2--Other matters

• 12.2.08 Lodgment of certain documents with ASIC
• 12.2.10 Certain appointments of auditors continue
• 12.2.12 Converted shares

PART 12.4----NOTICE OF MEETINGS OF CERTAIN BODIES CORPORATE

• 12.4.01 Application of Part
• 12.4.02 Modification of certain provisions of Act
• 12.4.03 Members etc may elect to be notified of meetings
• 12.4.04 Notice of meetings to be published
• 12.4.05 Copies of notices to be displayed
• 12.4.06 Members may request notice of meetings at any time
• 12.4.07 Records to be kept about notices

PART 12.5----DETERMINATIONS AND DECLARATIONS IN RELATION TO CERTAIN INSTRUMENTS

• 12.5.01 Definition for Part 12.5
• 12.5.02 Application, variation, revocation and modification
• 12.5.03 Effect of determinations and declarations
• 12.5.04 Publication of determinations and declarations
• 12.5.05 When determinations and declarations take effect
• 12.5.06 Inspection and purchase of copies of instruments

PART 12.6----FINANCIAL REPORTING BY CERTAIN BODIES CORPORATE

• 12.6.01 Application of Part
• 12.06.01A Annual financial reporting
• 12.6.02 Modification of certain provisions of Act
• 12.6.03 Members etc may elect to receive reports
• 12.6.04 Copies of reports to be available to members
• 12.6.05 Records to be kept about notices

PART 12.7----OTHER DISCLOSURE

Division 1--Preliminary

• 12.7.01 Definitions for Part 12.7
• 12.7.02 Declarations by ASIC

Division 2--Continued application of certain provisions

• 12.7.03 Continuation of certain provisions of previous governing Codes
• 12.7.04 Continuation of ASIC transitional standards
• 12.7.05 Exemption from, and modification of, certain provisions
• 12.7.06 Certain provisions of the Friendly Societies Code cease to apply to FSR licensee

PART 12.8----SHARES IN CERTAIN BODIES CORPORATE

Division 1--Preliminary

• 12.8.02 Application of Part 12.8
• 12.8.03 Meaning of member share
• 12.8.04 Declarations by ASIC

Division 2--Member shares

• 12.8.05 Notice requirements
• 12.8.06 Registers of members
• 12.8.06A Member shares--liability to pay calls
• 12.8.07 Disclosure in annual returns
• 12.8.08 Member shares--numbering and certificates
• 12.8.09 Member shares--unclaimed property

Division 3--Certain shares in transferring building societies and credit unions

• 12.8.10 Definitions for Division 3
• 12.8.11 Transferring building societies may issue shares equivalent to membership shares
• 12.8.12 Transferring credit unions may issue shares equivalent to withdrawable shares

PART 12.9----WINDING UP AND DEREGISTRATION OF CERTAIN TRANSFERRING FINANCIAL INSTITUTIONS

• 12.9.01 Application of Part 12.9
• 12.9.02 Winding up
• 12.9.03 Deregistration
• SCHEDULE 1 List of forms in Schedule 2
• SCHEDULE 2 Forms
• SCHEDULE 2A Forms of transfer of Division 3 securities
• SCHEDULE 3 Specified offices
• SCHEDULE 4 Prescribed amounts
• SCHEDULE 5C Conduct of auditor--relevant relationships
• SCHEDULE 6 Availability of names
• SCHEDULE 7 Exemptions from requirements to set out certain corporate particulars
• SCHEDULE 7A Content of annual transparency report
• SCHEDULE 8 Schemes of arrangement under Part 5.1 of the Act
• SCHEDULE 8A Deed of company arrangement--prescribed provisions
• SCHEDULE 8AA Trustee companies
• SCHEDULE 8AB Prescribed State and Territory provisions for paragraph 601RAE(4)(a) of the Act
• SCHEDULE 8AC Prescribed State and Territory laws and provisions for paragraph 601RAE(4)(b) of the Act--estate administration
• SCHEDULE 8AD Prescribed State and Territory laws and provisions for paragraph 601RAE(4)(b) of the Act
• SCHEDULE 8AE Relevant State and Territory provisions
• SCHEDULE 8C Modifications of Part 7.5 of the Act--compensation regimes
• SCHEDULE 8D Tables for reporting portfolio holding information
• SCHEDULE 9 Companies authorised to effect transfers under Part 7.11 of the Act
• SCHEDULE 10 Disclosure of fees and other costs
• SCHEDULE 10A Modifications of Part 7.9 of the Act
• SCHEDULE 10AA Modifications of the Act in relation to their application in respect of a recognised offer or a proposed offer of securities that may become a recognised offer
• SCHEDULE 10BA Modifications of the Act relating to Short-Form Product Disclosure Statements
• SCHEDULE 10C Form and content of Product Disclosure Statement--standard margin lending facility
• SCHEDULE 10D Form and content of Product Disclosure Statement--superannuation product to which Subdivision 4.2B of Division 4 of Part 7.9 applies
• SCHEDULE 10E Form and content of Product Disclosure Statement--simple managed investment scheme
• SCHEDULE 10F Form and content of Product Disclosure Statement--simple sub-fund products
• SCHEDULE 11 Persons who are not covered by section 1433 of the Act
• SCHEDULE 12 ASIC transitional standards
• SCHEDULE 13 Transition to Part 3 of the Insolvency Practice Schedule (Corporations)