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Corporations Act 2001
- CHAPTER 1 - INTRODUCTORY
- PART 1.1 - PRELIMINARY
- SECTION 1 SHORT TITLE
- SECTION 2 COMMENCEMENT
- SECTION 3 CONSTITUTIONAL BASIS FOR THIS ACT
- SECTION 4 REFERRING STATES
- SECTION 5 GENERAL TERRITORIAL APPLICATION OF ACT
- SECTION 5A APPLICATION TO THE CROWN
- SECTION 5B ASIC HAS GENERAL ADMINISTRATION OF THIS ACT
- SECTION 5C APPLICATION OF THE ACTS INTERPRETATION ACT 1901
- PART 1.1A - INTERACTION BETWEEN CORPORATIONS LEGISLATION AND STATE AND TERRITORY LAWS
- SECTION 5D COVERAGE OF PART
- SECTION 5E CONCURRENT OPERATION INTENDED
- SECTION 5F CORPORATIONS LEGISLATION DOES NOT APPLY TO MATTERS DECLARED BY STATE OR TERRITORY LAW TO BE AN EXCLUDED MATTER
- SECTION 5G AVOIDING DIRECT INCONSISTENCY ARISING BETWEEN THE CORPORATIONS LEGISLATION AND STATE AND TERRITORY LAWS
- SECTION 5H REGISTRATION OF BODY AS COMPANY ON BASIS OF STATE OR TERRITORY LAW
- SECTION 5I REGULATIONS MAY MODIFY OPERATION OF THE CORPORATIONS LEGISLATION TO DEAL WITH INTERACTION BETWEEN THAT LEGISLATION AND STATE AND TERRITORY LAWS
- PART 1.2 - INTERPRETATION
- Division 1 - General
- SECTION 5J SIMPLIFIED OUTLINE OF THIS PART
- SECTION 6 EFFECT OF THIS PART
- SECTION 7 IDENTIFYING DEFINED TERMS
- SECTION 9 DICTIONARY
- SECTION 9AA CERTAIN FAMILY RELATIONSHIPS
- SECTION 9AB MEANING OF ASSET
- SECTION 9AC MEANING OF DIRECTOR
- SECTION 9AD MEANING OF OFFICER
- SECTION 9A MEANING OF RIGHTS ISSUE
- SECTION 9B MEANING OF REMUNERATION RECOMMENDATION
- SECTION 9C MEANING OF REGISTRAR
- SECTION 9D MEANING OF DECLARED FINANCIAL MARKET
- Division 2 - Meaning of associate
- SECTION 10 EFFECT OF DIVISION
- SECTION 11 ASSOCIATES OF BODIES CORPORATE
- SECTION 12 REFERENCES IN CHAPTERS 6 TO 6C, AND OTHER REFERENCES RELATING TO VOTING POWER AND TAKEOVERS ETC.
- SECTION 13 REFERENCES IN CHAPTER 7
- SECTION 14 REFERENCES IN CHAPTER 8
- SECTION 15 GENERAL
- SECTION 16 EXCLUSIONS
- SECTION 17 ASSOCIATES OF COMPOSITE PERSON THAT CARRIES ON A FINANCIAL SERVICES BUSINESS
- Division 3 - Carrying on business
- SECTION 18 CARRYING ON BUSINESS: OTHERWISE THAN FOR PROFIT
- SECTION 19 BUSINESSES OF A PARTICULAR KIND
- SECTION 20 CARRYING ON A BUSINESS: ALONE OR TOGETHER WITH OTHERS
- SECTION 21 CARRYING ON BUSINESS IN AUSTRALIA OR A STATE OR TERRITORY
- Division 4 - Dealing in futures contracts [ CCH Note : The next section is s 45A.]
- Division 5A - Types of company
- SECTION 45A MEANING OF PROPRIETARY COMPANY, SMALL PROPRIETARY COMPANY AND LARGE PROPRIETARY COMPANY
- SECTION 45B MEANING OF SMALL COMPANY LIMITED BY GUARANTEE
- Division 6 - Subsidiaries and related bodies corporate
- SECTION 46 MEANING OF SUBSIDIARY - GENERAL
- SECTION 47 CONTROL OF A BODY CORPORATE'S BOARD
- SECTION 48 MATTERS TO BE DISREGARDED
- SECTION 49 REFERENCES IN THIS DIVISION TO A SUBSIDIARY
- SECTION 50 MEANING OF RELATED BODY CORPORATE
- SECTION 50AAA MEANING OF ASSOCIATED ENTITY
- SECTION 50AA MEANING OF CONTROL
- Division 7 - Meaning of some other expressions
- SECTION 51 MEANING OF PPSA SECURITY INTEREST
- SECTION 51A MEANING OF SECURITY INTEREST
- SECTION 51B MEANING OF SECURED PARTY
- SECTION 51C MEANING OF CIRCULATING SECURITY INTEREST
- SECTION 51D MEANING OF POSSESSORY SECURITY INTEREST
- SECTION 51E MEANING OF SECURED CREDITOR
- SECTION 51F MEANING OF PPSA RETENTION OF TITLE PROPERTY
- SECTION 51M MEANING OF MUTUAL ENTITY
- SECTION 52A SIGNING
- SECTION 53 MEANING OF AFFAIRS - BODY CORPORATE OTHER THAN A CCIV
- SECTION 53AAA MEANING OF AFFAIRS - CCIV
- SECTION 53AA MEANING OF BUSINESS AFFAIRS - BODY CORPORATE
- SECTION 53AB MEANING OF BUSINESS AFFAIRS - NATURAL PERSON
- SECTION 53AC MEANING OF BUSINESS AFFAIRS - PARTNERSHIP
- SECTION 53AD MEANING OF BUSINESS AFFAIRS - TRUST
- SECTION 54 CHAPTER 8 AGREEMENTS OF THE SAME KIND
- SECTION 55 CHAPTER 8 OBLIGATIONS AND RIGHTS
- SECTION 56 CLASSES OF FUTURES ORGANISATION MEMBERSHIP
- SECTION 57 CLASSES OF SHARES OR INTERESTS IN MANAGED INVESTMENT SCHEMES
- SECTION 57A MEANING OF CORPORATION
- SECTION 58AA MEANING OF court AND Court
- SECTION 58B DISCHARGE OF OBLIGATIONS UNDER THIS ACT
- SECTION 59 DEBENTURES AS CONSIDERATION FOR ACQUISITION OF SHARES
- SECTION 60 DECLARATION OF RELEVANT RELATIONSHIPS
- SECTION 61 DISCRETIONARY ACCOUNTS
- SECTION 64 ENTERING INTO A TRANSACTION IN RELATION TO SHARES OR SECURITIES
- SECTION 64A MEANING OF ENTITY
- SECTION 64B ENTITIES CONNECTED WITH A CORPORATION
- SECTION 65 ELIGIBLE MONEY MARKET DEALER
- SECTION 66A MEANING OF EXEMPT BODY CORPORATE
- SECTION 67 EXEMPT BROKERS AND EXEMPT FUTURES ADVISERS
- SECTION 68 EXEMPT DEALERS AND EXEMPT INVESTMENT ADVISERS
- SECTION 70 EXTENSION OF PERIOD FOR DOING AN ACT
- SECTION 71 FUTURES ADVICE BUSINESS
- SECTION 72 FUTURES CONTRACT
- SECTION 72A ACT APPLIES TO CERTAIN CHAPTER 8 AGREEMENTS AS IF THEY WERE FUTURES CONTRACTS
- SECTION 73 FUTURES REPRESENTATIVES
- SECTION 73A WHEN A COURT IS TAKEN TO FIND A PERSON GUILTY OF AN OFFENCE
- SECTION 75 INCLUSION IN OFFICIAL LIST
- SECTION 77 INVESTMENT ADVICE BUSINESS
- SECTION 79 INVOLVEMENT IN CONTRAVENTIONS
- SECTION 80 JERVIS BAY TERRITORY TAKEN TO BE PART OF THE AUSTRALIAN CAPITAL TERRITORY
- SECTION 82 OFFERS AND INVITATIONS TO THE PUBLIC
- SECTION 82A OFFICERS OF BODIES CORPORATE AND OTHER ENTITIES
- SECTION 83 OFFICERS, AND OTHER PERSONS, IN DEFAULT
- SECTION 84 OWN ACCOUNT DEALINGS AND TRANSACTIONS: SECURITIES
- SECTION 86 POSSESSION
- SECTION 87 PROPER AUTHORITY FROM FUTURES LICENSEE; INVALID FUTURES AUTHORITY
- SECTION 88 PROPER AUTHORITY FROM SECURITIES LICENSEE; INVALID SECURITIES AUTHORITY
- SECTION 88A MEANING OF PUBLIC DOCUMENT
- SECTION 88B MEANING OF QUALIFIED ACCOUNTANT
- SECTION 89 MEANING OF QUALIFIED PRIVILEGE
- SECTION 90 RECEIVERS AND MANAGERS
- SECTION 91 MEANING OF RELATION-BACK DAY
- SECTION 92 MEANING OF SECURITIES
- SECTION 92A ACT APPLIES TO CERTAIN RELEVANT AGREEMENTS AS IF THEY WERE SECURITIES
- SECTION 93 SECURITIES BUSINESS
- SECTION 94 SECURITIES REPRESENTATIVES
- SECTION 95A MEANING OF SOLVENT AND INSOLVENT
- SECTION 97 STOCK MARKET NOT TO INCLUDE FUTURES MARKET
- Division 8 - Miscellaneous interpretation rules
- SECTION 100 ADDRESS OF REGISTERED OFFICE ETC.
- SECTION 100A OPERATION OF CERTAIN LAWS RELATING TO INSTRUMENTS ON WHICH STAMP DUTY HAS NOT BEEN PAID
- SECTION 101 AMOUNT OF STOCK REPRESENTING A NUMBER OF SHARES
- SECTION 102 APPLICATIONS TO BE IN WRITING
- SECTION 102B MEANING OF IN THIS JURISDICTION OR ELSEWHERE AND OUTSIDE THIS JURISDICTION
- SECTION 102C MEANING OF IN AUSTRALIA
- SECTION 103 EFFECT OF CERTAIN CONTRAVENTIONS OF THIS ACT
- SECTION 104 EFFECT OF PROVISIONS EMPOWERING A PERSON TO REQUIRE OR PROHIBIT CONDUCT
- SECTION 105 CALCULATION OF TIME
- SECTION 105A WHEN IS AN ELECTRONIC COMMUNICATION SENT AND RECEIVED
- SECTION 105B PLACE WHERE AN ELECTRONIC COMMUNICATION IS SENT OR RECEIVED
- SECTION 106 PERFORMANCE OF FUNCTIONS BY COMMISSION DELEGATE
- SECTION 107 NOTICE IN RELATION TO TOP 20 MEMBERS OF A CLASS
- SECTION 108 PARTS OF DOLLAR TO BE DISREGARDED IN DETERMINING MAJORITY IN VALUE OF CREDITORS ETC.
- SECTION 109 REFERENCES TO PERSONS, THINGS AND MATTERS
- SECTION 109X SERVICE OF DOCUMENTS
- PART 1.2AA - SIGNING AND SENDING DOCUMENTS
- Division 1 - Technology neutral signing
- SECTION 110 WHEN THIS DIVISION APPLIES
- SECTION 110A TECHNOLOGY NEUTRAL SIGNING
- SECTION 110B LODGEMENT OF DOCUMENTS
- Division 2 - Technology neutral sending of documents, and related matters
- SECTION 110C DOCUMENTS TO WHICH THIS DIVISION APPLIES
- SECTION 110D TECHNOLOGY NEUTRAL SENDING OF DOCUMENTS
- SECTION 110E ELECTION TO BE SENT DOCUMENTS IN PHYSICAL FORM OR ELECTRONIC FORM, OR NOT TO BE SENT DOCUMENTS
- SECTION 110F FAILURE TO COMPLY WITH MEMBER ' S ELECTION TO BE SENT DOCUMENT IN PARTICULAR FORM
- SECTION 110G FAILURE TO COMPLY WITH MEMBER ' S ELECTION NOT TO BE SENT DOCUMENTS
- SECTION 110H EFFECT OF ELECTION NOT TO BE SENT DOCUMENTS
- SECTION 110J AD HOC REQUESTS TO BE SENT DOCUMENTS IN A PARTICULAR FORM
- SECTION 110JA SENDER DOES NOT NEED TO SEND DOCUMENT IF MEMBER UNCONTACTABLE
- SECTION 110K OBLIGATION TO GIVE NOTICE OF MEMBERS ' RIGHTS
- PART 1.2A - DISCLOSING ENTITIES
- Division 1 - Object of Part
- SECTION 111AA OBJECT OF PART
- Division 2 - Meaning of disclosing entity and related terms
- SECTION 111AB TERMS DEFINED IN DIVISION
- SECTION 111AC MEANING OF DISCLOSING ENTITY
- SECTION 111AD MEANING OF ED SECURITIES
- SECTION 111AE SECURITIES OF BODIES OR UNDERTAKINGS INCLUDED IN A LICENSED MARKET ' S OFFICIAL LIST
- SECTION 111AF SECURITIES (EXCEPT DEBENTURES AND MANAGED INVESTMENT PRODUCTS) HELD BY 100 OR MORE PERSONS
- SECTION 111AFA MANAGED INVESTMENT PRODUCTS HELD BY 100 OR MORE PERSONS
- SECTION 111AFB FOREIGN PASSPORT FUND PRODUCTS HELD BY 100 OR MORE PERSONS
- SECTION 111AG SECURITIES ISSUED AS CONSIDERATION FOR AN ACQUISITION UNDER AN OFF-MARKET TAKEOVER BID OR PART 5.1 COMPROMISE OR ARRANGEMENT
- SECTION 111AH WHEN A PERSON HOLDS SECURITIES FOR THE PURPOSES OF SECTIONS 111AF, 111AFA, 111AFB AND 111AG
- SECTION 111AI DEBENTURES
- SECTION 111AJ REGULATIONS MAY DECLARE SECURITIES NOT TO BE ED SECURITIES
- SECTION 111AK ED SECURITIES OF A DISCLOSING ENTITY
- SECTION 111AL MEANING OF LISTED DISCLOSING ENTITY
- SECTION 111AM MEANING OF QUOTED ED SECURITIES
- Division 3 - Significance of being a disclosing entity
- SECTION 111AN DIVISION CONTAINS OUTLINE OF SIGNIFICANCE OF BEING A DISCLOSING ENTITY
- SECTION 111ANA REQUIREMENTS RELATING TO REMUNERATION RECOMMENDATIONS IN RELATION TO KEY MANAGEMENT PERSONNEL
- SECTION 111AO ACCOUNTING REQUIREMENTS
- SECTION 111AP CONTINUOUS DISCLOSURE REQUIREMENTS
- SECTION 111AQ PROSPECTUS RELIEF
- SECTION 111AQA PRODUCT DISCLOSURE STATEMENT RELIEF
- Division 4 - Exemptions and modifications
- SECTION 111AR MEANING OF DISCLOSING ENTITY PROVISIONS
- SECTION 111AS EXEMPTIONS BY REGULATIONS
- SECTION 111AT EXEMPTIONS BY ASIC
- SECTION 111AU ENFORCING CONDITIONS OF EXEMPTIONS
- SECTION 111AV MODIFICATIONS BY REGULATIONS
- SECTION 111AW EXEMPTIONS AND MODIFICATIONS HAVE EFFECT
- SECTION 111AX EFFECT OF DIVISION
- PART 1.4 - TECHNICAL PROVISIONS ABOUT AIDS FOR READERS
- SECTION 111J SMALL BUSINESS GUIDE
- PART 1.5 - SMALL BUSINESS GUIDE
- 1 What registration means
- 2 The company structure for small business
- 3 Setting up a new company
- 4 Continuing obligations after the company is set up
- 5 Company directors and company secretaries
- 6 Shares and shareholders
- 7 Signing company documents
- 8 Funding the company ' s operations
- 9 Returns to shareholders
- 10 Annual financial reports and audit
- 11 Disagreements within the company
- 12 Companies in financial trouble
- PART 1.6 - INTERACTION WITH AUSTRALIAN CHARITIES AND NOT-FOR-PROFITS COMMISSION ACT 2012
- SECTION 111K BODIES CORPORATE REGISTERED UNDER THE AUSTRALIAN CHARITIES AND NOT-FOR-PROFITS COMMISSION ACT 2012
- SECTION 111L PROVISIONS NOT APPLICABLE TO THE BODY CORPORATE
- SECTION 111M MEMBER APPROVAL
- SECTION 111N NOTICES
- SECTION 111P ANNUAL GENERAL MEETINGS
- SECTION 111Q PRESUMPTIONS TO BE MADE IN RECOVERY PROCEEDINGS
- CHAPTER 2A - REGISTERING A COMPANY
- PART 2A.1 - WHAT COMPANIES CAN BE REGISTERED
- SECTION 112 TYPES OF COMPANIES
- SECTION 113 PROPRIETARY COMPANIES
- SECTION 114 MINIMUM OF 1 MEMBER
- SECTION 115 RESTRICTIONS ON SIZE OF PARTNERSHIPS AND ASSOCIATIONS
- SECTION 116 TRADE UNIONS CANNOT BE REGISTERED
- PART 2A.2 - HOW A COMPANY IS REGISTERED
- SECTION 117 APPLYING FOR REGISTRATION
- SECTION 118 ASIC GIVES COMPANY ACN, REGISTERS COMPANY AND ISSUES CERTIFICATE
- SECTION 119 COMPANY COMES INTO EXISTENCE ON REGISTRATION
- SECTION 119A JURISDICTION OF INCORPORATION AND JURISDICTION OF REGISTRATION
- SECTION 120 MEMBERS, DIRECTORS AND COMPANY SECRETARY OF A COMPANY
- SECTION 121 REGISTERED OFFICE
- SECTION 122 EXPENSES INCURRED IN PROMOTING AND SETTING UP COMPANY
- SECTION 123 COMPANY MAY HAVE COMMON SEAL
- CHAPTER 2B - BASIC FEATURES OF A COMPANY
- PART 2B.1 - COMPANY POWERS AND HOW THEY ARE EXERCISED
- SECTION 124 LEGAL CAPACITY AND POWERS OF A COMPANY
- SECTION 125 CONSTITUTION MAY LIMIT POWERS AND SET OUT OBJECTS
- SECTION 126 AGENT EXERCISING A COMPANY ' S POWER TO MAKE CONTRACTS AND EXECUTE DOCUMENTS (INCLUDING DEEDS)
- SECTION 127 EXECUTION OF DOCUMENTS (INCLUDING DEEDS) BY THE COMPANY ITSELF
- PART 2B.2 - ASSUMPTIONS PEOPLE DEALING WITH COMPANIES ARE ENTITLED TO MAKE
- SECTION 128 ENTITLEMENT TO MAKE ASSUMPTIONS
- SECTION 129 ASSUMPTIONS THAT CAN BE MADE UNDER SECTION 128
- SECTION 130 INFORMATION AVAILABLE TO THE PUBLIC FROM ASIC DOES NOT CONSTITUTE CONSTRUCTIVE NOTICE
- PART 2B.3 - CONTRACTS BEFORE REGISTRATION
- SECTION 131 CONTRACTS BEFORE REGISTRATION
- SECTION 132 PERSON MAY BE RELEASED FROM LIABILITY BUT IS NOT ENTITLED TO INDEMNITY
- SECTION 133 THIS PART REPLACES OTHER RIGHTS AND LIABILITIES
- PART 2B.4 - REPLACEABLE RULES AND CONSTITUTION
- SECTION 134 INTERNAL MANAGEMENT OF COMPANIES
- SECTION 135 REPLACEABLE RULES
- SECTION 136 CONSTITUTION OF A COMPANY
- SECTION 137 DATE OF EFFECT OF ADOPTION, MODIFICATION OR REPEAL OF CONSTITUTION
- SECTION 138 ASIC MAY DIRECT COMPANY TO LODGE CONSOLIDATED CONSTITUTION
- SECTION 139 COMPANY MUST SEND COPY OF CONSTITUTION TO MEMBER
- SECTION 140 EFFECT OF CONSTITUTION AND REPLACEABLE RULES
- SECTION 141 TABLE OF REPLACEABLE RULES
- PART 2B.5 - REGISTERED OFFICE AND PLACES OF BUSINESS
- SECTION 142 REGISTERED OFFICE
- SECTION 143 ASIC MAY CHANGE ADDRESS OF REGISTERED OFFICE TO A DIRECTOR ' S ADDRESS
- SECTION 144 COMPANY'S NAME MUST BE DISPLAYED AT REGISTERED OFFICE ETC.
- SECTION 145 OPENING HOURS OF REGISTERED OFFICE OF PUBLIC COMPANY
- SECTION 146 CHANGE OF ADDRESS OF PRINCIPAL PLACE OF BUSINESS
- SECTION 146A CONTACT ADDRESS
- PART 2B.6 - NAMES
- Division 1 - Selecting and using a name
- SECTION 147 WHEN A NAME IS AVAILABLE
- SECTION 148 A COMPANY ' S NAME
- SECTION 149 ACCEPTABLE ABBREVIATIONS
- SECTION 150 EXCEPTION TO REQUIREMENT FOR USING ' LIMITED ' IN NAME
- SECTION 151 EXCEPTION TO REQUIREMENT FOR USING ' LIMITED ' IN NAME - PRE-EXISTING LICENCES
- SECTION 152 RESERVING A NAME
- SECTION 153 USING A NAME AND ACN ON DOCUMENTS
- SECTION 154 EXCEPTION TO REQUIREMENT TO HAVE ACN ON RECEIPTS
- SECTION 155 REGULATIONS MAY EXEMPT FROM REQUIREMENT TO SET OUT INFORMATION ON DOCUMENTS
- SECTION 156 CARRYING ON BUSINESS USING ``LIMITED'', ``NO LIABILITY'' OR ``PROPRIETARY'' IN NAME
- Division 2 - Changing a company's name
- SECTION 157 COMPANY CHANGING ITS NAME
- SECTION 157A CHANGE OF NAME OF COMPANY UNDER EXTERNAL ADMINISTRATION
- SECTION 158 ASIC ' S POWER TO DIRECT COMPANY TO CHANGE ITS NAME
- SECTION 159 ASIC ' S POWER TO INCLUDE ' LIMITED ' IN COMPANY ' S NAME
- SECTION 160 ASIC MUST ISSUE NEW CERTIFICATE IF COMPANY ' S NAME CHANGES
- SECTION 161 EFFECT OF NAME CHANGE
- SECTION 161A COMPANY UNDER EXTERNAL ADMINISTRATION - FORMER NAME TO BE USED ON DOCUMENTS
- PART 2B.7 - CHANGING COMPANY TYPE
- SECTION 162 CHANGING COMPANY TYPE
- SECTION 163 APPLYING FOR CHANGE OF TYPE
- SECTION 164 ASIC CHANGES TYPE OF COMPANY
- SECTION 165 ASIC MAY DIRECT A PROPRIETARY COMPANY TO CHANGE TO A PUBLIC COMPANY IN CERTAIN CIRCUMSTANCES
- SECTION 166 EFFECT OF CHANGE OF TYPE
- SECTION 167 ISSUE OF SHARES BY COMPANY OR HOLDING COMPANY - COMPANY LIMITED BY GUARANTEE CHANGING TO COMPANY LIMITED BY SHARES
- SECTION 167AA APPLICATION OF PART TO COMPANY LIMITED BOTH BY SHARES AND BY GUARANTEE
- PART 2B.8 - MUTUAL CAPITAL INSTRUMENTS (MCIs)
- Division 1 - Preliminary
- SECTION 167AB SIMPLIFIED OUTLINE OF THIS PART
- Division 2 - MCI mutual entities and MCIs
- SECTION 167AC MEANING OF MCI MUTUAL ENTITY
- SECTION 167AD MEANING OF MCI
- SECTION 167AE MCI REQUIREMENTS - CLASS RIGHTS
- SECTION 167AF MCI REQUIREMENTS - OTHER REQUIREMENTS
- SECTION 167AG MCIs MUST BE CANCELLED BEFORE MCI MUTUAL ENTITY DEMUTUALISES
- Division 3 - Special procedure for amending constitution of mutual entity that proposes to issue MCIs
- SECTION 167AH PURPOSE AND APPLICATION OF THIS DIVISION
- SECTION 167AI MCI AMENDMENT RESOLUTION
- SECTION 167AJ PROCEDURE FOR MCI AMENDMENT RESOLUTION
- CHAPTER 2C - REGISTERS
- PART 2C.1 - REGISTERS GENERALLY
- SECTION 167A WHO IS COVERED BY THIS CHAPTER
- SECTION 168 REGISTERS TO BE MAINTAINED
- SECTION 169 REGISTER OF MEMBERS
- SECTION 170 REGISTER OF OPTION HOLDERS AND COPIES OF OPTIONS DOCUMENTS
- SECTION 171 REGISTER OF DEBENTURE HOLDERS
- SECTION 172 LOCATION OF REGISTERS
- SECTION 173 RIGHT TO INSPECT AND GET COPIES
- SECTION 174 AGENT'S OBLIGATIONS
- SECTION 175 CORRECTION OF REGISTERS
- SECTION 176 EVIDENTIARY VALUE OF REGISTERS
- SECTION 177 USE OF INFORMATION ON REGISTERS
- SECTION 178 OVERSEAS BRANCH REGISTERS - COMPANIES
- SECTION 178AA OVERSEAS BRANCH REGISTERS - AUSTRALIAN PASSPORT FUNDS
- PART 2C.2 - NOTICE BY PROPRIETARY COMPANIES OF CHANGES TO MEMBER REGISTER
- SECTION 178A NOTICE OF CHANGE TO MEMBER REGISTER
- SECTION 178B TOP 20 ONLY
- SECTION 178C NOTICE OF CHANGE TO SHARE STRUCTURE
- SECTION 178D TIME WITHIN WHICH ASIC MUST BE NOTIFIED
- CHAPTER 2D - OFFICERS AND EMPLOYEES
- PART 2D.1 - DUTIES AND POWERS
- SECTION 179 SIMPLIFIED OUTLINE OF THIS PART
- Division 1 - General duties
- SECTION 180 CARE AND DILIGENCE - CIVIL OBLIGATION ONLY
- SECTION 181 GOOD FAITH - CIVIL OBLIGATIONS
- SECTION 182 USE OF POSITION - CIVIL OBLIGATIONS
- SECTION 183 USE OF INFORMATION - CIVIL OBLIGATIONS
- SECTION 184 GOOD FAITH, USE OF POSITION AND USE OF INFORMATION - CRIMINAL OFFENCES
- SECTION 185 INTERACTION OF SECTIONS 180 TO 184 WITH OTHER LAWS ETC.
- SECTION 186 TERRITORIAL APPLICATION OF SECTIONS 180 TO 184
- SECTION 187 DIRECTORS OF WHOLLY-OWNED SUBSIDIARIES
- SECTION 188 RESPONSIBILITY OF SECRETARIES ETC. FOR CERTAIN CORPORATE CONTRAVENTIONS
- SECTION 189 RELIANCE ON INFORMATION OR ADVICE PROVIDED BY OTHERS
- SECTION 190 RESPONSIBILITY FOR ACTIONS OF DELEGATE
- SECTION 190A LIMITED APPLICATION OF DIVISION TO REGISTRABLE AUSTRALIAN BODIES
- SECTION 190B DIVISION DOES NOT APPLY TO ABORIGINAL AND TORRES STRAIT ISLANDER CORPORATIONS
- SECTION 190C DIVISION DOES NOT APPLY IN RELATION TO NOTIFIED FOREIGN PASSPORT FUNDS OR THEIR OPERATORS
- Division 2 - Disclosure of, and voting on matters involving, material personal interests
- SECTION 191 MATERIAL PERSONAL INTEREST - DIRECTOR'S DUTY TO DISCLOSE
- SECTION 192 DIRECTOR MAY GIVE OTHER DIRECTORS STANDING NOTICE ABOUT AN INTEREST
- SECTION 193 INTERACTION OF SECTIONS 191 AND 192 WITH OTHER LAWS ETC.
- SECTION 194 VOTING AND COMPLETION OF TRANSACTIONS - DIRECTORS OF PROPRIETARY COMPANIES (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 195 RESTRICTIONS ON VOTING - DIRECTORS OF PUBLIC COMPANIES ONLY
- SECTION 196 ASIC POWER TO MAKE DECLARATIONS AND CLASS ORDERS
- Division 3 - Duty to discharge certain trust liabilities
- SECTION 197 DIRECTORS LIABLE FOR DEBTS AND OTHER OBLIGATIONS INCURRED BY CORPORATION AS TRUSTEE
- Division 4 - Powers
- SECTION 198A POWERS OF DIRECTORS (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 198B NEGOTIABLE INSTRUMENTS (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 198C MANAGING DIRECTOR (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 198D DELEGATION
- SECTION 198E SINGLE DIRECTOR/SHAREHOLDER PROPRIETARY COMPANIES
- SECTION 198F RIGHT OF ACCESS TO COMPANY BOOKS
- Division 5 - Exercise of powers while company under external administration
- SECTION 198G EXERCISE OF POWERS WHILE COMPANY UNDER EXTERNAL ADMINISTRATION
- PART 2D.2 - RESTRICTIONS ON INDEMNITIES, INSURANCE AND TERMINATION PAYMENTS
- Division 1 - Indemnities and insurance for officers and auditors
- SECTION 199A INDEMNIFICATION AND EXEMPTION OF OFFICER OR AUDITOR
- SECTION 199B INSURANCE PREMIUMS FOR CERTAIN LIABILITIES OF DIRECTOR, SECRETARY, OTHER OFFICER OR AUDITOR
- SECTION 199C CERTAIN INDEMNITIES, EXEMPTIONS, PAYMENTS AND AGREEMENTS NOT AUTHORISED AND CERTAIN DOCUMENTS VOID
- Division 2 - Termination payments
- SECTION 200 INTERPRETING THIS DIVISION
- SECTION 200AA MEANING OF MANAGERIAL OR EXECUTIVE OFFICE
- SECTION 200AB MEANING OF BENEFIT
- SECTION 200A WHEN BENEFIT GIVEN IN CONNECTION WITH RETIREMENT FROM AN OFFICE OR POSITION
- SECTION 200B RETIREMENT BENEFITS GENERALLY NEED MEMBERSHIP APPROVAL
- SECTION 200C BENEFITS ON TRANSFER OF UNDERTAKING OR PROPERTY NEED MEMBERSHIP APPROVAL
- SECTION 200D CONTRAVENTION TO RECEIVE BENEFIT WITHOUT MEMBER APPROVAL
- SECTION 200E APPROVAL BY MEMBERS
- SECTION 200F EXEMPT BENEFITS AND BENEFITS GIVEN IN CERTAIN CIRCUMSTANCES
- SECTION 200G GENUINE PAYMENTS OF PENSION AND LUMP SUM
- SECTION 200H BENEFITS REQUIRED BY LAW
- SECTION 200J BENEFITS TO BE HELD ON TRUST AND REPAID
- PART 2D.3 - APPOINTMENT, REMUNERATION AND CESSATION OF APPOINTMENT OF DIRECTORS
- Division 1 - Appointment of directors
- Subdivision A - General rules
- SECTION 201A MINIMUM NUMBER OF DIRECTORS
- SECTION 201B WHO CAN BE A DIRECTOR
- SECTION 201C DIRECTORS OF PUBLIC COMPANIES, OR SUBSIDIARIES, OVER 72
- SECTION 201D CONSENT TO ACT AS DIRECTOR
- SECTION 201E SPECIAL RULES FOR THE APPOINTMENT OF PUBLIC COMPANY DIRECTORS
- SECTION 201F SPECIAL RULES FOR THE APPOINTMENT OF DIRECTORS FOR SINGLE DIRECTOR/SINGLE SHAREHOLDER PROPRIETARY COMPANIES
- SECTION 201G COMPANY MAY APPOINT A DIRECTOR (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 201H DIRECTORS MAY APPOINT OTHER DIRECTORS (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 201J APPOINTMENT OF MANAGING DIRECTORS (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 201K ALTERNATE DIRECTORS (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 201L SIGNPOST - ASIC TO BE NOTIFIED OF APPOINTMENT
- SECTION 201M EFFECTIVENESS OF ACTS BY DIRECTORS
- Subdivision B - Limits on numbers of directors of public companies
- SECTION 201N APPLICATION OF SUBDIVISION
- SECTION 201P DIRECTORS MUST NOT SET BOARD LIMIT UNLESS PROPOSED LIMIT HAS BEEN APPROVED BY GENERAL MEETING
- SECTION 201Q REQUIREMENTS FOR EXPLANATORY STATEMENT TO MEMBERS
- SECTION 201R RECORDS OF VOTING ON BOARD LIMIT RESOLUTION IF POLL REQUIRED
- SECTION 201S NOTICE OF RESOLUTION TO BE LODGED
- SECTION 201T DECLARATION BY COURT OF SUBSTANTIAL COMPLIANCE
- SECTION 201U CONSEQUENCES OF SETTING BOARD LIMIT IN BREACH OF SECTION 201P
- Division 2 - Remuneration of directors
- SECTION 202A REMUNERATION OF DIRECTORS (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 202B MEMBERS MAY OBTAIN INFORMATION ABOUT DIRECTORS' REMUNERATION
- SECTION 202C SPECIAL RULE FOR SINGLE DIRECTOR/SINGLE SHAREHOLDER PROPRIETARY COMPANIES
- Division 3 - Resignation, retirement or removal of directors
- SECTION 203A DIRECTOR MAY RESIGN BY GIVING WRITTEN NOTICE TO COMPANY (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 203AA RESIGNATION OF DIRECTORS - WHEN RESIGNATION TAKES EFFECT
- SECTION 203AB RESIGNATION OF DIRECTORS - RESIGNATION HAS NO EFFECT IF COMPANY HAS NO OTHER DIRECTORS
- SECTION 203B SIGNPOST TO CONSEQUENCES OF DISQUALIFICATION FROM MANAGING CORPORATIONS
- SECTION 203C REMOVAL BY MEMBERS - PROPRIETARY COMPANIES (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 203CA RESOLUTION TO REMOVE DIRECTORS - RESOLUTION IS VOID IF PROPRIETARY COMPANY HAS NO OTHER DIRECTORS
- SECTION 203D REMOVAL BY MEMBERS - PUBLIC COMPANIES
- SECTION 203E DIRECTOR CANNOT BE REMOVED BY OTHER DIRECTORS - PUBLIC COMPANIES
- SECTION 203F TERMINATION OF APPOINTMENT OF MANAGING DIRECTOR (REPLACEABLE RULE - SEE SECTION 135)
- PART 2D.4 - APPOINTMENT OF SECRETARIES
- SECTION 204A MINIMUM NUMBER OF SECRETARIES
- SECTION 204B WHO CAN BE A SECRETARY
- SECTION 204C CONSENT TO ACT AS SECRETARY
- SECTION 204D HOW A SECRETARY IS APPOINTED
- SECTION 204E EFFECTIVENESS OF ACTS BY SECRETARIES
- SECTION 204F TERMS AND CONDITIONS OF OFFICE FOR SECRETARIES (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 204G SIGNPOST TO CONSEQUENCES OF DISQUALIFICATION FROM MANAGING CORPORATIONS
- PART 2D.5 - PUBLIC INFORMATION ABOUT DIRECTORS AND SECRETARIES
- SECTION 205A DIRECTOR, SECRETARY OR ALTERNATE DIRECTOR MAY NOTIFY ASIC OF RESIGNATION OR RETIREMENT
- SECTION 205B NOTICE OF NAME AND ADDRESS OF DIRECTORS AND SECRETARIES TO ASIC
- SECTION 205C DIRECTOR AND SECRETARY MUST GIVE INFORMATION TO COMPANY
- SECTION 205D ADDRESS FOR OFFICERS
- SECTION 205E ASIC ' S POWER TO ASK FOR INFORMATION ABOUT PERSON ' S POSITION AS DIRECTOR OR SECRETARY
- SECTION 205F DIRECTOR MUST GIVE INFORMATION TO COMPANY
- SECTION 205G LISTED COMPANY - DIRECTOR TO NOTIFY MARKET OPERATOR OF SHAREHOLDINGS ETC.
- PART 2D.6 - DISQUALIFICATION FROM MANAGING CORPORATIONS
- SECTION 206A DISQUALIFIED PERSON NOT TO MANAGE CORPORATIONS
- SECTION 206B AUTOMATIC DISQUALIFICATION - CONVICTIONS, BANKRUPTCY AND FOREIGN COURT ORDERS ETC.
- SECTION 206BA EXTENSION OF PERIOD OF AUTOMATIC DISQUALIFICATION UNDER SECTION 206B
- SECTION 206C COURT POWER OF DISQUALIFICATION - CONTRAVENTION OF CIVIL PENALTY PROVISION
- SECTION 206D COURT POWER OF DISQUALIFICATION - INSOLVENCY AND NON-PAYMENT OF DEBTS
- SECTION 206E COURT POWER OF DISQUALIFICATION - REPEATED CONTRAVENTIONS OF ACT
- SECTION 206EAA COURT POWER OF DISQUALIFICATION - DISQUALIFICATION UNDER A LAW OF A FOREIGN JURISDICTION
- SECTION 206EAB COURT POWER OF DISQUALIFICATION - UNRECOVERED PAYMENTS UNDER EMPLOYEE ENTITLEMENTS SCHEME
- SECTION 206EA DISQUALIFICATION UNDER THE COMPETITION AND CONSUMER ACT 2010 ETC.
- SECTION 206EB DISQUALIFICATION UNDER THE ASIC ACT
- SECTION 206F ASIC ' S POWER OF DISQUALIFICATION
- SECTION 206GAA ASIC ' S POWER OF DISQUALIFICATION - UNRECOVERED PAYMENTS UNDER EMPLOYEE ENTITLEMENTS SCHEME
- SECTION 206GAB ASIC POWER TO GRANT LEAVE
- SECTION 206G COURT POWER TO GRANT LEAVE
- SECTION 206GA INVOLVEMENT OF ACCC - LEAVE ORDERS UNDER SECTION 206G
- SECTION 206H LIMITED APPLICATION OF PART TO FOREIGN COMPANIES
- SECTION 206HAA LIMITED APPLICATION OF PART TO NOTIFIED FOREIGN PASSPORT FUNDS AND THEIR OPERATORS
- SECTION 206HA LIMITED APPLICATION OF PART TO REGISTRABLE AUSTRALIAN BODIES
- SECTION 206HB PART DOES NOT APPLY TO ABORIGINAL AND TORRES STRAIT ISLANDER CORPORATIONS
- PART 2D.7 - BAN ON HEDGING REMUNERATION OF KEY MANAGEMENT PERSONNEL
- SECTION 206J NO HEDGING OF REMUNERATION OF KEY MANAGEMENT PERSONNEL
- PART 2D.8 - REMUNERATION RECOMMENDATIONS IN RELATION TO KEY MANAGEMENT PERSONNEL FOR DISCLOSING ENTITIES
- SECTION 206K BOARD TO APPROVE REMUNERATION CONSULTANTS
- SECTION 206L REMUNERATION RECOMMENDATION BY REMUNERATION CONSULTANTS
- SECTION 206M DECLARATION BY REMUNERATION CONSULTANT
- CHAPTER 2E - RELATED PARTY TRANSACTIONS
- SECTION 207 PURPOSE
- PART 2E.1 - MEMBER APPROVAL NEEDED FOR RELATED PARTY BENEFIT
- Division 1 - Need for member approval
- SECTION 208 NEED FOR MEMBER APPROVAL FOR FINANCIAL BENEFIT
- SECTION 209 CONSEQUENCES OF BREACH
- Division 2 - Exceptions to the requirement for member approval
- SECTION 210 ARM'S LENGTH TERMS
- SECTION 211 REMUNERATION AND REIMBURSEMENT FOR OFFICER OR EMPLOYEE
- SECTION 212 INDEMNITIES, EXEMPTIONS, INSURANCE PREMIUMS AND PAYMENT FOR LEGAL COSTS FOR OFFICERS
- SECTION 213 SMALL AMOUNTS GIVEN TO RELATED ENTITY
- SECTION 214 BENEFIT TO OR BY CLOSELY-HELD SUBSIDIARY
- SECTION 215 BENEFITS TO MEMBERS THAT DO NOT DISCRIMINATE UNFAIRLY
- SECTION 216 COURT ORDER
- Division 3 - Procedure for obtaining member approval
- SECTION 217 RESOLUTION MAY SPECIFY MATTERS BY CLASS OR KIND
- SECTION 218 COMPANY MUST LODGE MATERIAL THAT WILL BE PUT TO MEMBERS WITH ASIC
- SECTION 219 REQUIREMENTS FOR EXPLANATORY STATEMENT TO MEMBERS
- SECTION 220 ASIC MAY COMMENT ON PROPOSED RESOLUTION
- SECTION 221 REQUIREMENTS FOR NOTICE OF MEETING
- SECTION 222 OTHER MATERIAL PUT TO MEMBERS
- SECTION 223 PROPOSED RESOLUTION CANNOT BE VARIED
- SECTION 224 VOTING BY OR ON BEHALF OF RELATED PARTY INTERESTED IN PROPOSED RESOLUTION
- SECTION 225 VOTING ON THE RESOLUTION
- SECTION 226 NOTICE OF RESOLUTION TO BE LODGED
- SECTION 227 DECLARATION BY COURT OF SUBSTANTIAL COMPLIANCE
- PART 2E.2 - RELATED PARTIES AND FINANCIAL BENEFITS
- SECTION 228 RELATED PARTIES
- SECTION 229 GIVING A FINANCIAL BENEFIT
- PART 2E.3 - INTERACTION WITH OTHER RULES
- SECTION 230 GENERAL DUTIES STILL APPLY
- CHAPTER 2F - MEMBERS' RIGHTS AND REMEDIES
- SECTION 231 MEMBERSHIP OF A COMPANY
- PART 2F.1 - OPPRESSIVE CONDUCT OF AFFAIRS
- SECTION 232 GROUNDS FOR COURT ORDER
- SECTION 233 ORDERS THE COURT CAN MAKE
- SECTION 234 WHO CAN APPLY FOR ORDER
- SECTION 235 REQUIREMENT FOR PERSON TO LODGE ORDER
- PART 2F.1A - PROCEEDINGS ON BEHALF OF A COMPANY BY MEMBERS AND OTHERS
- SECTION 236 BRINGING, OR INTERVENING IN, PROCEEDINGS ON BEHALF OF A COMPANY
- SECTION 237 APPLYING FOR AND GRANTING LEAVE
- SECTION 238 SUBSTITUTION OF ANOTHER PERSON FOR THE PERSON GRANTED LEAVE
- SECTION 239 EFFECT OF RATIFICATION BY MEMBERS
- SECTION 240 LEAVE TO DISCONTINUE, COMPROMISE OR SETTLE PROCEEDINGS BROUGHT, OR INTERVENED IN, WITH LEAVE
- SECTION 241 GENERAL POWERS OF THE COURT
- SECTION 242 POWER OF THE COURT TO MAKE COSTS ORDERS
- PART 2F.2 - CLASS RIGHTS
- SECTION 246B VARYING AND CANCELLING CLASS RIGHTS
- SECTION 246C CERTAIN ACTIONS TAKEN TO VARY RIGHTS ETC.
- SECTION 246D VARIATION, CANCELLATION OR MODIFICATION WITHOUT UNANIMOUS SUPPORT OF CLASS
- SECTION 246E VARIATION, CANCELLATION OR MODIFICATION WITH UNANIMOUS SUPPORT OF CLASS
- SECTION 246F COMPANY MUST LODGE DOCUMENTS AND RESOLUTIONS WITH ASIC
- SECTION 246G MEMBER'S COPIES OF DOCUMENTS AND RESOLUTIONS
- SECTION 246H APPLICATION OF THIS PART TO MCI MUTUAL ENTITIES THAT ARE COMPANIES LIMITED BY GUARANTEE
- PART 2F.3 - INSPECTION OF BOOKS
- SECTION 247A ORDER FOR INSPECTION OF BOOKS OF COMPANY OR REGISTERED SCHEME
- SECTION 247B ANCILLARY ORDERS
- SECTION 247C DISCLOSURE OF INFORMATION ACQUIRED IN INSPECTION
- SECTION 247D COMPANY OR DIRECTORS MAY ALLOW MEMBER TO INSPECT BOOKS (REPLACEABLE RULE SEE SECTION 135)
- PART 2F.4 - PROCEEDINGS AGAINST A COMPANY BY MEMBERS AND OTHERS
- SECTION 247E SHAREHOLDING DOES NOT PREVENT COMPENSATION CLAIM
- CHAPTER 2G - MEETINGS
- PART 2G.1 - DIRECTORS ' MEETINGS
- Division 1 - Resolutions and declarations without meetings
- SECTION 248A CIRCULATING RESOLUTIONS OF COMPANIES WITH MORE THAN 1 DIRECTOR (REPLACEABLE RULE SEE SECTION 135)
- SECTION 248B RESOLUTIONS AND DECLARATIONS OF 1 DIRECTOR PROPRIETARY COMPANIES
- Division 2 - Directors' meetings
- SECTION 248C CALLING DIRECTORS' MEETINGS (REPLACEABLE RULE SEE SECTION 135)
- SECTION 248D USE OF TECHNOLOGY
- SECTION 248E CHAIRING DIRECTORS' MEETINGS (REPLACEABLE RULE SEE SECTION 135)
- SECTION 248F QUORUM AT DIRECTORS' MEETINGS (REPLACEABLE RULE SEE SECTION 135)
- SECTION 248G PASSING OF DIRECTORS' RESOLUTIONS (REPLACEABLE RULE SEE SECTION 135)
- PART 2G.2 - MEETINGS OF MEMBERS OF COMPANIES
- Division 1 - Resolutions without meetings
- SECTION 249A CIRCULATING RESOLUTIONS OF PROPRIETARY COMPANIES WITH MORE THAN 1 MEMBER
- SECTION 249B RESOLUTIONS OF 1 MEMBER COMPANIES
- Division 2 - Who may call meetings of members
- SECTION 249C CALLING OF MEETINGS OF MEMBERS BY A DIRECTOR (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 249CA CALLING OF MEETINGS OF MEMBERS OF A LISTED COMPANY BY A DIRECTOR
- SECTION 249D CALLING OF GENERAL MEETING BY DIRECTORS WHEN REQUESTED BY MEMBERS
- SECTION 249E FAILURE OF DIRECTORS TO CALL GENERAL MEETING
- SECTION 249F CALLING OF GENERAL MEETINGS BY MEMBERS
- SECTION 249G CALLING OF MEETINGS OF MEMBERS BY THE COURT
- Division 3 - How to call meetings of members
- SECTION 249H AMOUNT OF NOTICE OF MEETINGS
- SECTION 249HA AMOUNT OF NOTICE OF MEETINGS OF LISTED COMPANY
- SECTION 249J NOTICE OF MEETINGS OF MEMBERS TO MEMBERS AND DIRECTORS
- SECTION 249K AUDITOR ENTITLED TO NOTICE AND OTHER COMMUNICATIONS
- SECTION 249L CONTENTS OF NOTICE OF MEETINGS OF MEMBERS
- SECTION 249LA NOTICE OF MEETING NOT REQUIRED TO CONTAIN CERTAIN INFORMATION
- SECTION 249M NOTICE OF ADJOURNED MEETINGS (REPLACEABLE RULE - SEE SECTION 135)
- Division 4 - Members' rights to put resolutions etc. at general meetings
- SECTION 249N MEMBERS' RESOLUTIONS
- SECTION 249O COMPANY GIVING NOTICE OF MEMBERS' RESOLUTIONS
- SECTION 249P MEMBERS' STATEMENTS TO BE DISTRIBUTED
- Division 5 - Holding meetings of members
- SECTION 249Q PURPOSE
- SECTION 249R HOW MEETINGS OF MEMBERS MAY BE HELD
- SECTION 249RA PLACE AND TIME OF MEETINGS AND PRESENCE AT MEETINGS
- SECTION 249S REASONABLE OPPORTUNITY TO PARTICIPATE
- SECTION 249T QUORUM (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 249U CHAIRING MEETINGS OF MEMBERS (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 249V AUDITOR'S RIGHT TO BE HEARD AT GENERAL MEETINGS
- SECTION 249W ADJOURNED MEETINGS
- Division 6 - Proxies and body corporate representatives
- SECTION 249X WHO CAN APPOINT A PROXY (REPLACEABLE RULE FOR PROPRIETARY COMPANIES AND MANDATORY RULE FOR PUBLIC COMPANIES - SEE SECTION 135)
- SECTION 249Y RIGHTS OF PROXIES
- SECTION 249Z COMPANY SENDING APPOINTMENT FORMS OR LISTS OF PROXIES MUST SEND TO ALL MEMBERS
- SECTION 250A APPOINTING A PROXY
- SECTION 250B PROXY DOCUMENTS
- SECTION 250BA PROXY DOCUMENTS - LISTED COMPANIES
- SECTION 250BB PROXY VOTE IF APPOINTMENT SPECIFIES WAY TO VOTE
- SECTION 250BC TRANSFER OF NON-CHAIR PROXY TO CHAIR IN CERTAIN CIRCUMSTANCES
- SECTION 250BD PROXY VOTING BY KEY MANAGEMENT PERSONNEL OR CLOSELY RELATED PARTIES
- SECTION 250C VALIDITY OF PROXY VOTE
- SECTION 250D BODY CORPORATE REPRESENTATIVE
- Division 7 - Voting at meetings of members
- SECTION 250E HOW MANY VOTES A MEMBER HAS (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 250F JOINTLY HELD SHARES (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 250G OBJECTIONS TO RIGHT TO VOTE (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 250H VOTES NEED NOT ALL BE CAST IN THE SAME WAY
- SECTION 250J HOW VOTING IS CARRIED OUT (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 250JA CERTAIN RESOLUTIONS MUST BE DECIDED ON A POLL - LISTED COMPANIES
- SECTION 250K MATTERS ON WHICH A POLL MAY BE DEMANDED
- SECTION 250L WHEN A POLL IS EFFECTIVELY DEMANDED
- SECTION 250M WHEN AND HOW POLLS MUST BE TAKEN (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 250MA REQUIREMENTS FOR A SPECIAL RESOLUTION
- Division 8 - AGMs of public companies
- SECTION 250N PUBLIC COMPANY MUST HOLD AGM
- SECTION 250P EXTENSION OF TIME FOR HOLDING AGM
- SECTION 250PAA EXEMPTIONS BY ASIC - CLASS ORDERS RELATING TO EXTERNALLY-ADMINISTERED COMPANIES
- SECTION 250PAB EXEMPTIONS BY ASIC - INDIVIDUAL EXTERNALLY-ADMINISTERED COMPANIES
- SECTION 250PA WRITTEN QUESTIONS TO AUDITOR SUBMITTED BY MEMBERS OF LISTED COMPANY BEFORE AGM
- SECTION 250R BUSINESS OF AGM
- SECTION 250RA AUDITOR REQUIRED TO ATTEND LISTED COMPANY ' S AGM
- SECTION 250S QUESTIONS AND COMMENTS BY MEMBERS ON COMPANY MANAGEMENT AT AGM
- SECTION 250SA LISTED COMPANY - REMUNERATION REPORT
- SECTION 250T QUESTIONS BY MEMBERS OF AUDITORS AT AGM
- Division 9 - Meetings arising from concerns about remuneration reports
- SECTION 250U APPLICATION
- SECTION 250V RESOLUTION TO HOLD FRESH ELECTIONS FOR DIRECTORS AT SPECIAL MEETING TO BE PUT TO VOTE AT AGM
- SECTION 250W CONSEQUENCES OF SPILL RESOLUTION BEING PASSED
- SECTION 250X ENSURING THERE ARE AT LEAST 3 DIRECTORS AFTER SPILL MEETING
- SECTION 250Y TERM OF OFFICE OF DIRECTOR REAPPOINTED AT SPILL MEETING
- PART 2G.3 - MINUTES AND MEMBERS ' ACCESS TO MINUTES
- SECTION 251A MINUTES
- SECTION 251AA DISCLOSURE OF PROXY VOTES - LISTED COMPANIES
- SECTION 251B MEMBERS' ACCESS TO MINUTES
- PART 2G.4 - MEETINGS OF MEMBERS OF REGISTERED SCHEMES
- Division 1 - Who may call meetings of members
- SECTION 252A CALLING OF MEETINGS OF MEMBERS BY RESPONSIBLE ENTITY
- SECTION 252B CALLING OF MEETINGS OF MEMBERS BY RESPONSIBLE ENTITY WHEN REQUESTED BY MEMBERS
- SECTION 252C FAILURE OF RESPONSIBLE ENTITY TO CALL MEETING OF THE SCHEME'S MEMBERS
- SECTION 252D CALLING OF MEETINGS OF MEMBERS BY MEMBERS
- SECTION 252E CALLING OF MEETINGS OF MEMBERS BY THE COURT
- Division 2 - How to call meetings of members
- SECTION 252F AMOUNT OF NOTICE OF MEETINGS
- SECTION 252G NOTICE OF MEETINGS OF MEMBERS TO MEMBERS, DIRECTORS AND AUDITORS
- SECTION 252H AUDITORS ENTITLED TO OTHER COMMUNICATIONS
- SECTION 252J CONTENTS OF NOTICE OF MEETINGS OF MEMBERS
- SECTION 252K NOTICE OF ADJOURNED MEETINGS
- Division 3 - Members' rights to put resolutions etc. at meetings of members
- SECTION 252L MEMBERS' RESOLUTIONS
- SECTION 252M RESPONSIBLE ENTITY GIVING NOTICE OF MEMBERS' RESOLUTIONS
- SECTION 252N MEMBERS' STATEMENTS TO BE DISTRIBUTED
- Division 4 - Holding meetings of members
- SECTION 252P HOW MEETINGS OF MEMBERS MAY BE HELD
- SECTION 252PA PLACE AND TIME OF MEETINGS AND PRESENCE AT MEETINGS
- SECTION 252Q REASONABLE OPPORTUNITY TO PARTICIPATE
- SECTION 252R QUORUM
- SECTION 252S CHAIRING MEETINGS OF MEMBERS
- SECTION 252T AUDITORS' RIGHT TO BE HEARD AT MEETINGS OF MEMBERS
- SECTION 252U ADJOURNED MEETINGS
- Division 5 - Proxies and body corporate representatives
- SECTION 252V WHO CAN APPOINT A PROXY
- SECTION 252W RIGHTS OF PROXIES
- SECTION 252X RESPONSIBLE ENTITY SENDING APPOINTMENT FORMS OR LISTS OF PROXIES MUST SEND TO ALL MEMBERS
- SECTION 252Y APPOINTING A PROXY
- SECTION 252Z PROXY DOCUMENTS
- SECTION 253A VALIDITY OF PROXY VOTE
- SECTION 253B BODY CORPORATE REPRESENTATIVE
- Division 6 - Voting at meetings of members
- SECTION 253C HOW MANY VOTES A MEMBER HAS
- SECTION 253D JOINTLY HELD INTERESTS
- SECTION 253E RESPONSIBLE ENTITY AND ASSOCIATES CANNOT VOTE IF INTERESTED IN RESOLUTION
- SECTION 253F HOW TO WORK OUT THE VALUE OF AN INTEREST
- SECTION 253G OBJECTIONS TO A RIGHT TO VOTE
- SECTION 253H VOTES NEED NOT ALL BE CAST IN THE SAME WAY
- SECTION 253J HOW VOTING IS CARRIED OUT
- SECTION 253K MATTERS ON WHICH A POLL MAY BE DEMANDED
- SECTION 253L WHEN A POLL IS EFFECTIVELY DEMANDED
- SECTION 253LA REQUIREMENTS FOR A SPECIAL RESOLUTION OR AN EXTRAORDINARY RESOLUTION
- Division 7 - Minutes and members' access to minutes
- SECTION 253M MINUTES
- SECTION 253N MEMBERS' ACCESS TO MINUTES
- PART 2G.5 - ELECTRONIC RECORDING AND KEEPING OF MINUTE BOOKS
- Division 1 - Interpretation
- Division 2 - Virtual meetings
- Division 3 - Electronic communication
- Division 4 - Recording and keeping of minute books
- SECTION 253S ELECTRONIC RECORDING AND KEEPING OF MINUTE BOOKS
- PART 2G.6 - EXCEPTIONAL CIRCUMSTANCES
- SECTION 253T EXCEPTIONAL CIRCUMSTANCES - AGM
- SECTION 253TA EXCEPTIONAL CIRCUMSTANCES - VIRTUAL MEETINGS
- PART 2G.7 - INDEPENDENT REPORTS ON POLLS
- SECTION 253U APPLICATION OF PART
- SECTION 253UA INDEPENDENT PERSONS
- SECTION 253UB COMPANY MEMBERS ' RIGHTS TO REQUEST OBSERVER AND REPORT ON CONDUCT OF POLL
- SECTION 253UC COMPANY MEMBERS ' RIGHTS TO REQUEST SCRUTINY AND REPORT ON OUTCOME OF POLL
- SECTION 253UD REGISTERED SCHEME MEMBERS ' RIGHTS TO REQUEST OBSERVER AND REPORT ON CONDUCT OF POLL
- SECTION 253UE REGISTERED SCHEME MEMBERS ' RIGHTS TO REQUEST SCRUTINY AND REPORT ON OUTCOME OF POLL
- SECTION 253UF RIGHT OF INDEPENDENT PERSON TO INFORMATION
- SECTION 253UG RECORD-KEEPING FOR REPORTS ON POLLS
- CHAPTER 2H - SHARES
- PART 2H.1 - ISSUING AND CONVERTING SHARES
- SECTION 254A POWER TO ISSUE BONUS, PARTLY-PAID, PREFERENCE AND REDEEMABLE PREFERENCE SHARES
- SECTION 254B TERMS OF ISSUE
- SECTION 254C NO PAR VALUE SHARES
- SECTION 254D PRE-EMPTION FOR EXISTING SHAREHOLDERS ON ISSUE OF SHARES IN PROPRIETARY COMPANY (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 254E COURT VALIDATION OF ISSUE
- SECTION 254F BEARER SHARES AND STOCK MUST NOT BE ISSUED
- SECTION 254G CONVERSION OF SHARES
- SECTION 254H RESOLUTION TO CONVERT SHARES INTO LARGER OR SMALLER NUMBER
- PART 2H.2 - REDEMPTION OF REDEEMABLE PREFERENCE SHARES
- SECTION 254J REDEMPTION MUST BE IN ACCORDANCE WITH TERMS OF ISSUE
- SECTION 254K OTHER REQUIREMENTS ABOUT REDEMPTION
- SECTION 254L CONSEQUENCES OF CONTRAVENING SECTION 254J OR 254K
- PART 2H.3 - PARTLY-PAID SHARES
- SECTION 254M LIABILITY ON PARTLY-PAID SHARES
- SECTION 254N CALLS MAY BE LIMITED TO WHEN COMPANY IS EXTERNALLY-ADMINISTERED
- SECTION 254P NO LIABILITY COMPANIES - CALLS ON SHARES
- SECTION 254Q NO LIABILITY COMPANIES - FORFEITURE AND SALE OF SHARES FOR FAILURE TO MEET CALL
- SECTION 254R NO LIABILITY COMPANIES - REDEMPTION OF FORFEITED SHARES
- PART 2H.4 - CAPITALISATION OF PROFITS
- SECTION 254S CAPITALISATION OF PROFITS
- PART 2H.5 - DIVIDENDS
- SECTION 254SA COMPANIES LIMITED BY GUARANTEE NOT TO PAY DIVIDENDS
- SECTION 254T CIRCUMSTANCES IN WHICH A DIVIDEND MAY BE PAID
- SECTION 254U OTHER PROVISIONS ABOUT PAYING DIVIDENDS (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 254V WHEN DOES THE COMPANY INCUR A DEBT?
- SECTION 254W DIVIDEND RIGHTS
- SECTION 254WA APPLICATION OF THIS PART TO MCI MUTUAL ENTITIES
- PART 2H.6 - NOTICE REQUIREMENTS
- SECTION 254X NOTICE TO ASIC OF SHARE ISSUE
- SECTION 254Y NOTICE TO ASIC OF SHARE CANCELLATION
- CHAPTER 2J - TRANSACTIONS AFFECTING SHARE CAPITAL
- PART 2J.1 - SHARE CAPITAL REDUCTIONS AND SHARE BUY-BACKS
- SECTION 256A PURPOSE
- Division 1 - Reductions in share capital not otherwise authorised by law
- SECTION 256B COMPANY MAY MAKE REDUCTION NOT OTHERWISE AUTHORISED
- SECTION 256C SHAREHOLDER APPROVAL
- SECTION 256D CONSEQUENCES OF FAILING TO COMPLY WITH SECTION 256B
- SECTION 256E SIGNPOSTS TO OTHER RELEVANT PROVISIONS
- Division 2 - Share buy-backs
- SECTION 257A THE COMPANY'S POWER TO BUY BACK ITS OWN SHARES
- SECTION 257B BUY-BACK PROCEDURE - GENERAL
- SECTION 257C BUY-BACK PROCEDURE - SHAREHOLDER APPROVAL IF THE 10/12 LIMIT EXCEEDED
- SECTION 257D BUY-BACK PROCEDURE - SPECIAL SHAREHOLDER APPROVAL FOR SELECTIVE BUY-BACK
- SECTION 257E BUY-BACK PROCEDURE - LODGMENT OF OFFER DOCUMENTS WITH ASIC
- SECTION 257F NOTICE OF INTENDED BUY-BACK
- SECTION 257G BUY-BACK PROCEDURE - DISCLOSURE OF RELEVANT INFORMATION WHEN OFFER MADE
- SECTION 257H ACCEPTANCE OF OFFER AND TRANSFER OF SHARES TO THE COMPANY
- SECTION 257J SIGNPOSTS TO OTHER RELEVANT PROVISIONS
- Division 3 - Other share capital reductions
- SECTION 258A UNLIMITED COMPANIES
- SECTION 258B RIGHT TO OCCUPY OR USE REAL PROPERTY
- SECTION 258C BROKERAGE OR COMMISSION
- SECTION 258D CANCELLATION OF FORFEITED SHARES
- SECTION 258E OTHER SHARE CANCELLATIONS
- SECTION 258F REDUCTIONS BECAUSE OF LOST CAPITAL
- Division 4 - Application of this Part to MCI mutual entities
- SECTION 258G APPLICATION OF THIS PART TO MCI MUTUAL ENTITIES
- PART 2J.2 - SELF-ACQUISITION AND CONTROL OF SHARES
- SECTION 259A DIRECTLY ACQUIRING OWN SHARES
- SECTION 259B TAKING SECURITY OVER OWN SHARES OR SHARES IN HOLDING COMPANY
- SECTION 259C ISSUING OR TRANSFERRING SHARES TO CONTROLLED ENTITY
- SECTION 259D COMPANY CONTROLLING ENTITY THAT HOLDS SHARES IN IT
- SECTION 259E WHEN A COMPANY CONTROLS AN ENTITY
- SECTION 259F CONSEQUENCES OF FAILING TO COMPLY WITH SECTION 259A OR 259B
- PART 2J.3 - FINANCIAL ASSISTANCE
- SECTION 260A FINANCIAL ASSISTANCE BY A COMPANY FOR ACQUIRING SHARES IN THE COMPANY OR A HOLDING COMPANY
- SECTION 260B SHAREHOLDER APPROVAL
- SECTION 260C EXEMPTED FINANCIAL ASSISTANCE
- SECTION 260D CONSEQUENCES OF FAILING TO COMPLY WITH SECTION 260A
- SECTION 260DA APPLICATION OF THIS PART TO MCI MUTUAL ENTITIES
- PART 2J.4 - INTERACTION WITH GENERAL DIRECTORS' DUTIES
- SECTION 260E GENERAL DUTIES STILL APPLY
- CHAPTER 2K - CHARGES (REPEALED)
- CHAPTER 2L - DEBENTURES
- PART 2L.1 - REQUIREMENT FOR TRUST DEED AND TRUSTEE
- SECTION 283AA REQUIREMENT FOR TRUST DEED AND TRUSTEE
- SECTION 283AB TRUST DEED
- SECTION 283AC WHO CAN BE A TRUSTEE
- SECTION 283AD EXISTING TRUSTEE CONTINUES TO ACT UNTIL NEW TRUSTEE TAKES OFFICE
- SECTION 283AE REPLACEMENT OF TRUSTEE
- PART 2L.2 - DUTIES OF BORROWER
- SECTION 283BA DUTIES OF BORROWER
- SECTION 283BB GENERAL DUTIES
- SECTION 283BC DUTY TO NOTIFY ASIC OF INFORMATION RELATED TO TRUSTEE
- SECTION 283BCA REGISTER RELATING TO TRUSTEES FOR DEBENTURE HOLDERS
- SECTION 283BD DUTY TO REPLACE TRUSTEE
- SECTION 283BE DUTY TO INFORM TRUSTEE ABOUT SECURITY INTERESTS
- SECTION 283BF DUTY TO GIVE TRUSTEE AND ASIC QUARTERLY REPORTS
- SECTION 283BG EXCEPTIONS TO BORROWER ' S DUTY TO REPORT TO TRUSTEE AND ASIC
- SECTION 283BH HOW DEBENTURES MAY BE DESCRIBED
- SECTION 283BHA ADDITIONAL REQUIREMENTS FOR DESCRIBING DEBENTURES AS SECURED NOTES
- SECTION 283BI OFFENCES FOR FAILURE TO COMPLY WITH STATUTORY DUTIES
- PART 2L.3 - DUTIES OF GUARANTOR
- SECTION 283CA DUTIES OF GUARANTOR
- SECTION 283CB GENERAL DUTIES
- SECTION 283CC DUTY TO INFORM TRUSTEE ABOUT SECURITY INTERESTS
- SECTION 283CD EXCEPTIONS TO GUARANTOR ' S DUTY TO INFORM TRUSTEE
- SECTION 283CE OFFENCES FOR FAILURE TO COMPLY WITH STATUTORY DUTIES
- PART 2L.4 - TRUSTEE
- SECTION 283DA TRUSTEE ' S DUTIES
- SECTION 283DB EXEMPTIONS AND INDEMNIFICATIONS OF TRUSTEE FROM LIABILITY
- SECTION 283DC INDEMNITY
- PART 2L.5 - MEETINGS OF DEBENTURE HOLDERS
- SECTION 283EA BORROWER'S DUTY TO CALL MEETING
- SECTION 283EB TRUSTEE'S POWER TO CALL MEETING
- SECTION 283EC COURT MAY ORDER MEETING
- PART 2L.6 - CIVIL LIABILITY
- SECTION 283F CIVIL LIABILITY FOR CONTRAVENING THIS CHAPTER
- PART 2L.7 - ASIC POWERS
- SECTION 283GA ASIC'S POWER TO EXEMPT AND MODIFY
- SECTION 283GB ASIC MAY APPROVE BODY CORPORATE TO BE TRUSTEE
- PART 2L.8 - COURT
- SECTION 283HA GENERAL COURT POWER TO GIVE DIRECTIONS AND DETERMINE QUESTIONS
- SECTION 283HB SPECIFIC COURT POWERS
- PART 2L.9 - LOCATION OF OTHER DEBENTURE PROVISIONS
- SECTION 283I SIGNPOST TO OTHER DEBENTURE PROVISIONS
- CHAPTER 2M - FINANCIAL REPORTS, SUSTAINABILITY REPORTS AND AUDIT
- PART 2M.1 - OVERVIEW
- SECTION 285 OVERVIEW OF OBLIGATIONS UNDER THIS CHAPTER
- SECTION 285A OVERVIEW OF OBLIGATIONS OF COMPANIES LIMITED BY GUARANTEE
- PART 2M.2 - FINANCIAL AND SUSTAINABILITY RECORDS
- SECTION 286 OBLIGATION TO KEEP FINANCIAL RECORDS
- SECTION 286A OBLIGATION TO KEEP SUSTAINABILITY RECORDS
- SECTION 287 LANGUAGE REQUIREMENTS
- SECTION 288 PHYSICAL FORMAT
- SECTION 289 PLACE WHERE FINANCIAL RECORDS ARE KEPT
- SECTION 289A PLACE WHERE SUSTAINABILITY RECORDS ARE KEPT
- SECTION 290 DIRECTOR ACCESS
- SECTION 291 SIGNPOSTS TO OTHER RELEVANT PROVISIONS
- PART 2M.3 - FINANCIAL AND SUSTAINABILITY REPORTING
- Division 1 - Annual financial reports, sustainability reports and directors ' reports
- SECTION 292 WHO HAS TO PREPARE ANNUAL FINANCIAL REPORTS AND DIRECTORS ' REPORTS
- SECTION 292A WHO HAS TO PREPARE ANNUAL SUSTAINABILITY REPORTS
- SECTION 293 SMALL PROPRIETARY COMPANY - SHAREHOLDER DIRECTION
- SECTION 294 SMALL PROPRIETARY COMPANY - ASIC DIRECTION
- SECTION 294A SMALL COMPANY LIMITED BY GUARANTEE - MEMBER DIRECTION
- SECTION 294B SMALL COMPANY LIMITED BY GUARANTEE - ASIC DIRECTION
- SECTION 295 CONTENTS OF ANNUAL FINANCIAL REPORT
- SECTION 295A DECLARATION IN RELATION TO LISTED ENTITY ' S FINANCIAL STATEMENTS BY CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL OFFICER
- SECTION 296 COMPLIANCE WITH ACCOUNTING STANDARDS AND REGULATIONS
- SECTION 296A CONTENTS OF ANNUAL SUSTAINABILITY REPORT
- SECTION 296B CONTENTS OF CLIMATE STATEMENTS - STATEMENT ABOUT THERE BEING NO FINANCIAL RISKS OR OPPORTUNITIES RELATING TO CLIMATE
- SECTION 296C COMPLIANCE WITH SUSTAINABILITY STANDARDS ETC.
- SECTION 296D CLIMATE STATEMENT DISCLOSURES
- SECTION 296E ASIC DIRECTIONS
- SECTION 297 TRUE AND FAIR VIEW
- SECTION 298 ANNUAL DIRECTORS ' REPORT
- SECTION 299 ANNUAL DIRECTORS ' REPORT - GENERAL INFORMATION
- SECTION 299A ANNUAL DIRECTORS ' REPORT - ADDITIONAL GENERAL REQUIREMENTS FOR LISTED ENTITIES
- SECTION 300 ANNUAL DIRECTORS ' REPORT - SPECIFIC INFORMATION
- SECTION 300A ANNUAL DIRECTORS ' REPORT - SPECIFIC INFORMATION TO BE PROVIDED BY LISTED COMPANIES
- SECTION 300B ANNUAL DIRECTORS ' REPORT - COMPANIES LIMITED BY GUARANTEE
- SECTION 300C ANNUAL DIRECTORS ' REPORT - REGISTRABLE SUPERANNUATION ENTITIES
- SECTION 301 AUDIT OF ANNUAL FINANCIAL REPORT
- SECTION 301A AUDIT OF ANNUAL SUSTAINABILITY REPORT
- Division 2 - Half-year financial report and directors ' report
- SECTION 302 DISCLOSING ENTITY MUST PREPARE HALF-YEAR FINANCIAL REPORT AND DIRECTORS ' REPORT
- SECTION 303 CONTENTS OF HALF-YEAR FINANCIAL REPORT
- SECTION 304 COMPLIANCE WITH ACCOUNTING STANDARDS AND REGULATIONS
- SECTION 305 TRUE AND FAIR VIEW
- SECTION 306 HALF-YEAR DIRECTORS ' REPORT
- Division 3 - Audits and auditor ' s reports
- SECTION 307 AUDIT OF FINANCIAL REPORT
- SECTION 307A AUDIT OF FINANCIAL REPORT TO BE CONDUCTED IN ACCORDANCE WITH AUDITING STANDARDS
- SECTION 307AA AUDIT OF SUSTAINABILITY REPORT
- SECTION 307AB AUDIT OF SUSTAINABILITY REPORT TO BE CONDUCTED IN ACCORDANCE WITH AUDITING STANDARDS
- SECTION 307B WORKING PAPERS FOR AUDIT OF FINANCIAL OR SUSTAINABILITY REPORT TO BE RETAINED FOR 7 YEARS
- SECTION 307C AUDITOR ' S INDEPENDENCE DECLARATION
- SECTION 308 AUDITOR ' S REPORT ON ANNUAL FINANCIAL REPORT
- SECTION 309 AUDITOR ' S REPORT ON HALF-YEAR FINANCIAL REPORT
- SECTION 309A AUDITOR ' S REPORT ON SUSTAINABILITY REPORT
- SECTION 310 AUDITOR ' S POWER TO OBTAIN INFORMATION
- SECTION 311 REPORTING TO ASIC
- SECTION 312 ASSISTING AUDITOR
- SECTION 313 SPECIAL PROVISIONS ON AUDIT OF DEBENTURE ISSUERS AND GUARANTORS
- Division 4 - Annual financial and sustainability reporting to members
- SECTION 314 ANNUAL FINANCIAL AND SUSTAINABILITY REPORTING BY COMPANIES, REGISTERED SCHEMES AND DISCLOSING ENTITIES TO MEMBERS
- SECTION 314AA ANNUAL FINANCIAL REPORTING BY REGISTRABLE SUPERANNUATION ENTITIES TO MEMBERS
- SECTION 314A ANNUAL FINANCIAL REPORTING BY NOTIFIED FOREIGN PASSPORT FUNDS TO AUSTRALIAN MEMBERS
- SECTION 315 DEADLINE FOR REPORTING TO MEMBERS
- SECTION 316 CHOICES FOR MEMBERS OF COMPANIES, REGISTERED SCHEMES OR DISCLOSING ENTITIES
- SECTION 316AA CHOICES FOR AUSTRALIAN MEMBERS OF NOTIFIED FOREIGN PASSPORT FUNDS
- SECTION 316A ANNUAL FINANCIAL AND SUSTAINABILITY REPORTING TO MEMBERS OF COMPANIES LIMITED BY GUARANTEE
- SECTION 316B ANNUAL SUSTAINABILITY REPORTING TO THE PUBLIC BY OTHER ENTITIES
- SECTION 317 CONSIDERATION OF REPORTS AT AGM
- SECTION 318 ADDITIONAL REPORTING BY DEBENTURE ISSUERS
- Division 5 - Lodging reports with ASIC
- SECTION 319 LODGMENT OF ANNUAL REPORTS WITH ASIC
- SECTION 320 LODGMENT OF HALF-YEAR REPORTS WITH ASIC
- SECTION 321 ASIC POWER TO REQUIRE LODGMENT
- SECTION 322 RELODGMENT IF FINANCIAL REPORTS, SUSTAINABILITY REPORTS OR DIRECTORS ' REPORTS AMENDED AFTER LODGMENT
- Division 6 - Special provisions about consolidated financial and climate statements
- SECTION 323 DIRECTORS AND OFFICERS OF CONTROLLED ENTITY TO GIVE INFORMATION
- SECTION 323A AUDITOR ' S POWER TO OBTAIN INFORMATION FROM CONTROLLED ENTITY
- SECTION 323B CONTROLLED ENTITY TO ASSIST AUDITOR
- SECTION 323C APPLICATION OF DIVISION TO ENTITY THAT HAS CEASED TO BE CONTROLLED
- Division 7 - Financial years and half-years
- SECTION 323D MEANING OF FINANCIAL YEAR AND HALF-YEAR - COMPANY, REGISTERED SCHEME AND DISCLOSING ENTITY
- SECTION 323DAAA FINANCIAL YEARS FOR REGISTRABLE SUPERANNUATION ENTITIES
- SECTION 323DAA MEANING OF FINANCIAL YEAR - NOTIFIED FOREIGN PASSPORT FUND
- Division 8 - Disclosure by listed companies of information filed overseas
- SECTION 323DA LISTED COMPANIES TO DISCLOSE INFORMATION FILED OVERSEAS
- Division 9 - Disclosure by listed entities of information about jobkeeper payments
- SECTION 323DB REQUIREMENT TO NOTIFY MARKET OPERATOR ABOUT JOBKEEPER PAYMENTS
- SECTION 323DC ASIC MUST PUBLISH REPORT
- PART 2M.4 - APPOINTMENT AND REMOVAL OF AUDITORS
- Division 1 - Entities that may be appointed as an auditor for a company, registered scheme or registrable superannuation entity
- SECTION 324 QUALIFICATIONS OF AUDITORS
- SECTION 324AA INDIVIDUAL AUDITORS, AUDIT FIRMS AND AUTHORISED AUDIT COMPANIES
- SECTION 324AB EFFECT OF APPOINTING FIRM AS AUDITOR - GENERAL
- SECTION 324AC EFFECT OF APPOINTING FIRM AS AUDITOR - RECONSTITUTION OF FIRM
- SECTION 324AD EFFECT OF APPOINTING COMPANY AS AUDITOR
- SECTION 324AE MEANING OF PROFESSIONAL MEMBER - AUDIT TEAM
- SECTION 324AF MEANING OF LEAD AUDITOR AND REVIEW AUDITOR
- Division 2 - Registration requirements
- SECTION 324BA REGISTRATION REQUIREMENTS FOR APPOINTMENT OF INDIVIDUAL AS AUDITOR
- SECTION 324BB REGISTRATION REQUIREMENTS FOR APPOINTMENT OF FIRM AS AUDITOR
- SECTION 324BC REGISTRATION REQUIREMENTS FOR APPOINTMENT OF COMPANY AS AUDITOR
- SECTION 324BD EXCEPTION FROM REGISTRATION REQUIREMENT FOR PROPRIETARY COMPANY
- SECTION 324BE EXCEPTION FROM REGISTRATION REQUIREMENT - REVIEWING FINANCIAL REPORTS OF COMPANIES LIMITED BY GUARANTEE
- Division 2A - Eligibility requirements for auditors of registrable superannuation entities
- SECTION 324BF ELIGIBILITY REQUIREMENTS FOR AUDITORS OF REGISTRABLE SUPERANNUATION ENTITIES
- Division 3 - Auditor independence
- Subdivision A - General requirement
- SECTION 324CA GENERAL REQUIREMENT FOR AUDITOR INDEPENDENCE - AUDITORS
- SECTION 324CB GENERAL REQUIREMENT FOR AUDITOR INDEPENDENCE - MEMBER OF AUDIT FIRM
- SECTION 324CC GENERAL REQUIREMENT FOR AUDITOR INDEPENDENCE - DIRECTOR OF AUDIT COMPANY
- SECTION 324CD CONFLICT OF INTEREST SITUATION
- Subdivision B - Specific requirements
- SECTION 324CE AUDITOR INDEPENDENCE - SPECIFIC REQUIREMENTS FOR INDIVIDUAL AUDITOR
- SECTION 324CF AUDITOR INDEPENDENCE - SPECIFIC REQUIREMENTS FOR AUDIT FIRM
- SECTION 324CG AUDITOR INDEPENDENCE - SPECIFIC REQUIREMENTS FOR AUDIT COMPANY
- SECTION 324CH RELEVANT RELATIONSHIPS
- SECTION 324CI SPECIAL RULE FOR RETIRING PARTNERS OF AUDIT FIRMS AND RETIRING DIRECTORS OF AUTHORISED AUDIT COMPANIES
- SECTION 324CJ SPECIAL RULE FOR RETIRING PROFESSIONAL MEMBER OF AUDIT COMPANY
- SECTION 324CK MULTIPLE FORMER AUDIT FIRM PARTNERS OR AUDIT COMPANY DIRECTORS
- Subdivision C - Common provisions
- SECTION 324CL PEOPLE WHO ARE REGARDED AS OFFICERS OF A COMPANY FOR THE PURPOSES OF THIS DIVISION
- SECTION 324CLA EXTENDED MEANING OF OFFICER OF A REGISTRABLE SUPERANNUATION ENTITY
- Division 4 - Deliberately disqualifying auditor
- SECTION 324CM DELIBERATELY DISQUALIFYING AUDITOR
- Division 5 - Auditor rotation for listed companies, listed registered schemes and registrable superannuation entities
- SECTION 324DA LIMITED TERM FOR ELIGIBILITY TO PLAY SIGNIFICANT ROLE IN AUDIT OF A LISTED COMPANY, LISTED REGISTERED SCHEME OR REGISTRABLE SUPERANNUATION ENTITY
- SECTION 324DAA DIRECTORS MAY EXTEND ELIGIBILITY TERM
- SECTION 324DAB REQUIREMENTS FOR DIRECTORS TO APPROVE EXTENSION OF ELIGIBILITY TERM
- SECTION 324DAC NOTIFICATIONS ABOUT APPROVAL TO EXTEND ELIGIBILITY TERM
- SECTION 324DAD APPROVAL INEFFECTIVE UNLESS IT COMPLIES WITH REQUIREMENTS
- SECTION 324DB INDIVIDUAL ' S ROTATION OBLIGATION
- SECTION 324DC AUDIT FIRM ' S ROTATION OBLIGATION
- SECTION 324DD AUDIT COMPANY ' S ROTATION OBLIGATION
- Division 6 - Appointment, removal and fees of auditors for companies
- Subdivision A - Appointment of company auditors
- SECTION 325 APPOINTMENT OF AUDITOR BY PROPRIETARY COMPANY
- SECTION 327 APPOINTMENT OF AUDITORS
- SECTION 327A PUBLIC COMPANY AUDITOR (INITIAL APPOINTMENT OF AUDITOR)
- SECTION 327B PUBLIC COMPANY AUDITOR (ANNUAL APPOINTMENTS AT AGMs TO FILL VACANCIES)
- SECTION 327C PUBLIC COMPANY AUDITOR (APPOINTMENT TO FILL CASUAL VACANCY)
- SECTION 327D APPOINTMENT TO REPLACE AUDITOR REMOVED FROM OFFICE
- SECTION 327E ASIC MAY APPOINT A COMPANY AUDITOR IF AUDITOR REMOVED BUT NOT REPLACED
- SECTION 327F ASIC ' S GENERAL POWER TO APPOINT A COMPANY AUDITOR
- SECTION 327G RESTRICTIONS ON ASIC ' S POWERS TO APPOINT A COMPANY AUDITOR
- SECTION 327H EFFECT ON APPOINTMENT OF PUBLIC COMPANY AUDITOR OF COMPANY BEGINNING TO BE CONTROLLED BY A CORPORATION
- SECTION 327I REMAINING AUDITORS MAY ACT DURING VACANCY
- SECTION 328 NOMINATION OF AUDITORS
- SECTION 328A AUDITOR ' S CONSENT TO APPOINTMENT
- SECTION 328B NOMINATION OF AUDITOR
- SECTION 328C PUBLIC COMPANY AUDITOR (APPOINTMENT OF AUDITOR WHEN CROWD-SOURCED FUNDING CONCESSION ENDS)
- SECTION 328D PUBLIC COMPANY AUDITOR (APPOINTMENT OF AUDITOR WHEN $3 MILLION RAISED USING CROWD-SOURCED FUNDING)
- SECTION 328E CROWD-SOURCED FUNDING - PERIOD OF OFFICE
- Subdivision B - Removal and resignation of company auditors
- SECTION 329 REMOVAL AND RESIGNATION OF AUDITORS
- SECTION 330 EFFECT OF WINDING UP ON OFFICE OF AUDITOR
- Subdivision C - Company auditors' fees and expenses
- SECTION 331 FEES AND EXPENSES OF AUDITORS
- Division 7 - Appointment, removal and fees of auditors for registered schemes
- Subdivision A - Appointment of registered scheme auditors
- SECTION 331AA QUALIFICATIONS OF AUDITORS
- SECTION 331AB APPOINTMENT OF AUDITORS
- SECTION 331AAA REGISTERED SCHEME AUDITOR (INITIAL APPOINTMENT OF AUDITOR)
- SECTION 331AAB REGISTERED SCHEME AUDITOR (APPOINTMENT TO FILL VACANCY)
- SECTION 331AAC ASIC'S POWER TO APPOINT REGISTERED SCHEME AUDITOR
- SECTION 331AAD REMAINING AUDITORS MAY ACT DURING VACANCY
- Subdivision B - Removal and resignation of registered scheme auditors
- SECTION 331AC REMOVAL AND RESIGNATION OF AUDITORS
- SECTION 331AD EFFECT OF WINDING UP ON OFFICE OF AUDITOR
- Subdivision C - Fees and expenses of auditors
- SECTION 331AE FEES AND EXPENSES OF AUDITORS
- Division 8 - Appointment, removal and fees of auditors of registrable superannuation entities
- Subdivision A - Appointment of registrable superannuation entity auditors
- SECTION 331AF REGISTRABLE SUPERANNUATION ENTITY AUDITOR (INITIAL APPOINTMENT OF AUDITOR)
- SECTION 331AG REGISTRABLE SUPERANNUATION ENTITY AUDITOR (APPOINTMENT TO FILL VACANCY)
- SECTION 331AH REGISTRABLE SUPERANNUATION ENTITY AUDITOR (DURATION OF APPOINTMENT)
- SECTION 331AJ ASIC ' S POWER TO APPOINT AUDITOR OF A REGISTRABLE SUPERANNUATION ENTITY
- Subdivision B - Removal and resignation of registrable superannuation entity auditors
- SECTION 331AK REMOVAL AND RESIGNATION OF AUDITORS
- Subdivision C - Fees and expenses of auditors
- SECTION 331AL FEES AND EXPENSES OF AUDITORS
- PART 2M.4A - ANNUAL TRANSPARENCY REPORTS FOR AUDITORS
- SECTION 332 MEANING OF TRANSPARENCY REPORTING AUDITOR AND TRANSPARENCY REPORTING YEAR
- SECTION 332A TRANSPARENCY REPORTING AUDITORS MUST PUBLISH ANNUAL TRANSPARENCY REPORTS
- SECTION 332B CONTENT OF ANNUAL TRANSPARENCY REPORT
- SECTION 332C EXTENSION OF PERIOD FOR PUBLICATION OF ANNUAL TRANSPARENCY REPORT
- SECTION 332D EXEMPTION ORDERS - APPLICATIONS BY TRANSPARENCY REPORTING AUDITORS
- SECTION 332E EXEMPTION ORDERS - CLASS ORDERS FOR TRANSPARENCY REPORTING AUDITORS
- SECTION 332F EXEMPTION ORDERS - CRITERIA FOR ORDERS
- SECTION 332G OFFENCES BY MEMBERS OF AUDIT FIRM
- PART 2M.5 - ACCOUNTING, SUSTAINABILITY AND AUDITING STANDARDS
- SECTION 334 ACCOUNTING STANDARDS
- SECTION 335 EQUITY ACCOUNTING
- SECTION 336 AUDITING STANDARDS
- SECTION 336A SUSTAINABILITY STANDARDS
- SECTION 337 INTERPRETATION OF ACCOUNTING, AUDITING AND SUSTAINABILITY STANDARDS
- SECTION 338 EVIDENCE OF TEXT OF ACCOUNTING, AUDITING OR SUSTAINABILITY STANDARD
- SECTION 339 EVIDENCE OF TEXT OF ACCOUNTING STANDARD
- PART 2M.6 - EXEMPTIONS AND MODIFICATIONS
- SECTION 340 EXEMPTION ORDERS - COMPANIES, REGISTERED SCHEMES, REGISTRABLE SUPERANNUATION ENTITIES AND DISCLOSING ENTITIES
- SECTION 340A EXEMPTION ORDERS - NOTIFIED FOREIGN PASSPORT FUNDS
- SECTION 341 EXEMPTION ORDERS - CLASS ORDERS FOR COMPANIES, REGISTERED SCHEMES, REGISTRABLE SUPERANNUATION ENTITIES AND DISCLOSING ENTITIES
- SECTION 341A EXEMPTION ORDERS - CLASS ORDERS FOR NOTIFIED FOREIGN PASSPORT FUNDS
- SECTION 342 EXEMPTION ORDERS - CRITERIA FOR ORDERS FOR COMPANIES, REGISTERED SCHEMES, REGISTRABLE SUPERANNUATION ENTITIES, NOTIFIED FOREIGN PASSPORT FUNDS AND DISCLOSING ENTITIES
- SECTION 342AA EXEMPTION ORDERS - NON-AUDITOR MEMBERS AND FORMER MEMBERS OF AUDIT FIRMS; FORMER EMPLOYEES OF AUDIT COMPANIES
- SECTION 342AB EXEMPTION ORDERS - CLASS ORDERS FOR NON-AUDITOR MEMBERS ETC.
- SECTION 342AC EXEMPTION ORDERS - CRITERIA FOR ORDERS FOR NON-AUDITOR MEMBERS ETC.
- SECTION 342A ASIC ' S POWER TO MODIFY THE OPERATION OF SECTION 324DA
- SECTION 342B AUDITOR TO NOTIFY COMPANY, REGISTERED SCHEME OR REGISTRABLE SUPERANNUATION ENTITY OF SECTION 342A DECLARATION
- SECTION 343 MODIFICATION BY REGULATIONS
- SECTION 343A MINISTER MAY APPLY THE CHAPTER TO NOTIFIED FOREIGN PASSPORT FUNDS
- PART 2M.7 - SANCTIONS FOR CONTRAVENTIONS OF CHAPTER
- SECTION 344 CONTRAVENTION OF PART 2M.2 OR 2M.3, OR OF CERTAIN PROVISIONS OF PART 2M.4
- PART 2M.8 - ADDITIONAL PROVISIONS RELATING TO REGISTRABLE SUPERANNUATION ENTITIES
- SECTION 345AAA OBLIGATIONS OF REGISTRABLE SUPERANNUATION ENTITIES
- SECTION 345AAB NOTICES ETC. GIVEN TO RSE LICENSEES
- SECTION 345AAC DIRECTORS OF REGISTRABLE SUPERANNUATION ENTITIES
- SECTION 345AAD OFFICERS OF REGISTRABLE SUPERANNUATION ENTITIES
- CHAPTER 2N - UPDATING ASIC INFORMATION ABOUT COMPANIES, REGISTERED SCHEMES AND NOTIFIED FOREIGN PASSPORT FUNDS
- PART 2N.1 - REVIEW DATE
- SECTION 345A MEANING OF REVIEW DATE
- SECTION 345B COMPANY, RESPONSIBLE ENTITY OR OPERATOR MAY CHANGE REVIEW DATE
- SECTION 345C WHEN CHOICE HAS EFFECT
- PART 2N.2 - EXTRACT OF PARTICULARS
- SECTION 346A ASIC MUST GIVE AN EXTRACT OF PARTICULARS EACH YEAR
- SECTION 346B ASIC MAY ASK QUESTIONS
- SECTION 346C REQUIREMENTS IN RELATION TO AN EXTRACT OF PARTICULARS
- PART 2N.3 - SOLVENCY RESOLUTION
- SECTION 347A DIRECTORS MUST PASS A SOLVENCY RESOLUTION AFTER EACH REVIEW DATE
- SECTION 347B NOTICE TO ASIC
- SECTION 347C PAYMENT OF REVIEW FEE IS TAKEN TO BE A REPRESENTATION BY THE DIRECTORS THAT THE COMPANY IS SOLVENT
- PART 2N.4 - RETURN OF PARTICULARS
- SECTION 348A ASIC MAY GIVE A RETURN OF PARTICULARS
- SECTION 348B ASIC MAY ASK QUESTIONS
- SECTION 348C ASIC MAY REQUIRE A SOLVENCY RESOLUTION AND STATEMENT
- SECTION 348D GENERAL REQUIREMENTS IN RELATION TO A RETURN OF PARTICULARS
- PART 2N.5 - NOTICE BY PROPRIETARY COMPANIES OF CHANGES TO ULTIMATE HOLDING COMPANY
- SECTION 349A PROPRIETARY COMPANIES MUST NOTIFY ASIC OF CHANGES TO ULTIMATE HOLDING COMPANY
- SECTION 349B ANOTHER COMPANY BECOMES AN ULTIMATE HOLDING COMPANY
- SECTION 349C A COMPANY CEASES TO BE AN ULTIMATE HOLDING COMPANY
- SECTION 349D ULTIMATE HOLDING COMPANY CHANGES ITS NAME
- CHAPTER 2P - LODGMENTS WITH ASIC
- SECTION 350 FORMS FOR DOCUMENTS TO BE LODGED WITH ASIC
- SECTION 351 SIGNING DOCUMENTS LODGED WITH ASIC
- SECTION 352 DOCUMENTS LODGED WITH ASIC ELECTRONICALLY
- SECTION 353 ELECTRONIC LODGMENT OF CERTAIN DOCUMENTS
- SECTION 354 TELEPHONE NOTICE OF CERTAIN CHANGES
- CHAPTER 5 - EXTERNAL ADMINISTRATION
- PART 5.1 - ARRANGEMENTS AND RECONSTRUCTIONS
- SECTION 410 INTERPRETATION
- SECTION 411 ADMINISTRATION OF COMPROMISES ETC.
- SECTION 412 INFORMATION AS TO COMPROMISE WITH CREDITORS
- SECTION 413 PROVISIONS FOR FACILITATING RECONSTRUCTION AND AMALGAMATION OF PART 5.1 BODIES
- SECTION 414 ACQUISITION OF SHARES OF SHAREHOLDERS DISSENTING FROM SCHEME OR CONTRACT APPROVED BY MAJORITY
- SECTION 415 NOTIFICATION OF APPOINTMENT OF SCHEME MANAGER AND POWER OF COURT TO REQUIRE REPORT
- SECTION 415A OUTCOME OF VOTING AT CREDITORS ' MEETING DETERMINED BY RELATED ENTITY - COURT POWERS
- SECTION 415B INTERIM ORDER ON APPLICATION UNDER SECTION 415A
- SECTION 415C ORDER UNDER SECTION 415A DOES NOT AFFECT ACT ALREADY DONE PURSUANT TO RESOLUTION
- SECTION 415D STAY ON ENFORCING RIGHTS MERELY BECAUSE OF A PROCEEDING UNDER THIS PART ETC.
- SECTION 415E LIFTING THE STAY
- SECTION 415F ORDER FOR RIGHTS TO BE ENFORCEABLE ONLY WITH LEAVE OF THE COURT
- SECTION 415FA SELF-EXECUTING PROVISIONS
- SECTION 415G WHEN OTHER LAWS PREVAIL - CERTAIN OTHER COMMONWEALTH ACTS
- PART 5.2 - RECEIVERS, AND OTHER CONTROLLERS, OF PROPERTY OF CORPORATIONS
- SECTION 416 MEANING OF PROPERTY AND RECEIVER
- SECTION 417 APPLICATION OF PART
- SECTION 418 PERSONS NOT TO ACT AS RECEIVERS
- SECTION 418A COURT MAY DECLARE WHETHER CONTROLLER IS VALIDLY ACTING
- SECTION 419 LIABILITY OF CONTROLLER
- SECTION 419A LIABILITY OF CONTROLLER UNDER PRE-EXISTING AGREEMENT ABOUT PROPERTY USED BY CORPORATION
- SECTION 420 POWERS OF RECEIVER
- SECTION 420A CONTROLLER'S DUTY OF CARE IN EXERCISING POWER OF SALE
- SECTION 420B COURT MAY AUTHORISE MANAGING CONTROLLER TO DISPOSE OF PROPERTY DESPITE PRIOR SECURITY INTEREST
- SECTION 420C RECEIVER'S POWER TO CARRY ON CORPORATION'S BUSINESS DURING WINDING UP
- SECTION 421 MANAGING CONTROLLER'S DUTIES IN RELATION TO BANK ACCOUNTS AND FINANCIAL RECORDS
- SECTION 421A MANAGING CONTROLLER TO REPORT WITHIN 2 MONTHS ABOUT CORPORATION'S AFFAIRS
- SECTION 422 REPORTS BY RECEIVER OR MANAGING CONTROLLER
- SECTION 422A ANNUAL RETURN BY CONTROLLER
- SECTION 422B END OF CONTROL RETURN
- SECTION 422C TRANSFER OF BOOKS TO NEW CONTROLLER
- SECTION 422D TRANSFER OF BOOKS TO ASIC ETC.
- SECTION 423 SUPERVISION OF CONTROLLER
- SECTION 424 CONTROLLER MAY APPLY TO COURT
- SECTION 425 COURT ' S POWER TO FIX RECEIVER ' S REMUNERATION
- SECTION 426 CONTROLLER HAS QUALIFIED PRIVILEGE IN CERTAIN CASES
- SECTION 427 NOTIFICATION OF MATTERS RELATING TO CONTROLLER
- SECTION 428 STATEMENT THAT RECEIVER APPOINTED OR OTHER CONTROLLER ACTING
- SECTION 429 REPORTING OFFICERS TO REPORT TO CONTROLLER ABOUT CORPORATION ' S AFFAIRS
- SECTION 429A SPECIAL RULES FOR SCHEME PROPERTY
- SECTION 430 CONTROLLER MAY REQUIRE REPORTS
- SECTION 431 CONTROLLER MAY INSPECT BOOKS
- SECTION 432 AUDITING RETURNS BY CONTROLLERS
- SECTION 433 PROPERTY SUBJECT TO CIRCULATING SECURITY INTEREST - PAYMENT OF CERTAIN DEBTS TO HAVE PRIORITY
- SECTION 434 ENFORCING CONTROLLER ' S DUTY TO MAKE RETURNS
- SECTION 434A COURT MAY REMOVE CONTROLLER FOR MISCONDUCT
- SECTION 434B COURT MAY REMOVE REDUNDANT CONTROLLER
- SECTION 434C EFFECT OF SECTIONS 434A AND 434B
- SECTION 434D APPOINTMENT OF 2 OR MORE RECEIVERS OF PROPERTY OF A CORPORATION
- SECTION 434E APPOINTMENT OF 2 OR MORE RECEIVERS AND MANAGERS OF PROPERTY OF A CORPORATION
- SECTION 434F APPOINTMENT OF 2 OR MORE CONTROLLERS OF PROPERTY OF A CORPORATION
- SECTION 434G APPOINTMENT OF 2 OR MORE MANAGING CONTROLLERS OF PROPERTY OF A CORPORATION
- SECTION 434H REGULATIONS MAY PROVIDE FOR REPORTING TO ASIC
- SECTION 434J STAY ON ENFORCING RIGHTS MERELY BECAUSE OF THE APPOINTMENT OF A MANAGING CONTROLLER OF A CORPORATION ' S PROPERTY ETC.
- SECTION 434K LIFTING THE STAY
- SECTION 434L ORDER FOR RIGHTS TO BE ENFORCEABLE ONLY WITH LEAVE OF THE COURT
- SECTION 434LA SELF-EXECUTING PROVISIONS
- SECTION 434M WHEN OTHER LAWS PREVAIL - CERTAIN OTHER COMMONWEALTH ACTS
- PART 5.3A - ADMINISTRATION OF A COMPANY ' S AFFAIRS WITH A VIEW TO EXECUTING A DEED OF COMPANY ARRANGEMENT
- Division 1 - Preliminary
- SECTION 435A OBJECT OF PART
- SECTION 435B MEANING OF PROPERTY AND RECEIVER
- SECTION 435C WHEN ADMINISTRATION BEGINS AND ENDS
- Division 2 - Appointment of administrator and first meeting of creditors
- SECTION 436A COMPANY MAY APPOINT ADMINISTRATOR IF BOARD THINKS IT IS OR WILL BECOME INSOLVENT
- SECTION 436B LIQUIDATOR MAY APPOINT ADMINISTRATOR
- SECTION 436C SECURED PARTY MAY APPOINT ADMINISTRATOR
- SECTION 436D COMPANY ALREADY UNDER ADMINISTRATION
- SECTION 436DA DECLARATIONS BY ADMINISTRATOR - INDEMNITIES AND RELEVANT RELATIONSHIPS
- SECTION 436E PURPOSE AND TIMING OF FIRST MEETING OF CREDITORS
- SECTION 436F FUNCTIONS OF COMMITTEE OF CREDITORS
- SECTION 436G MEMBERSHIP OF COMMITTEE
- Division 3 - Administrator assumes control of company's affairs
- SECTION 437A ROLE OF ADMINISTRATOR
- SECTION 437B ADMINISTRATOR ACTS AS COMPANY'S AGENT
- SECTION 437C POWERS OF OTHER OFFICERS SUSPENDED
- SECTION 437D ONLY ADMINISTRATOR CAN DEAL WITH COMPANY'S PROPERTY
- SECTION 437E ORDER FOR COMPENSATION WHERE OFFICER INVOLVED IN VOID TRANSACTION
- SECTION 437F EFFECT OF ADMINISTRATION ON COMPANY'S MEMBERS
- Division 4 - Administrator investigates company's affairs
- SECTION 438A ADMINISTRATOR TO INVESTIGATE AFFAIRS AND CONSIDER POSSIBLE COURSES OF ACTION
- SECTION 438B DIRECTORS TO HELP ADMINISTRATOR
- SECTION 438C ADMINISTRATOR'S RIGHTS TO COMPANY'S BOOKS
- SECTION 438D REPORTS BY ADMINISTRATOR
- SECTION 438E ADMINISTRATOR ' S ACCOUNTS
- Division 5 - Meeting of creditors decides company's future
- SECTION 439A ADMINISTRATOR TO CONVENE MEETING AND INFORM CREDITORS
- SECTION 439B CONDUCT OF MEETING
- SECTION 439C WHAT CREDITORS MAY DECIDE
- Division 6 - Protection of company's property during administration
- SECTION 440A WINDING UP COMPANY
- SECTION 440B RESTRICTIONS ON EXERCISE OF THIRD PARTY PROPERTY RIGHTS
- SECTION 440BA LIENS AND PLEDGES
- SECTION 440BB DISTRESS FOR RENT MUST NOT BE CARRIED OUT
- SECTION 440C OWNER OR LESSOR CANNOT RECOVER PROPERTY USED BY COMPANY
- SECTION 440D STAY OF PROCEEDINGS
- SECTION 440E ADMINISTRATOR NOT LIABLE IN DAMAGES FOR REFUSING CONSENT
- SECTION 440F SUSPENSION OF ENFORCEMENT PROCESS
- SECTION 440G DUTIES OF COURT OFFICER IN RELATION TO PROPERTY OF COMPANY
- SECTION 440H LIS PENDENS TAKEN TO EXIST
- SECTION 440J ADMINISTRATION NOT TO TRIGGER LIABILITY OF DIRECTOR OR RELATIVE UNDER GUARANTEE OF COMPANY'S LIABILITY
- SECTION 440JA PROPERTY SUBJECT TO A BANKER ' S LIEN - EXEMPTION FROM THIS DIVISION
- Division 7 - Rights of secured party, owner or lessor
- Subdivision A - General
- SECTION 441 APPLICATION OF DIVISION
- Subdivision B - Property subject to security interests
- SECTION 441AA APPLICATION OF SUBDIVISION - PPSA SECURITY INTERESTS
- SECTION 441A SECURED PARTY ACTS BEFORE OR DURING DECISION PERIOD
- SECTION 441B WHERE ENFORCEMENT OF SECURITY INTEREST BEGINS BEFORE ADMINISTRATION
- SECTION 441C SECURITY INTEREST IN PERISHABLE PROPERTY
- SECTION 441D COURT MAY LIMIT POWERS OF SECURED PARTY ETC. IN RELATION TO SECURED PROPERTY
- SECTION 441E GIVING A NOTICE UNDER A SECURITY AGREEMENT ETC.
- SECTION 441EA SALE OF PROPERTY SUBJECT TO A POSSESSORY SECURITY INTEREST
- Subdivision C - Property not subject to security interests
- SECTION 441EB SCOPE OF SUBDIVISION
- SECTION 441F WHERE RECOVERY OF PROPERTY BEGINS BEFORE ADMINISTRATION
- SECTION 441G RECOVERING PERISHABLE PROPERTY
- SECTION 441H COURT MAY LIMIT POWERS OF RECEIVER ETC. IN RELATION TO PROPERTY USED BY COMPANY
- SECTION 441J GIVING A NOTICE UNDER AN AGREEMENT ABOUT PROPERTY
- SECTION 441JA SALE OF PROPERTY SUBJECT TO A LIEN OR PLEDGE
- SECTION 441K EFFECT OF DIVISION
- Division 8 - Powers of administrator
- SECTION 442A ADDITIONAL POWERS OF ADMINISTRATOR
- SECTION 442B DEALING WITH PROPERTY SUBJECT TO CIRCULATING SECURITY INTERESTS
- SECTION 442C WHEN ADMINISTRATOR MAY DISPOSE OF ENCUMBERED PROPERTY
- SECTION 442CA PROPERTY SUBJECT TO A POSSESSORY SECURITY INTEREST - INSPECTION OR EXAMINATION BY POTENTIAL PURCHASERS ETC.
- SECTION 442CB PROPERTY SUBJECT TO A SECURITY INTEREST OR TO A RETENTION OF TITLE CLAUSE - ADMINISTRATOR ' S DUTY OF CARE IN EXERCISING POWER OF SALE
- SECTION 442CC PROCEEDS OF SALE OF PROPERTY
- SECTION 442D ADMINISTRATOR ' S POWERS SUBJECT TO POWERS OF SECURED PARTY, RECEIVER OR CONTROLLER
- SECTION 442E ADMINISTRATOR HAS QUALIFIED PRIVILEGE
- SECTION 442F PROTECTION OF PERSONS DEALING WITH ADMINISTRATOR
- Division 9 - Administrator's liability and indemnity for debts of administration
- Subdivision A - Liability
- SECTION 443A GENERAL DEBTS
- SECTION 443B PAYMENTS FOR PROPERTY USED OR OCCUPIED BY, OR IN THE POSSESSION OF, THE COMPANY
- SECTION 443BA CERTAIN TAXATION LIABILITIES
- SECTION 443C ADMINISTRATOR NOT OTHERWISE LIABLE FOR COMPANY'S DEBTS
- Subdivision B - Indemnity
- SECTION 443D RIGHT OF INDEMNITY
- SECTION 443E RIGHT OF INDEMNITY HAS PRIORITY OVER OTHER DEBTS
- SECTION 443F LIEN TO SECURE INDEMNITY
- Division 10 - Execution and effect of deed of company arrangement
- SECTION 444A EFFECT OF CREDITORS' RESOLUTION
- SECTION 444B EXECUTION OF DEED
- SECTION 444C CREDITOR ETC. NOT TO ACT INCONSISTENTLY WITH DEED BEFORE ITS EXECUTION
- SECTION 444D EFFECT OF DEED ON CREDITORS
- SECTION 444DA GIVING PRIORITY TO ELIGIBLE EMPLOYEE CREDITORS
- SECTION 444DB SUPERANNUATION CONTRIBUTION DEBTS NOT ADMISSIBLE TO PROOF
- SECTION 444E PROTECTION OF COMPANY ' S PROPERTY FROM PERSONS BOUND BY DEED
- SECTION 444F COURT MAY LIMIT RIGHTS OF SECURED CREDITOR OR OWNER OR LESSOR
- SECTION 444G EFFECT OF DEED ON COMPANY, OFFICERS AND MEMBERS
- SECTION 444GA TRANSFER OF SHARES
- SECTION 444H EXTENT OF RELEASE OF COMPANY'S DEBTS
- SECTION 444J GUARANTEES AND INDEMNITIES
- Division 11 - Variation, termination and avoidance of deed
- SECTION 445A VARIATION OF DEED BY CREDITORS
- SECTION 445B COURT MAY CANCEL VARIATION
- SECTION 445C WHEN DEED TERMINATES
- SECTION 445CA WHEN CREDITORS MAY TERMINATE DEED
- SECTION 445D WHEN COURT MAY TERMINATE DEED
- SECTION 445E CREDITORS MAY TERMINATE DEED AND RESOLVE THAT COMPANY BE WOUND UP
- SECTION 445F MEETING OF CREDITORS TO CONSIDER PROPOSED VARIATION OR TERMINATION OF DEED
- SECTION 445FA NOTICE OF TERMINATION OF DEED
- SECTION 445G WHEN COURT MAY VOID OR VALIDATE DEED
- SECTION 445H EFFECT OF TERMINATION OR AVOIDANCE
- Division 11AA - Notification of contravention of deed
- SECTION 445HA NOTIFICATION OF CONTRAVENTION OF DEED OF COMPANY ARRANGEMENT
- Division 11A - Deed administrator ' s accounts [ CCH Note: Regulation 10.25.02(3)(g) (which was effective 1 March 2017) provides that the amendments made by No 11 of 2016, s 3, Sch 2[124] apply in relation to external administrations on and after 1 September 2017.] [ CCH Note : The next section is s 446A.]
- Division 12 - Transition to creditors ' voluntary winding up
- SECTION 446A ADMINISTRATOR BECOMES LIQUIDATOR IN CERTAIN CASES
- SECTION 446AA ADMINISTRATOR BECOMES LIQUIDATOR - ADDITIONAL CASES
- SECTION 446B REGULATIONS MAY PROVIDE FOR TRANSITION IN OTHER CASES
- SECTION 446C LIQUIDATOR MAY REQUIRE SUBMISSION OF A REPORT ABOUT THE COMPANY ' S AFFAIRS
- Division 13 - Powers of Court
- SECTION 447A GENERAL POWER TO MAKE ORDERS
- SECTION 447B ORDERS TO PROTECT CREDITORS DURING ADMINISTRATION
- SECTION 447C COURT MAY DECLARE WHETHER ADMINISTRATOR VALIDLY APPOINTED
- SECTION 447D ADMINISTRATOR MAY SEEK DIRECTIONS
- SECTION 447E SUPERVISION OF ADMINISTRATOR OF COMPANY OR DEED
- SECTION 447F EFFECT OF DIVISION
- Division 14 - Qualifications of administrators
- SECTION 448A APPOINTEE MUST CONSENT
- SECTION 448B ADMINISTRATOR MUST BE REGISTERED LIQUIDATOR
- SECTION 448C DISQUALIFICATION OF PERSON CONNECTED WITH COMPANY
- SECTION 448D DISQUALIFICATION OF INSOLVENT UNDER ADMINISTRATION
- Division 15 - Removal and replacement of administrator
- SECTION 449A APPOINTMENT OF ADMINISTRATOR CANNOT BE REVOKED
- SECTION 449B COURT MAY REMOVE ADMINISTRATOR
- SECTION 449C VACANCY IN OFFICE OF ADMINISTRATOR OF COMPANY
- SECTION 449CA DECLARATIONS BY ADMINISTRATOR - INDEMNITIES AND RELEVANT RELATIONSHIPS
- SECTION 449D VACANCY IN OFFICE OF ADMINISTRATOR OF DEED OF COMPANY ARRANGEMENT
- SECTION 449E REMUNERATION OF ADMINISTRATOR
- Division 16 - Notices about steps taken under Part
- SECTION 450A APPOINTMENT OF ADMINISTRATOR
- SECTION 450B EXECUTION OF DEED OF COMPANY ARRANGEMENT
- SECTION 450C FAILURE TO EXECUTE DEED OF COMPANY ARRANGEMENT
- SECTION 450D TERMINATION OF DEED OF COMPANY ARRANGEMENT
- SECTION 450E NOTICE IN PUBLIC DOCUMENTS ETC. OF COMPANY
- SECTION 450F EFFECT OF CONTRAVENTION OF THIS DIVISION
- Division 17 - Miscellaneous
- SECTION 451A APPOINTMENT OF 2 OR MORE ADMINISTRATORS OF COMPANY
- SECTION 451B APPOINTMENT OF 2 OR MORE ADMINISTRATORS OF DEED OF COMPANY ARRANGEMENT
- SECTION 451C EFFECT OF THINGS DONE DURING ADMINISTRATION OF COMPANY
- SECTION 451D TIME FOR DOING ACT DOES NOT RUN WHILE ACT PREVENTED BY THIS PART
- SECTION 451E STAY ON ENFORCING RIGHTS MERELY BECAUSE THE COMPANY IS UNDER ADMINISTRATION ETC.
- SECTION 451F LIFTING THE STAY
- SECTION 451G ORDER FOR RIGHTS TO BE ENFORCEABLE ONLY WITH LEAVE OF THE COURT
- SECTION 451GA SELF-EXECUTING PROVISIONS
- SECTION 451H WHEN OTHER LAWS PREVAIL - CERTAIN OTHER COMMONWEALTH ACTS
- PART 5.3B - RESTRUCTURING OF A COMPANY
- Division 1 - Preliminary
- SECTION 452A OBJECT OF THIS PART
- SECTION 452B MEANING OF PROPERTY
- Division 2 - Restructuring
- Subdivision A - When restructuring begins and ends
- SECTION 453A MEANING OF RESTRUCTURING
- Subdivision B - Appointment of restructuring practitioner
- SECTION 453B APPOINTING A RESTRUCTURING PRACTITIONER
- SECTION 453C ELIGIBILITY CRITERIA FOR RESTRUCTURING
- SECTION 453D DECLARATION BY RESTRUCTURING PRACTITIONER - RELEVANT RELATIONSHIPS
- Subdivision C - Role of the restructuring practitioner during restructuring
- SECTION 453E FUNCTIONS, DUTIES AND POWERS OF THE RESTRUCTURING PRACTITIONER
- SECTION 453F DIRECTORS TO HELP RESTRUCTURING PRACTITIONER
- SECTION 453G RESTRUCTURING PRACTITIONER ' S RIGHT TO INSPECT BOOKS HELD BY OTHER PERSONS
- SECTION 453H RESTRUCTURING PRACTITIONER ACTS AS COMPANY ' S AGENT
- SECTION 453J RESTRUCTURING PRACTITIONER MAY TERMINATE RESTRUCTURING
- Subdivision D - Conduct of company during restructuring
- SECTION 453K CONTROL OF COMPANY UNDER RESTRUCTURING
- SECTION 453L CONDUCTING THE BUSINESS OF THE COMPANY DURING RESTRUCTURING
- SECTION 453M ORDER FOR COMPENSATION WHERE DIRECTOR INVOLVED IN VOID TRANSACTION
- SECTION 453N EFFECT OF THINGS DONE DURING RESTRUCTURING OF COMPANY
- SECTION 453P EFFECT OF RESTRUCTURING ON COMPANY ' S MEMBERS
- Subdivision E - Effect on company etc. during restructuring
- SECTION 453Q WINDING UP COMPANY
- SECTION 453R RESTRICTIONS ON EXERCISE OF THIRD PARTY PROPERTY RIGHTS
- SECTION 453S STAY OF PROCEEDINGS
- SECTION 453T SUSPENSION OF ENFORCEMENT PROCESS
- SECTION 453U DUTIES OF COURT OFFICER IN RELATION TO PROPERTY OF COMPANY
- SECTION 453V LIS PENDENS TAKEN TO EXIST
- SECTION 453W RESTRUCTURING NOT TO TRIGGER LIABILITY OF DIRECTOR OR RELATIVE UNDER GUARANTEE OF COMPANY ' S LIABILITY
- SECTION 453X PROPERTY SUBJECT TO A BANKER ' S LIEN - EXEMPTION FROM THIS SUBDIVISION
- Subdivision F - Rights of secured party, owner or lessor during restructuring
- SECTION 454A APPLICATION OF SUBDIVISION
- SECTION 454B APPLICATION OF SECTIONS 454C TO 454H - PPSA SECURITY INTERESTS
- SECTION 454C SECURED PARTY ACTS BEFORE OR DURING DECISION PERIOD
- SECTION 454D WHERE ENFORCEMENT OF SECURITY INTEREST BEGINS BEFORE RESTRUCTURING
- SECTION 454E SECURITY INTEREST IN PERISHABLE PROPERTY
- SECTION 454F COURT MAY LIMIT POWERS OF SECURED PARTY ETC. IN RELATION TO SECURED PROPERTY
- SECTION 454G GIVING A NOTICE UNDER A SECURITY AGREEMENT ETC.
- SECTION 454H SALE OF PROPERTY SUBJECT TO A POSSESSORY SECURITY INTEREST
- SECTION 454J SCOPE OF SECTIONS 454K TO 454M
- SECTION 454K WHERE RECOVERY OF PROPERTY BEGINS BEFORE RESTRUCTURING
- SECTION 454L RECOVERING PERISHABLE PROPERTY
- SECTION 454M COURT MAY LIMIT POWERS OF RECEIVER ETC. IN RELATION TO PROPERTY USED BY COMPANY
- Subdivision G - Enforcement rights triggered by restructuring
- SECTION 454N STAY ON ENFORCING RIGHTS MERELY BECAUSE THE COMPANY IS UNDER RESTRUCTURING ETC.
- SECTION 454P LIFTING THE STAY ON ENFORCING RIGHTS
- SECTION 454Q ORDER FOR RIGHTS TO BE ENFORCEABLE ONLY WITH LEAVE OF THE COURT
- SECTION 454R SELF-EXECUTING PROVISIONS
- SECTION 454S WHEN OTHER LAWS PREVAIL - CERTAIN OTHER COMMONWEALTH ACTS
- Division 3 - Restructuring plan
- SECTION 455A PROPOSING A RESTRUCTURING PLAN
- SECTION 455B RESTRUCTURING PLAN
- Division 4 - The restructuring practitioner
- Subdivision A - Qualifications of restructuring practitioners
- SECTION 456A APPOINTEE MUST CONSENT
- SECTION 456B RESTRUCTURING PRACTITIONER MUST BE REGISTERED LIQUIDATOR
- SECTION 456C DISQUALIFICATION OF PERSON CONNECTED WITH COMPANY
- Subdivision B - Removal and replacement of restructuring practitioner
- SECTION 456D APPOINTMENT OF RESTRUCTURING PRACTITIONER CANNOT BE REVOKED
- SECTION 456E VACANCY IN OFFICE OF RESTRUCTURING PRACTITIONER FOR COMPANY
- SECTION 456F DECLARATIONS BY REPLACEMENT RESTRUCTURING PRACTITIONER - RELEVANT RELATIONSHIPS
- Subdivision C - Rights, obligations and liabilities in relation to the restructuring practitioner
- SECTION 456G RIGHTS, OBLIGATIONS AND LIABILITIES OF A COMPANY AND ITS OFFICERS IN RELATION TO THE RESTRUCTURING PRACTITIONER
- SECTION 456H NO LIABILITY FOR CONSENT ETC.
- SECTION 456J RIGHT OF INDEMNITY
- SECTION 456K RIGHT OF INDEMNITY HAS PRIORITY OVER OTHER DEBTS
- SECTION 456L LIEN TO SECURE INDEMNITY
- SECTION 456LA RESTRUCTURING PRACTITIONER HAS QUALIFIED PRIVILEGE
- SECTION 456LB PROTECTION OF PERSONS DEALING WITH RESTRUCTURING PRACTITIONER
- Subdivision D - Appointment of 2 or more restructuring practitioners
- SECTION 456M APPOINTMENT OF 2 OR MORE RESTRUCTURING PRACTITIONERS OF COMPANY
- SECTION 456N APPOINTMENT OF 2 OR MORE RESTRUCTURING PRACTITIONERS OF RESTRUCTURING PLAN
- Division 5 - Information, reports, documents etc.
- SECTION 457A REGULATIONS MAY DEAL WITH INFORMATION ETC.
- SECTION 457B NOTICE IN PUBLIC DOCUMENTS OF COMPANY
- SECTION 457C EFFECT OF CONTRAVENTION OF THIS DIVISION
- Division 6 - Powers of Court
- SECTION 458A GENERAL POWER TO MAKE ORDERS
- SECTION 458B OTHER POWERS OF THE COURT
- Division 7 - Other matters
- SECTION 458C TIME FOR DOING ACT DOES NOT RUN WHILE ACT PREVENTED BY THIS PART
- SECTION 458D MEANING OF RESTRUCTURING RELIEF PERIOD
- SECTION 458E MEANING OF ELIGIBLE FOR TEMPORARY RESTRUCTURING RELIEF
- SECTION 458F DIRECTORS DECLARE COMPANY NOT ELIGIBLE FOR TEMPORARY RESTRUCTURING RELIEF
- SECTION 458G COURT ORDER THAT COMPANY NOT ELIGIBLE FOR TEMPORARY RESTRUCTURING RELIEF
- SECTION 458H OBLIGATION ON REGISTERED LIQUIDATOR TO REPORT
- PART 5.4 - WINDING UP IN INSOLVENCY
- Division 1 - When company to be wound up in insolvency
- SECTION 459A ORDER THAT INSOLVENT COMPANY BE WOUND UP IN INSOLVENCY
- SECTION 459B ORDER MADE ON APPLICATION UNDER SECTION 234, 462 OR 464
- SECTION 459C PRESUMPTIONS TO BE MADE IN CERTAIN PROCEEDINGS
- SECTION 459D CONTINGENT OR PROSPECTIVE LIABILITY RELEVANT TO WHETHER COMPANY SOLVENT
- Division 2 - Statutory demand
- SECTION 459E CREDITOR MAY SERVE STATUTORY DEMAND ON COMPANY
- SECTION 459F WHEN COMPANY TAKEN TO FAIL TO COMPLY WITH STATUTORY DEMAND
- Division 3 - Application to set aside statutory demand
- SECTION 459G COMPANY MAY APPLY
- SECTION 459H DETERMINATION OF APPLICATION WHERE THERE IS A DISPUTE OR OFFSETTING CLAIM
- SECTION 459J SETTING ASIDE DEMAND ON OTHER GROUNDS
- SECTION 459K EFFECT OF ORDER SETTING ASIDE DEMAND
- SECTION 459L DISMISSAL OF APPLICATION
- SECTION 459M ORDER SUBJECT TO CONDITIONS
- SECTION 459N COSTS WHERE COMPANY SUCCESSFUL
- Division 4 - Application for order to wind up company in insolvency
- SECTION 459P WHO MAY APPLY FOR ORDER UNDER SECTION 459A
- SECTION 459Q APPLICATION RELYING ON FAILURE TO COMPLY WITH STATUTORY DEMAND
- SECTION 459R PERIOD WITHIN WHICH APPLICATION MUST BE DETERMINED
- SECTION 459S COMPANY MAY NOT OPPOSE APPLICATION ON CERTAIN GROUNDS
- SECTION 459T APPLICATION TO WIND UP JOINT DEBTORS IN INSOLVENCY
- PART 5.4A - WINDING UP BY THE COURT ON OTHER GROUNDS
- SECTION 461 GENERAL GROUNDS ON WHICH COMPANY MAY BE WOUND UP BY COURT
- SECTION 462 STANDING TO APPLY FOR WINDING UP
- SECTION 464 APPLICATION FOR WINDING UP IN CONNECTION WITH INVESTIGATION UNDER ASIC ACT
- PART 5.4B - WINDING UP IN INSOLVENCY OR BY THE COURT
- Division 1AA - Preliminary
- SECTION 465 MEANING OF PROPERTY
- Division 1 - General
- SECTION 465A NOTICE OF APPLICATION
- SECTION 465B SUBSTITUTION OF APPLICANTS
- SECTION 465C APPLICANT TO BE GIVEN NOTICE OF GROUNDS FOR OPPOSING APPLICATION
- SECTION 466 PAYMENT OF PRELIMINARY COSTS ETC.
- SECTION 467 COURT ' S POWERS ON HEARING APPLICATION
- SECTION 467A EFFECT OF DEFECT OR IRREGULARITY ON APPLICATION UNDER PART 5.4 OR 5.4A
- SECTION 467B COURT MAY ORDER WINDING UP OF COMPANY THAT IS BEING WOUND UP VOLUNTARILY
- SECTION 468 AVOIDANCE OF DISPOSITIONS OF PROPERTY, ATTACHMENTS ETC.
- SECTION 468A EFFECT OF WINDING UP ON COMPANY ' S MEMBERS
- SECTION 469 APPLICATION TO BE LIS PENDENS
- SECTION 470 CERTAIN NOTICES TO BE LODGED
- Division 1A - Effect of winding up order
- SECTION 471 EFFECT ON CREDITORS AND CONTRIBUTORIES
- SECTION 471A POWERS OF OTHER OFFICERS SUSPENDED DURING WINDING UP
- SECTION 471B STAY OF PROCEEDINGS AND SUSPENSION OF ENFORCEMENT PROCESS
- SECTION 471C SECURED CREDITOR ' S RIGHTS NOT AFFECTED
- Division 2 - Court-appointed liquidators
- SECTION 472 COURT TO APPOINT REGISTERED LIQUIDATOR
- SECTION 473 RESIGNATION OF LIQUIDATORS
- SECTION 473A VACANCIES IN OFFICE OF COURT-APPOINTED LIQUIDATOR
- SECTION 474 CUSTODY AND VESTING OF COMPANY ' S PROPERTY
- SECTION 475 REPORT AS TO COMPANY'S AFFAIRS TO BE SUBMITTED TO LIQUIDATOR
- SECTION 476 PRELIMINARY REPORT BY LIQUIDATOR
- SECTION 477 POWERS OF LIQUIDATOR
- SECTION 478 APPLICATION OF PROPERTY; LIST OF CONTRIBUTORIES
- SECTION 479 EXERCISE AND CONTROL OF LIQUIDATOR ' S POWERS
- SECTION 480 RELEASE OF LIQUIDATOR AND DEREGISTRATION OF COMPANY
- SECTION 481 ORDERS FOR RELEASE OR DEREGISTRATION
- Division 3 - General powers of Court
- Subdivision A - General powers
- SECTION 482 POWER TO STAY OR TERMINATE WINDING UP
- SECTION 483 DELIVERY OF PROPERTY TO LIQUIDATOR
- SECTION 484 APPOINTMENT OF SPECIAL MANAGER
- SECTION 485 CLAIMS OF CREDITORS AND DISTRIBUTION OF PROPERTY
- SECTION 486 INSPECTION OF BOOKS BY CREDITORS AND CONTRIBUTORIES
- SECTION 486A COURT MAY MAKE ORDER TO PREVENT OFFICER OR RELATED ENTITY FROM AVOIDING LIABILITY TO COMPANY
- SECTION 486B WARRANT TO ARREST PERSON WHO IS ABSCONDING, OR WHO HAS DEALT WITH PROPERTY OR BOOKS, IN ORDER TO AVOID OBLIGATIONS IN CONNECTION WITH WINDING UP
- SECTION 487 POWER TO ARREST ABSCONDING CONTRIBUTORY
- SECTION 488 DELEGATION TO LIQUIDATOR OF CERTAIN POWERS OF COURT
- SECTION 489 POWERS OF COURT CUMULATIVE
- Subdivision B - Procedures relating to section 486B warrants
- SECTION 489A ARREST OF PERSON SUBJECT TO WARRANT
- SECTION 489B PROCEDURE AFTER ARREST
- SECTION 489C PROCEDURE ON REMAND ON BAIL
- SECTION 489D COURT ' S POWER TO MAKE ORDERS UNDER OTHER PROVISIONS
- SECTION 489E JURISDICTION UNDER THIS SUBDIVISION
- PART 5.4C - WINDING UP BY ASIC
- SECTION 489EA ASIC MAY ORDER THE WINDING UP OF A COMPANY
- SECTION 489EB DEEMED RESOLUTION THAT COMPANY BE WOUND UP VOLUNTARILY
- SECTION 489EC APPOINTMENT OF LIQUIDATOR
- PART 5.5 - VOLUNTARY WINDING UP
- Division 1A - Preliminary
- SECTION 489F MEANING OF PROPERTY
- Division 1 - Resolution for winding up
- SECTION 490 WHEN COMPANY CANNOT WIND UP VOLUNTARILY
- SECTION 491 CIRCUMSTANCES IN WHICH COMPANY MAY BE WOUND UP VOLUNTARILY
- SECTION 493 EFFECT OF VOLUNTARY WINDING UP
- SECTION 493A EFFECT OF VOLUNTARY WINDING UP ON COMPANY ' S MEMBERS
- SECTION 494 DECLARATION OF SOLVENCY
- Division 2 - Members' voluntary winding up
- SECTION 495 APPOINTMENT OF LIQUIDATOR ETC.
- SECTION 496 DUTY OF LIQUIDATOR WHERE COMPANY TURNS OUT TO BE INSOLVENT
- Division 3 - Creditors ' voluntary winding up
- Subdivision A - Liquidation process
- SECTION 497 INFORMATION ABOUT THE COMPANY ' S AFFAIRS
- SECTION 498 DECLARATION THAT COMPANY ELIGIBLE FOR THE SIMPLIFIED LIQUIDATION PROCESS
- SECTION 499 LIQUIDATORS
- SECTION 500 EXECUTION AND CIVIL PROCEEDINGS
- Subdivision B - Simplified liquidation process for creditors ' voluntary winding up of an insolvent company
- SECTION 500A LIQUIDATOR MAY ADOPT THE SIMPLIFIED LIQUIDATION PROCESS
- SECTION 500AAA MEANING OF TRIGGERING EVENT
- SECTION 500AA ELIGIBILITY CRITERIA FOR THE SIMPLIFIED LIQUIDATION PROCESS
- SECTION 500AB CREDITORS MAY REQUEST LIQUIDATOR NOT TO FOLLOW THE SIMPLIFIED LIQUIDATION PROCESS
- SECTION 500AC LIQUIDATOR MUST CEASE TO FOLLOW THE SIMPLIFIED LIQUIDATION PROCESS
- SECTION 500AD WORKING OUT WHETHER THE 25% IN VALUE OF CREDITORS TEST MET
- SECTION 500AE SIMPLIFIED LIQUIDATION PROCESS
- Division 4 - Voluntary winding up generally
- SECTION 501 DISTRIBUTION OF PROPERTY OF COMPANY
- SECTION 502 APPOINTMENT OF LIQUIDATOR
- SECTION 503 REMOVAL OF LIQUIDATOR
- SECTION 504 REVIEW OF LIQUIDATOR ' S REMUNERATION
- SECTION 505 ACTS OF LIQUIDATOR VALID ETC.
- SECTION 506 POWERS AND DUTIES OF LIQUIDATOR
- SECTION 506A DECLARATIONS BY LIQUIDATOR - RELEVANT RELATIONSHIPS AND INDEMNITIES
- SECTION 507 POWER OF LIQUIDATOR TO ACCEPT SHARES ETC. AS CONSIDERATION FOR SALE OF PROPERTY OF COMPANY
- SECTION 508 ANNUAL OBLIGATIONS OF LIQUIDATOR - MEETING OR REPORT
- SECTION 509 DEREGISTRATION
- SECTION 510 ARRANGEMENT: WHEN BINDING ON CREDITORS
- SECTION 511 APPLICATION TO COURT TO HAVE QUESTIONS DETERMINED OR POWERS EXERCISED
- SECTION 512 COSTS
- PART 5.6 - WINDING UP GENERALLY
- Division 1 - Preliminary
- SECTION 513 APPLICATION OF PART
- SECTION 513AA MEANING OF PROPERTY
- Division 1A - When winding up taken to begin
- SECTION 513A WINDING UP ORDERED BY THE COURT
- SECTION 513B VOLUNTARY WINDING UP
- SECTION 513C SECTION 513C DAY IN RELATION TO AN ADMINISTRATION UNDER PART 5.3A
- SECTION 513CA MEANING OF SECTION 513CA DAY
- SECTION 513D VALIDITY OF PROCEEDINGS IN EARLIER WINDING UP
- Division 2 - Contributories
- SECTION 514 WHERE DIVISION APPLIES
- SECTION 515 GENERAL LIABILITY OF CONTRIBUTORY
- SECTION 516 COMPANY LIMITED BY SHARES
- SECTION 517 COMPANY LIMITED BY GUARANTEE
- SECTION 518 COMPANY LIMITED BOTH BY SHARES AND BY GUARANTEE
- SECTION 519 EXCEPTIONS FOR FORMER UNLIMITED COMPANY
- SECTION 520 PAST MEMBER: LATER DEBTS
- SECTION 521 PERSON CEASING TO BE A MEMBER A YEAR OR MORE BEFORE WINDING UP
- SECTION 522 PRESENT MEMBERS TO CONTRIBUTE FIRST
- SECTION 523 PAST MEMBER OF FORMER UNLIMITED COMPANY
- SECTION 524 PAST MEMBER OF FORMER LIMITED COMPANY
- SECTION 526 LIABILITY ON CERTAIN CONTRACTS
- SECTION 527 NATURE OF CONTRIBUTORY ' S LIABILITY
- SECTION 528 DEATH OF CONTRIBUTORY
- SECTION 529 BANKRUPTCY OF CONTRIBUTORY
- Division 3 - Liquidators
- SECTION 530 APPOINTMENT OF 2 OR MORE LIQUIDATORS OF A COMPANY
- SECTION 530AA APPOINTMENT OF 2 OR MORE PROVISIONAL LIQUIDATORS OF A COMPANY
- SECTION 530A OFFICERS TO HELP LIQUIDATOR
- SECTION 530B LIQUIDATOR'S RIGHTS TO COMPANY'S BOOKS
- SECTION 530C WARRANT TO SEARCH FOR, AND SEIZE, COMPANY ' S PROPERTY OR BOOKS
- SECTION 531 BOOKS TO BE KEPT BY LIQUIDATOR
- SECTION 532 DISQUALIFICATION OF LIQUIDATOR
- SECTION 533 REPORTS BY LIQUIDATOR
- SECTION 534 PROSECUTION BY LIQUIDATOR OF DELINQUENT OFFICERS AND MEMBERS
- SECTION 535 WHEN LIQUIDATOR HAS QUALIFIED PRIVILEGE
- SECTION 536 SUPERVISION OF LIQUIDATORS
- SECTION 537 NOTICE OF APPOINTMENT AND ADDRESS OF LIQUIDATOR
- SECTION 538 REGULATIONS RELATING TO MONEY ETC. RECEIVED BY LIQUIDATOR
- SECTION 539 LIQUIDATOR ' S ACCOUNTS
- SECTION 540 LIQUIDATOR TO REMEDY DEFAULTS
- Division 4 - General
- SECTION 541 NOTIFICATION THAT COMPANY IS IN LIQUIDATION
- SECTION 542 BOOKS OF COMPANY
- SECTION 543 INVESTMENT OF SURPLUS FUNDS ON GENERAL ACCOUNT
- SECTION 544 UNCLAIMED MONEY TO BE PAID TO ASIC
- SECTION 545 EXPENSES OF WINDING UP WHERE PROPERTY INSUFFICIENT
- SECTION 546 RESOLUTIONS PASSED AT ADJOURNED MEETINGS OF CREDITORS AND CONTRIBUTORIES
- SECTION 547 MEETINGS TO ASCERTAIN WISHES OF CREDITORS OR CONTRIBUTORIES
- Division 5 - Committees of inspection [ CCH Note: Regulation 10.25.02(3)(i) (which was effective 1 March 2017) provides that the amendments made by No 11 of 2016, s 3, Sch 2[178] apply in relation to external administrations on and after 1 September 2017.] [ CCH Note : The next section is s 553.]
- Division 6 - Proof and ranking of claims
- Subdivision A - Admission to proof of debts and claims
- SECTION 553 DEBTS OR CLAIMS THAT ARE PROVABLE IN WINDING UP
- SECTION 553A MEMBER CANNOT PROVE DEBT UNLESS CONTRIBUTIONS PAID
- SECTION 553AA SELLING SHAREHOLDER CANNOT PROVE DEBT UNLESS DOCUMENTS GIVEN
- SECTION 553AB SUPERANNUATION CONTRIBUTION DEBTS NOT ADMISSIBLE TO PROOF
- SECTION 553B INSOLVENT COMPANIES - PENALTIES AND FINES NOT GENERALLY PROVABLE
- SECTION 553C INSOLVENT COMPANIES - MUTUAL CREDIT AND SET-OFF
- SECTION 553D DEBTS OR CLAIMS MAY BE PROVED FORMALLY OR INFORMALLY
- SECTION 553E APPLICATION OF BANKRUPTCY ACT TO WINDING UP OF INSOLVENT COMPANY
- Subdivision B - Computation of debts and claims
- SECTION 554 GENERAL RULE - COMPUTE AMOUNT AS AT RELEVANT DATE
- SECTION 554A DETERMINATION OF VALUE OF DEBTS AND CLAIMS OF UNCERTAIN VALUE
- SECTION 554B DISCOUNTING OF DEBTS PAYABLE AFTER RELEVANT DATE
- SECTION 554C CONVERSION INTO AUSTRALIAN CURRENCY OF FOREIGN CURRENCY DEBTS OR CLAIMS
- Subdivision C - Special provisions relating to secured creditors of insolvent companies
- SECTION 554D APPLICATION OF SUBDIVISION
- SECTION 554E PROOF OF DEBT BY SECURED CREDITOR
- SECTION 554F REDEMPTION OF SECURITY INTEREST BY LIQUIDATOR
- SECTION 554G AMENDMENT OF VALUATION
- SECTION 554H REPAYMENT OF EXCESS
- SECTION 554J SUBSEQUENT REALISATION OF SECURITY INTEREST
- Subdivision D - Priorities
- SECTION 555 DEBTS AND CLAIMS PROVED TO RANK EQUALLY EXCEPT AS OTHERWISE PROVIDED
- SECTION 556 PRIORITY PAYMENTS
- SECTION 558 DEBTS DUE TO EMPLOYEES
- SECTION 559 DEBTS OF A CLASS TO RANK EQUALLY
- SECTION 560 ADVANCES FOR COMPANY TO MAKE PRIORITY PAYMENTS IN RELATION TO EMPLOYEES
- SECTION 561 PRIORITY OF EMPLOYEES ' CLAIMS OVER CIRCULATING SECURITY INTERESTS
- SECTION 562 APPLICATION OF PROCEEDS OF CONTRACTS OF INSURANCE
- SECTION 562A APPLICATION OF PROCEEDS OF CONTRACTS OF REINSURANCE
- SECTION 563 PROVISIONS RELATING TO INJURY COMPENSATION
- SECTION 563AA SELLER UNDER A BUY-BACK AGREEMENT
- SECTION 563A POSTPONING SUBORDINATE CLAIMS
- SECTION 563AAA REDEMPTION OF DEBENTURES
- Subdivision E - Miscellaneous
- SECTION 563B INTEREST ON DEBTS AND CLAIMS FROM RELEVANT DATE TO DATE OF PAYMENT
- SECTION 563C DEBT SUBORDINATION
- SECTION 564 POWER OF COURT TO MAKE ORDERS IN FAVOUR OF CERTAIN CREDITORS
- Division 7 - Effect on certain transactions
- SECTION 565 UNDUE PREFERENCE
- SECTION 566 EFFECT OF FLOATING CHARGE
- SECTION 567 LIQUIDATOR'S RIGHT TO RECOVER IN RESPECT OF CERTAIN TRANSACTIONS
- Division 7A - Disclaimer of onerous property
- SECTION 568 DISCLAIMER BY LIQUIDATOR; APPLICATION TO COURT BY PARTY TO CONTRACT
- SECTION 568A LIQUIDATOR MUST GIVE NOTICE OF DISCLAIMER
- SECTION 568B APPLICATION TO SET ASIDE DISCLAIMER BEFORE IT TAKES EFFECT
- SECTION 568C WHEN DISCLAIMER TAKES EFFECT
- SECTION 568D EFFECT OF DISCLAIMER
- SECTION 568E APPLICATION TO SET ASIDE DISCLAIMER AFTER IT HAS TAKEN EFFECT
- SECTION 568F COURT MAY DISPOSE OF DISCLAIMED PROPERTY
- Division 7B - Effect on enforcement process against company's property
- SECTION 569 EXECUTIONS, ATTACHMENTS ETC. BEFORE WINDING UP
- SECTION 570 DUTIES OF SHERIFF AFTER RECEIVING NOTICE OF APPLICATION
- Division 8 - Pooling
- Subdivision A - Pooling determinations
- SECTION 571 POOLING DETERMINATION
- SECTION 572 VARIATION OF POOLING DETERMINATION
- SECTION 573 LODGMENT OF COPY OF POOLING DETERMINATION ETC.
- SECTION 574 ELIGIBLE UNSECURED CREDITORS MUST APPROVE THE MAKING OR VARIATION OF A POOLING DETERMINATION
- SECTION 575 MEMBERS ' VOLUNTARY WINDING UP - COPY OF NOTICE ETC. TO BE GIVEN TO EACH MEMBER OF THE COMPANY
- SECTION 576 CONDUCT OF MEETING
- SECTION 577 ELIGIBLE UNSECURED CREDITORS MAY DECIDE TO APPROVE THE DETERMINATION OR VARIATION
- SECTION 578 WHEN POOLING DETERMINATION COMES INTO FORCE ETC.
- SECTION 579 DUTIES OF LIQUIDATOR
- SECTION 579A COURT MAY VARY OR TERMINATE POOLING DETERMINATION
- SECTION 579B COURT MAY CANCEL OR CONFIRM VARIATION
- SECTION 579C WHEN COURT MAY VOID OR VALIDATE POOLING DETERMINATION
- SECTION 579D EFFECT OF TERMINATION OR AVOIDANCE
- Subdivision B - Pooling orders
- SECTION 579E POOLING ORDERS
- SECTION 579F VARIATION OF POOLING ORDERS
- SECTION 579G COURT MAY MAKE ANCILLARY ORDERS ETC.
- SECTION 579H VARIATION OF ANCILLARY ORDERS ETC.
- SECTION 579J NOTICE OF APPLICATION FOR POOLING ORDER ETC.
- SECTION 579K NOTICE OF POOLING ORDER ETC.
- SECTION 579L CONSOLIDATED MEETINGS OF CREDITORS
- Subdivision C - Other provisions
- SECTION 579M WHEN DEBTS OR CLAIMS ARE PROVABLE IN WINDING UP
- SECTION 579N GROUP OF COMPANIES
- SECTION 579P SECURED DEBT MAY BECOME UNSECURED
- SECTION 579Q ELIGIBLE UNSECURED CREDITOR
- Division 9 - Co-operation between Australian and foreign courts in external administration matters
- SECTION 580 DEFINITIONS
- SECTION 581 COURTS TO ACT IN AID OF EACH OTHER
- PART 5.7 - WINDING UP BODIES OTHER THAN COMPANIES
- SECTION 582 APPLICATION OF PART
- SECTION 583 WINDING UP PART 5.7 BODIES
- SECTION 585 INSOLVENCY OF PART 5.7 BODY
- SECTION 586 CONTRIBUTORIES IN WINDING UP OF PART 5.7 BODY
- SECTION 587 POWER OF COURT TO STAY OR RESTRAIN PROCEEDINGS
- SECTION 588 OUTSTANDING PROPERTY OF DEFUNCT REGISTRABLE BODY
- PART 5.7B - RECOVERING PROPERTY OR COMPENSATION FOR THE BENEFIT OF CREDITORS OF INSOLVENT COMPANY
- Division 1 - Preliminary
- SECTION 588C MEANING OF PROPERTY
- SECTION 588D SECURED DEBT MAY BECOME UNSECURED
- SECTION 588E PRESUMPTIONS TO BE MADE IN RECOVERY PROCEEDINGS
- SECTION 588F CERTAIN TAXATION LIABILITIES TAKEN TO BE DEBTS
- Division 2 - Voidable transactions
- Subdivision A - Kinds of transactions that may be voidable
- SECTION 588FA MEANING OF UNFAIR PREFERENCE
- SECTION 588FB MEANING OF UNCOMMERCIAL TRANSACTION
- SECTION 588FC MEANING OF INSOLVENT TRANSACTION
- SECTION 588FD MEANING OF UNFAIR LOAN
- SECTION 588FDA MEANING OF UNREASONABLE DIRECTOR-RELATED TRANSACTION
- SECTION 588FDB MEANING OF CREDITOR-DEFEATING DISPOSITION
- Subdivision B - Voidable transactions
- SECTION 588FE VOIDABLE TRANSACTIONS
- Subdivision C - Court orders about voidable transactions
- SECTION 588FF COURTS MAY MAKE ORDERS ABOUT VOIDABLE TRANSACTIONS
- SECTION 588FG TRANSACTION NOT VOIDABLE AS AGAINST CERTAIN PERSONS
- Subdivision D - ASIC orders about certain voidable transactions
- SECTION 588FGAA ASIC MAY ORDER UNDOING OF EFFECT OF CREDITOR-DEFEATING DISPOSITIONS BY COMPANY BEING WOUND UP
- SECTION 588FGAB CONTENT AND COPIES OF ORDERS
- SECTION 588FGAC COMPLIANCE WITH ORDERS GENERALLY
- SECTION 588FGAD COMPLIANCE WITH ORDERS FOR PAYMENT
- SECTION 588FGAE COURT MAY SET ASIDE ORDER BY ASIC
- Subdivision E - Various rules about voidable transactions
- SECTION 588FGA DIRECTORS TO INDEMNIFY COMMISSIONER OF TAXATION IF CERTAIN PAYMENTS SET ASIDE
- SECTION 588FGB DEFENCES IN PROCEEDINGS UNDER SECTION 588FGA
- SECTION 588FH LIQUIDATOR MAY RECOVER FROM RELATED ENTITY BENEFIT RESULTING FROM INSOLVENT TRANSACTION
- SECTION 588FI CREDITOR WHO GIVES UP BENEFIT OF UNFAIR PREFERENCE MAY PROVE FOR PREFERRED DEBT
- SECTION 588FJ CIRCULATING SECURITY INTEREST CREATED WITHIN 6 MONTHS BEFORE RELATION-BACK DAY
- Division 2A - Vesting of PPSA security interests if not continuously perfected
- SECTION 588FK INTERPRETATION AND APPLICATION
- SECTION 588FL VESTING OF PPSA SECURITY INTERESTS IF COLLATERAL NOT REGISTERED WITHIN TIME
- SECTION 588FM EXTENSION OF TIME FOR REGISTRATION
- SECTION 588FN PPSA SECURITY INTERESTS UNAFFECTED BY SECTION 588FL
- SECTION 588FO CERTAIN LESSORS, BAILORS AND CONSIGNORS ENTITLED TO DAMAGES
- Division 2B - Security interests in favour of company officers etc.
- SECTION 588FP SECURITY INTERESTS IN FAVOUR OF AN OFFICER OF A COMPANY ETC. VOID
- Division 3 - Duties to prevent insolvent trading and creditor-defeating dispositions
- Subdivision A - Director ' s duty to prevent insolvent trading
- SECTION 588G DIRECTOR ' S DUTY TO PREVENT INSOLVENT TRADING BY COMPANY
- Subdivision B - Duties to prevent creditor-defeating dispositions
- SECTION 588GAA OBJECT OF THIS SUBDIVISION
- SECTION 588GAB OFFICER ' S DUTY TO PREVENT CREDITOR-DEFEATING DISPOSITION
- SECTION 588GAC PROCURING CREDITOR-DEFEATING DISPOSITION
- Subdivision C - Safe harbour from breach of duties
- SECTION 588GA SAFE HARBOUR - TAKING COURSE OF ACTION REASONABLY LIKELY TO LEAD TO A BETTER OUTCOME FOR THE COMPANY
- SECTION 588GAAA SAFE HARBOUR - TEMPORARY RELIEF IN RESPONSE TO THE CORONAVIRUS
- SECTION 588GAAB SAFE HARBOUR - COMPANIES UNDER RESTRUCTURING
- SECTION 588GAAC SAFE HARBOUR - TEMPORARY RELIEF FOR COMPANIES LOOKING FOR A RESTRUCTURING PRACTITIONER
- SECTION 588GB INFORMATION OR BOOKS NOT ADMISSIBLE TO SUPPORT THE SAFE HARBOUR IF FAILURE TO PERMIT INSPECTION ETC.
- SECTION 588H DEFENCES ABOUT REASONABLE GROUNDS, ILLNESS OR REASONABLE STEPS
- SECTION 588HA REVIEW RELATING TO SAFE HARBOUR
- Division 4 - Director liable to compensate company
- Subdivision A - Proceedings against director
- SECTION 588J ON APPLICATION FOR CIVIL PENALTY ORDER, COURT MAY ORDER COMPENSATION
- SECTION 588K CRIMINAL COURT MAY ORDER COMPENSATION
- SECTION 588L ENFORCEMENT OF ORDER UNDER SECTION 588J OR 588K
- SECTION 588M RECOVERY OF COMPENSATION FOR LOSS RESULTING FROM INSOLVENT TRADING
- SECTION 588N AVOIDING DOUBLE RECOVERY
- SECTION 588P EFFECT OF SECTIONS 588J, 588K AND 588M
- SECTION 588Q CERTIFICATES EVIDENCING CONTRAVENTION
- Subdivision B - Proceedings by creditor
- SECTION 588R CREDITOR MAY SUE FOR COMPENSATION WITH LIQUIDATOR'S CONSENT
- SECTION 588S CREDITOR MAY GIVE LIQUIDATOR NOTICE OF INTENTION TO SUE FOR COMPENSATION
- SECTION 588T WHEN CREDITOR MAY SUE FOR COMPENSATION WITHOUT LIQUIDATOR'S CONSENT
- SECTION 588U EVENTS PREVENTING CREDITOR FROM SUING
- Division 5 - Liability of holding company for insolvent trading by subsidiary
- SECTION 588V WHEN HOLDING COMPANY LIABLE
- SECTION 588W RECOVERY OF COMPENSATION FOR LOSS RESULTING FROM INSOLVENT TRADING
- SECTION 588WA SAFE HARBOUR - TAKING REASONABLE STEPS TO ENSURE COMPANY ' S DIRECTORS HAVE THE BENEFIT OF THE DIRECTORS ' SAFE HARBOUR
- SECTION 588X DEFENCES ABOUT REASONABLE GROUNDS, ILLNESS OR REASONABLE STEPS
- Division 6 - Application of compensation under Division 4 or 5
- SECTION 588Y APPLICATION OF AMOUNT PAID AS COMPENSATION
- Division 7 - Person managing a corporation while disqualified may become liable for corporation's debts
- SECTION 588Z COURT MAY MAKE ORDER IMPOSING LIABILITY
- Division 8 - Employee entitlements contribution orders
- SECTION 588ZA EMPLOYEE ENTITLEMENTS CONTRIBUTION ORDERS
- SECTION 588ZB WHO MAY APPLY FOR AN EMPLOYEE ENTITLEMENTS CONTRIBUTION ORDER
- PART 5.8 - OFFENCES
- SECTION 589 INTERPRETATION AND APPLICATION
- SECTION 590 OFFENCES BY OFFICERS OF CERTAIN COMPANIES
- SECTION 592 INCURRING OF CERTAIN DEBTS; FRAUDULENT CONDUCT
- SECTION 593 POWERS OF COURT
- SECTION 594 CERTAIN RIGHTS NOT AFFECTED
- SECTION 595 INDUCEMENT TO BE APPOINTED LIQUIDATOR ETC. OF COMPANY
- SECTION 596 FRAUDS BY OFFICERS
- PART 5.8A - EMPLOYEE ENTITLEMENTS
- SECTION 596AA OBJECTS AND COVERAGE OF THIS PART
- SECTION 596AB RELEVANT AGREEMENTS OR TRANSACTIONS THAT AVOID EMPLOYEE ENTITLEMENTS - OFFENCES
- SECTION 596AC RELEVANT AGREEMENTS OR TRANSACTIONS THAT AVOID EMPLOYEE ENTITLEMENTS - CIVIL CONTRAVENTIONS
- SECTION 596ACA PERSON WHO CONTRAVENES SECTION 596AC LIABLE TO COMPENSATE FOR LOSS
- SECTION 596AD AVOIDING DOUBLE RECOVERY
- SECTION 596AE EFFECT OF SECTION 596ACA
- SECTION 596AF PROCEEDINGS FOR COMPENSATION
- SECTION 596AG EVENTS PREVENTING PROCEEDINGS
- SECTION 596AH JOINING PARTIES TO PROCEEDINGS
- SECTION 596AI EVENTS PREVENTING EMPLOYEE FROM SUING
- PART 5.9 - MISCELLANEOUS
- Division 1 - Examining a person about a corporation
- SECTION 596A MANDATORY EXAMINATION
- SECTION 596B DISCRETIONARY EXAMINATION
- SECTION 596C AFFIDAVIT IN SUPPORT OF APPLICATION UNDER SECTION 596B
- SECTION 596D CONTENT OF SUMMONS
- SECTION 596E NOTICE OF EXAMINATION
- SECTION 596F COURT MAY GIVE DIRECTIONS ABOUT EXAMINATION
- SECTION 597 CONDUCT OF EXAMINATION
- SECTION 597A WHEN COURT IS TO REQUIRE AFFIDAVIT ABOUT CORPORATION ' S EXAMINABLE AFFAIRS
- SECTION 597B COSTS OF UNNECESSARY EXAMINATION OR AFFIDAVIT
- Division 2 - Orders against a person in relation to a corporation
- SECTION 598 ORDER AGAINST PERSON CONCERNED WITH CORPORATION
- Division 3 - Provisions applying to various kinds of external administration
- SECTION 599 APPEALS FROM DECISIONS OF RECEIVERS ETC.
- SECTION 600AA DUTY OF RECEIVER, ADMINISTRATOR OR LIQUIDATOR - PARENTAL LEAVE PAY
- SECTION 600A POWERS OF COURT WHERE OUTCOME OF VOTING AT CREDITORS ' MEETING DETERMINED BY RELATED ENTITY
- SECTION 600B REVIEW BY COURT OF RESOLUTION OF CREDITORS PASSED ON CASTING VOTE OF PERSON PRESIDING AT MEETING
- SECTION 600C COURT ' S POWERS WHERE PROPOSED RESOLUTION OF CREDITORS LOST AS CASTING VOTE OF PERSON PRESIDING AT MEETING
- SECTION 600D INTERIM ORDER ON APPLICATION UNDER SECTION 600A, 600B OR 600C
- SECTION 600E ORDER UNDER SECTION 600A OR 600B DOES NOT AFFECT ACT ALREADY DONE PURSUANT TO RESOLUTION
- SECTION 600F LIMITATION ON RIGHT OF SUPPLIERS OF ESSENTIAL SERVICES TO INSIST ON PAYMENT AS CONDITION OF SUPPLY
- SECTION 600G ELECTRONIC COMMUNICATION OF DOCUMENTS
- SECTION 600H RIGHTS IF CLAIM AGAINST THE COMPANY POSTPONED
- SECTION 600J ACTS OF EXTERNAL ADMINISTRATOR VALID ETC.
- Division 4 - Insolvency Practice Schedule (Corporations)
- SECTION 600K INSOLVENCY PRACTICE SCHEDULE (CORPORATIONS)
- CHAPTER 5A - DEREGISTRATION, AND TRANSFER OF REGISTRATION, OF COMPANIES
- PART 5A.1 - DEREGISTRATION
- SECTION 601 MEANING OF PROPERTY
- SECTION 601AA DEREGISTRATION - VOLUNTARY
- SECTION 601AB DEREGISTRATION - ASIC INITIATED
- SECTION 601AC DEREGISTRATION - FOLLOWING AMALGAMATION OR WINDING UP
- SECTION 601AD EFFECT OF DEREGISTRATION
- SECTION 601AE WHAT THE COMMONWEALTH OR ASIC DOES WITH THE PROPERTY
- SECTION 601AF THE COMMONWEALTH ' S AND ASIC ' S POWER TO FULFIL OUTSTANDING OBLIGATIONS OF DEREGISTERED COMPANY
- SECTION 601AG CLAIMS AGAINST INSURERS OF DEREGISTERED COMPANY
- SECTION 601AH REINSTATEMENT
- PART 5A.2 - TRANSFER OF REGISTRATION
- SECTION 601AI TRANSFERRING REGISTRATION
- SECTION 601AJ APPLYING TO TRANSFER REGISTRATION
- SECTION 601AK ASIC MAKES TRANSFER OF REGISTRATION DECLARATION
- SECTION 601AL ASIC TO DEREGISTER COMPANY
- CHAPTER 5B - BODIES CORPORATE REGISTERED AS COMPANIES, AND REGISTRABLE BODIES
- PART 5B.1 - REGISTERING A BODY CORPORATE AS A COMPANY
- Division 1 - Registration
- SECTION 601BA BODIES CORPORATE MAY BE REGISTERED AS CERTAIN TYPES OF COMPANIES
- SECTION 601BB BODIES REGISTERED AS PROPRIETARY COMPANIES
- SECTION 601BC APPLYING FOR REGISTRATION UNDER THIS PART
- SECTION 601BD ASIC GIVES BODY ACN, REGISTERS AS COMPANY AND ISSUES CERTIFICATE
- SECTION 601BE REGISTERED OFFICE
- SECTION 601BF NAME
- SECTION 601BG CONSTITUTION
- SECTION 601BH MODIFICATIONS OF CONSTITUTION
- SECTION 601BJ ASIC MAY DIRECT COMPANY TO APPLY FOR COURT APPROVAL FOR MODIFICATIONS OF CONSTITUTION
- SECTION 601BK ESTABLISHING REGISTERS AND MINUTE BOOKS
- SECTION 601BL REGISTRATION OF REGISTERED BODIES
- Division 2 - Operation of this Act
- SECTION 601BM EFFECT OF REGISTRATION UNDER THIS PART
- SECTION 601BN LIABILITY OF MEMBERS ON WINDING UP
- SECTION 601BP BEARER SHARES
- SECTION 601BQ REFERENCES IN PRE-REGISTRATION CONTRACTS AND OTHER DOCUMENTS TO PAR VALUE IN EXISTING CONTRACTS AND DOCUMENTS
- SECTION 601BR FIRST AGM
- SECTION 601BS MODIFICATION BY REGULATIONS
- PART 5B.2 - REGISTRABLE BODIES
- Division 1A - Preliminary
- SECTION 601C MEANING OF PROPERTY
- Division 1 - Registrable Australian bodies
- SECTION 601CA WHEN A REGISTRABLE AUSTRALIAN BODY MAY CARRY ON BUSINESS IN THIS JURISDICTION AND OUTSIDE ITS PLACE OF ORIGIN
- SECTION 601CB APPLICATION FOR REGISTRATION
- SECTION 601CC CESSATION OF BUSINESS ETC.
- SECTION 601CCA PUBLISHING NOTICES RELATING TO CESSATION OF BUSINESS ETC.
- Division 2 - Foreign companies
- SECTION 601CD WHEN A FOREIGN COMPANY MAY CARRY ON BUSINESS IN THIS JURISDICTION
- SECTION 601CDA LIMITED DISCLOSURE IF PLACE OF ORIGIN IS A PRESCRIBED COUNTRY
- SECTION 601CE APPLICATION FOR REGISTRATION
- SECTION 601CF APPOINTMENT OF LOCAL AGENT
- SECTION 601CG LOCAL AGENT: HOW APPOINTED
- SECTION 601CH LOCAL AGENT: HOW REMOVED
- SECTION 601CJ LIABILITY OF LOCAL AGENT
- SECTION 601CK BALANCE-SHEETS AND OTHER DOCUMENTS
- SECTION 601CL CESSATION OF BUSINESS ETC.
- SECTION 601CLA PUBLISHING NOTICES RELATING TO CESSATION OF BUSINESS ETC.
- SECTION 601CM REGISTER OF MEMBERS OF FOREIGN COMPANY
- SECTION 601CN REGISTER KEPT UNDER SECTION 601CM
- SECTION 601CP NOTIFYING ASIC ABOUT REGISTER KEPT UNDER SECTION 601CM
- SECTION 601CQ EFFECT OF RIGHT TO ACQUIRE SHARES COMPULSORILY
- SECTION 601CR INDEX OF MEMBERS AND INSPECTION OF REGISTERS
- SECTION 601CS CERTIFICATE AS TO SHAREHOLDING
- Division 3 - Bodies registered under this Part
- SECTION 601CTA LIMITED DISCLOSURE IF PLACE OF ORIGIN IS A PRESCRIBED COUNTRY
- SECTION 601CT REGISTERED OFFICE
- SECTION 601CU CERTIFICATE OF REGISTRATION
- SECTION 601CV NOTICE OF CERTAIN CHANGES
- SECTION 601CW BODY'S NAME ETC. MUST BE DISPLAYED AT OFFICE AND PLACE OF BUSINESS
- SECTION 601CX SERVICE OF DOCUMENTS ON REGISTERED BODY
- SECTION 601CY POWER TO HOLD LAND
- Division 4 - Register of debenture holders for non-companies
- SECTION 601CZA CERTAIN DOCUMENTS ARE DEBENTURES
- SECTION 601CZB REGISTER OF DEBENTURE HOLDERS TO BE MAINTAINED BY NON-COMPANIES
- SECTION 601CZC LOCATION OF REGISTER
- SECTION 601CZD APPLICATION OF SECTIONS 173 TO 177
- PART 5B.3 - NAMES OF REGISTRABLE AUSTRALIAN BODIES AND FOREIGN COMPANIES
- SECTION 601DA RESERVING A NAME
- SECTION 601DB ACCEPTABLE ABBREVIATIONS
- SECTION 601DC WHEN A NAME IS AVAILABLE
- SECTION 601DD REGISTERED AUSTRALIAN BODIES AND REGISTERED FOREIGN COMPANIES CAN CARRY ON BUSINESS WITH SOME NAMES ONLY
- SECTION 601DE USING A NAME AND ARBN
- SECTION 601DF EXCEPTION TO REQUIREMENT TO HAVE ARBN ON RECEIPTS
- SECTION 601DG REGULATIONS MAY EXEMPT FROM REQUIREMENT TO SET OUT INFORMATION ON DOCUMENTS
- SECTION 601DH NOTICE OF NAME CHANGE MUST BE GIVEN TO ASIC
- SECTION 601DJ ASIC ' s POWER TO DIRECT A REGISTERED NAME BE CHANGED
- CHAPTER 5C - MANAGED INVESTMENT SCHEMES
- PART 5C.1 - REGISTRATION OF MANAGED INVESTMENT SCHEMES
- SECTION 601EA APPLYING FOR REGISTRATION
- SECTION 601EB REGISTRATION OF MANAGED INVESTMENT SCHEME
- SECTION 601EC ALL DOCUMENTS ETC. LODGED WITH ASIC ASIC TO BEAR ARSN OR ABN
- SECTION 601ED WHEN A MANAGED INVESTMENT SCHEME MUST BE REGISTERED
- SECTION 601EE UNREGISTERED SCHEMES MAY BE WOUND UP
- PART 5C.2 - THE RESPONSIBLE ENTITY
- Division 1 - Responsibilities and powers
- SECTION 601FA RESPONSIBLE ENTITY TO BE PUBLIC COMPANY AND HOLD AUSTRALIAN FINANCIAL SERVICES LICENCE
- SECTION 601FB RESPONSIBLE ENTITY TO OPERATE SCHEME
- SECTION 601FC DUTIES OF RESPONSIBLE ENTITY
- SECTION 601FD DUTIES OF OFFICERS OF RESPONSIBLE ENTITY
- SECTION 601FE DUTIES OF EMPLOYEES OF RESPONSIBLE ENTITY
- SECTION 601FF SURVEILLANCE CHECKS BY ASIC
- SECTION 601FG ACQUISITION OF INTEREST IN SCHEME BY RESPONSIBLE ENTITY
- SECTION 601FH LIQUIDATOR ETC. OF RESPONSIBLE ENTITY ENTITLED TO EXERCISE INDEMNITY RIGHTS
- Division 2 - Changing the responsible entity
- SECTION 601FJ CHANGES ONLY TAKE EFFECT WHEN ASIC ALTERS RECORD OF REGISTRATION
- SECTION 601FK REQUIREMENTS OF SECTION 601FA MUST BE MET
- SECTION 601FL RETIREMENT OF RESPONSIBLE ENTITY
- SECTION 601FM REMOVAL OF RESPONSIBLE ENTITY BY MEMBERS
- SECTION 601FN ASIC OR SCHEME MEMBER MAY APPLY TO COURT FOR APPOINTMENT OF TEMPORARY RESPONSIBLE ENTITY
- SECTION 601FP APPOINTMENT OF TEMPORARY RESPONSIBLE ENTITY BY COURT
- SECTION 601FQ TEMPORARY RESPONSIBLE ENTITY TO TAKE STEPS FOR APPOINTMENT OF NEW RESPONSIBLE ENTITY
- Division 3 - Consequences of change of responsible entity
- SECTION 601FR FORMER RESPONSIBLE ENTITY TO HAND OVER BOOKS AND PROVIDE REASONABLE ASSISTANCE
- SECTION 601FS RIGHTS, OBLIGATIONS AND LIABILITIES OF FORMER RESPONSIBLE ENTITY
- SECTION 601FT EFFECT OF CHANGE OF RESPONSIBLE ENTITY ON DOCUMENTS ETC. TO WHICH FORMER RESPONSIBLE ENTITY IS PARTY
- PART 5C.3 - THE CONSTITUTION
- SECTION 601GA CONTENTS OF THE CONSTITUTION
- SECTION 601GB CONSTITUTION MUST BE LEGALLY ENFORCEABLE
- SECTION 601GC CHANGING THE CONSTITUTION
- PART 5C.4 - THE COMPLIANCE PLAN
- SECTION 601HA CONTENTS OF THE COMPLIANCE PLAN
- SECTION 601HB COMPLIANCE PLAN MAY INCORPORATE PROVISIONS FROM ANOTHER SCHEME ' S PLAN
- SECTION 601HC DIRECTORS MUST SIGN LODGED COPY OF COMPLIANCE PLAN
- SECTION 601HD ASIC MAY REQUIRE FURTHER INFORMATION ABOUT COMPLIANCE PLAN
- SECTION 601HE CHANGING THE COMPLIANCE PLAN
- SECTION 601HF ASIC MAY REQUIRE CONSOLIDATION OF COMPLIANCE PLAN TO BE LODGED
- SECTION 601HG AUDIT OF COMPLIANCE PLAN
- SECTION 601HH REMOVAL AND RESIGNATION OF AUDITORS
- SECTION 601HI ACTION ON CHANGE OF AUDITOR OF COMPLIANCE PLAN
- PART 5C.5 - THE COMPLIANCE COMMITTEE
- SECTION 601JA WHEN IS A COMPLIANCE COMMITTEE REQUIRED?
- SECTION 601JB MEMBERSHIP OF COMPLIANCE COMMITTEE
- SECTION 601JC FUNCTIONS OF COMPLIANCE COMMITTEE
- SECTION 601JD DUTIES OF MEMBERS
- SECTION 601JE COMPLIANCE COMMITTEE MEMBERS HAVE QUALIFIED PRIVILEGE IN CERTAIN CASES
- SECTION 601JF WHEN CAN RESPONSIBLE ENTITY INDEMNIFY COMPLIANCE COMMITTEE MEMBERS?
- SECTION 601JG WHEN CAN RESPONSIBLE ENTITY PAY INSURANCE PREMIUMS FOR COMPLIANCE COMMITTEE MEMBERS?
- SECTION 601JH PROCEEDINGS OF COMPLIANCE COMMITTEE
- SECTION 601JJ DISCLOSURE OF INTERESTS
- PART 5C.6 - MEMBERS' RIGHTS TO WITHDRAW FROM A SCHEME
- SECTION 601KA MEMBERS ' RIGHTS TO WITHDRAW
- SECTION 601KB NON-LIQUID SCHEMES - OFFERS
- SECTION 601KC NON-LIQUID SCHEMES - ONLY ONE WITHDRAWAL OFFER TO BE OPEN AT ANY TIME
- SECTION 601KD NON-LIQUID SCHEMES - HOW PAYMENTS ARE TO BE MADE
- SECTION 601KE NON-LIQUID SCHEMES - RESPONSIBLE ENTITY MAY CANCEL WITHDRAWAL OFFER
- PART 5C.7 - RELATED PARTY TRANSACTIONS
- SECTION 601LA CHAPTER 2E APPLIES WITH MODIFICATIONS
- SECTION 601LB REPLACEMENT SECTION 207
- SECTION 601LC REPLACEMENT SECTION 208
- SECTION 601LD OMISSION OF SECTIONS 213, 214 AND 224
- SECTION 601LE MODIFICATION OF SECTION 225
- PART 5C.8 - EFFECT OF CONTRAVENTIONS (CIVIL LIABILITY AND VOIDABLE CONTRACTS)
- SECTION 601MA CIVIL LIABILITY OF RESPONSIBLE ENTITY TO MEMBERS
- SECTION 601MB VOIDABLE CONTRACTS WHERE SUBSCRIPTION OFFERS AND INVITATIONS CONTRAVENE THIS ACT
- PART 5C.9 - WINDING UP
- SECTION 601NA WINDING UP REQUIRED BY SCHEME ' S CONSTITUTION
- SECTION 601NB WINDING UP AT DIRECTION OF MEMBERS
- SECTION 601NC WINDING UP IF SCHEME ' S PURPOSE ACCOMPLISHED OR CANNOT BE ACCOMPLISHED
- SECTION 601ND WINDING UP ORDERED BY COURT
- SECTION 601NE THE WINDING UP OF THE SCHEME
- SECTION 601NF OTHER ORDERS ABOUT WINDING UP
- SECTION 601NG UNCLAIMED MONEY TO BE PAID TO ASIC
- PART 5C.10 - DEREGISTRATION
- Division 1 - Registered schemes that are not Australian passport funds
- SECTION 601PAA APPLICATION OF THIS DIVISION
- SECTION 601PA DEREGISTRATION - VOLUNTARY
- SECTION 601PB DEREGISTRATION BY ASIC
- Division 2 - Registered schemes that are Australian passport funds
- SECTION 601PBA APPLICATION OF THIS DIVISION
- SECTION 601PBB DEREGISTRATION - VOLUNTARY
- SECTION 601PBC DEREGISTRATION - INITIATED BY ASIC
- SECTION 601PBD NOTICES RELATING TO DEREGISTRATION PROCESS
- SECTION 601PBE CONSEQUENCES OF DEREGISTRATION ON STATUS AS AN AUSTRALIAN PASSPORT FUND
- SECTION 601PC REINSTATEMENT
- PART 5C.11 - EXEMPTIONS AND MODIFICATIONS
- SECTION 601QA ASIC ' S POWER TO MAKE EXEMPTION AND MODIFICATION ORDERS
- SECTION 601QB MODIFICATION BY REGULATIONS
- CHAPTER 5D - LICENSED TRUSTEE COMPANIES
- PART 5D.1 - PRELIMINARY
- SECTION 601RAA MEANING OF FEES AND LAW - CHAPTER 5D
- SECTION 601RAB MEANING OF TRUSTEE COMPANY AND CLIENT
- SECTION 601RAC MEANING OF TRADITIONAL TRUSTEE COMPANY SERVICES AND ESTATE MANAGEMENT FUNCTIONS
- SECTION 601RAD MEANING OF PERSON WITH A PROPER INTEREST
- SECTION 601RAE INTERACTION BETWEEN TRUSTEE COMPANY PROVISIONS AND STATE AND TERRITORY LAWS
- PART 5D.2 - POWERS ETC. OF LICENSED TRUSTEE COMPANIES
- Division 1 - General provisions
- SECTION 601SAA JURISDICTION OF COURTS NOT AFFECTED ETC.
- SECTION 601SAB REGULATIONS MAY PRESCRIBE OTHER POWERS ETC.
- SECTION 601SAC POWERS ETC. CONFERRED BY OR UNDER THIS CHAPTER ARE IN ADDITION TO OTHER POWERS ETC.
- Division 2 - Accounts
- SECTION 601SBA LICENSED TRUSTEE COMPANY NOT REQUIRED TO FILE ACCOUNTS
- SECTION 601SBB LICENSED TRUSTEE COMPANY MAY BE REQUIRED TO PROVIDE ACCOUNT IN RELATION TO ESTATE
- SECTION 601SBC COURT MAY ORDER AUDIT
- Division 3 - Common funds
- SECTION 601SCA COMMON FUNDS OF LICENSED TRUSTEE COMPANIES
- SECTION 601SCAA COMMON FUNDS THAT ARE ALSO REGISTERED SCHEMES
- SECTION 601SCB OBLIGATIONS RELATING TO COMMON FUNDS
- SECTION 601SCC REGULATIONS RELATING TO ESTABLISHMENT OR OPERATION OF COMMON FUNDS
- SECTION 601SCD ARM ' S LENGTH TRANSACTIONS
- PART 5D.3 - REGULATION OF FEES CHARGED BY LICENSED TRUSTEE COMPANIES
- Division 1 - Disclosure of fees
- SECTION 601TAA SCHEDULE OF FEES TO BE PUBLISHED AND AVAILABLE
- SECTION 601TAB DISCLOSURE TO CLIENTS OF CHANGED FEES
- Division 2 - General provisions about charging fees
- SECTION 601TBA CHARGING OF FEES FOR THE PROVISION OF TRADITIONAL TRUSTEE COMPANY SERVICES
- SECTION 601TBB PART DOES NOT PREVENT CHARGING OF FEES AS AGREED ETC.
- SECTION 601TBC PART DOES NOT PREVENT CHARGING FEE FOR PROVISION OF ACCOUNT
- SECTION 601TBD PART DOES NOT PREVENT REIMBURSEMENT
- SECTION 601TBE ESTATE MANAGEMENT FUNCTIONS: PAYMENT OF FEES OUT OF ESTATE
- Division 3 - Fees otherwise than for being trustee or manager of a charitable trust
- SECTION 601TCA FEES OTHERWISE THAN FOR BEING THE TRUSTEE OR MANAGER OF A CHARITABLE TRUST
- SECTION 601TCB ADDITIONAL AMOUNT FOR PREPARATION OF RETURNS ETC.
- Division 4 - Fees for being trustee or manager of a charitable trust
- Subdivision A - New client charitable trusts
- SECTION 601TDA SUBDIVISION APPLIES TO NEW CLIENT CHARITABLE TRUSTS
- SECTION 601TDB WHAT THE TRUSTEE COMPANY MAY CHARGE
- SECTION 601TDC OPTION 1: CAPITAL COMMISSION AND INCOME COMMISSION
- SECTION 601TDD OPTION 2: ANNUAL MANAGEMENT FEE
- SECTION 601TDE ADDITIONAL AMOUNT IF TRUST MONEY IS IN A COMMON FUND
- SECTION 601TDF ADDITIONAL AMOUNT FOR PREPARATION OF RETURNS ETC.
- Subdivision B - Existing client charitable trusts
- SECTION 601TDG SUBDIVISION APPLIES TO EXISTING CLIENT CHARITABLE TRUSTS
- SECTION 601TDH TRUSTEE COMPANY NOT TO CHARGE MORE THAN WAS BEING CHARGED BEFORE SECTION COMMENCED
- SECTION 601TDI ADDITIONAL AMOUNT IF TRUST MONEY IS IN A COMMON FUND
- SECTION 601TDJ ADDITIONAL AMOUNT FOR PREPARATION OF RETURNS ETC.
- Division 5 - Miscellaneous
- SECTION 601TEA POWER OF THE COURT WITH RESPECT TO EXCESSIVE FEES
- SECTION 601TEB DIRECTORS ' FEES
- PART 5D.4 - DUTIES OF OFFICERS AND EMPLOYEES OF LICENSED TRUSTEE COMPANIES
- SECTION 601UAA DUTIES OF OFFICERS OF LICENSED TRUSTEE COMPANY
- SECTION 601UAB DUTIES OF EMPLOYEES OF LICENSED TRUSTEE COMPANY
- PART 5D.5 - LIMIT ON CONTROL OF LICENSED TRUSTEE COMPANIES AND PROPOSED LICENSED TRUSTEE COMPANIES
- Division 1 - 15 % voting power limit
- SECTION 601VAA MEANING OF UNACCEPTABLE CONTROL SITUATION - LICENSED TRUSTEE COMPANY OR A PROPOSED LICENSED TRUSTEE COMPANY
- SECTION 601VAB ACQUISITIONS OF SHARES
- SECTION 601VAC ORDERS TO REMEDY UNACCEPTABLE CONTROL SITUATION
- SECTION 601VAD INJUNCTIONS
- Division 2 - Approval to exceed 15 % voting power limit
- SECTION 601VBA APPLICATION FOR APPROVAL TO EXCEED 15 % VOTING POWER LIMIT
- SECTION 601VBB APPROVAL OF APPLICATION
- SECTION 601VBC DURATION OF APPROVAL
- SECTION 601VBD CONDITIONS OF APPROVAL
- SECTION 601VBE VARYING PERCENTAGE APPROVED
- SECTION 601VBF REVOKING AN APPROVAL
- SECTION 601VBG MINISTER MAY REQUIRE FURTHER INFORMATION FROM APPLICANTS
- SECTION 601VBH MINISTER MAY SEEK VIEWS OF THE COMPANY CONCERNED AND ITS CLIENTS
- SECTION 601VBI TIME LIMIT FOR MINISTER ' S DECISION
- Division 3 - Other matters
- SECTION 601VCA ACQUISITION OF PROPERTY
- SECTION 601VCB INTERESTS OF CLIENTS TO BE VIEWED AS A GROUP
- SECTION 601VCC ANTI-AVOIDANCE
- PART 5D.6 - ASIC-APPROVED TRANSFERS OF ESTATE ASSETS AND LIABILITIES
- Division 1 - Preliminary
- SECTION 601WAA MEANING OF ESTATE ASSETS AND LIABILITIES
- Division 2 - Transfer of estate assets and liabilities
- SECTION 601WBA TRANSFER DETERMINATIONS
- SECTION 601WBB WHEN CONSENT OF RECEIVING COMPANY IS IN FORCE
- SECTION 601WBC COMPLEMENTARY STATE OR TERRITORY LEGISLATION
- SECTION 601WBD MINISTER'S POWER TO DECIDE THAT HIS OR HER CONSENT IS NOT REQUIRED
- SECTION 601WBE DETERMINATIONS MAY IMPOSE CONDITIONS
- SECTION 601WBF NOTICE OF DETERMINATION
- SECTION 601WBG CERTIFICATE OF TRANSFER
- SECTION 601WBH NOTICE OF CERTIFICATE
- SECTION 601WBI TIME AND EFFECT OF TRANSFER
- SECTION 601WBJ SUBSTITUTION OF TRUSTEE COMPANY
- SECTION 601WBK LIABILITIES FOR BREACH OF TRUST AND OTHER MATTERS NOT AFFECTED BY THIS PART
- Division 3 - Other matters related to the transfer of estate assets and liabilities
- SECTION 601WCA CERTIFICATES EVIDENCING OPERATION OF ACT ETC.
- SECTION 601WCB CERTIFICATES IN RELATION TO LAND AND INTERESTS IN LAND
- SECTION 601WCC CERTIFICATES IN RELATION TO OTHER ASSETS
- SECTION 601WCD DOCUMENTS PURPORTING TO BE CERTIFICATES
- SECTION 601WCE CONSTRUCTION OF REFERENCES TO TRANSFERRING COMPANY
- SECTION 601WCF INCOME OR OTHER DISTRIBUTION RECEIVED BY TRANSFERRING COMPANY
- SECTION 601WCG ACCESS TO BOOKS
- SECTION 601WCH MINISTER OR ASIC MAY SEEK VIEWS OF TRUSTEE COMPANY AND ITS CLIENTS
- SECTION 601WCI AUTHORISATION TO PERFORM FUNCTIONS OR EXERCISE POWERS IN THIS PART
- Division 4 - Miscellaneous
- SECTION 601WDA TRANSFERRING COMPANY REQUIRED TO CONTACT CERTAIN PERSONS
- PART 5D.7 - CONTRAVENTIONS AND HOLDING OUT
- SECTION 601XAA CIVIL LIABILITY OF LICENSED TRUSTEE COMPANIES
- SECTION 601XAB PROHIBITION ON HOLDING OUT
- PART 5D.8 - EXEMPTIONS AND MODIFICATIONS
- SECTION 601YAA EXEMPTIONS AND MODIFICATIONS BY ASIC
- SECTION 601YAB EXEMPTIONS AND MODIFICATIONS BY REGULATIONS
- CHAPTER 6 - TAKEOVERS
- SECTION 602 PURPOSES OF CHAPTER
- SECTION 602A MEANING OF SUBSTANTIAL INTEREST
- SECTION 603 CHAPTER EXTENDS TO SOME LISTED BODIES THAT ARE NOT COMPANIES
- SECTION 604 CHAPTER EXTENDS TO LISTED REGISTERED SCHEMES
- SECTION 605 CLASSES OF SECURITIES
- SECTION 605A CHAPTER DOES NOT APPLY TO MCIs
- PART 6.1 - PROHIBITED ACQUISITIONS OF RELEVANT INTERESTS IN VOTING SHARES
- SECTION 606 PROHIBITION ON CERTAIN ACQUISITIONS OF RELEVANT INTERESTS IN VOTING SHARES
- SECTION 607 EFFECT ON TRANSACTIONS
- SECTION 608 RELEVANT INTERESTS IN SECURITIES
- SECTION 609 SITUATIONS NOT GIVING RISE TO RELEVANT INTERESTS
- SECTION 609A ANOTHER SITUATION NOT GIVING RISE TO RELEVANT INTERESTS - ACCEPTANCE FACILITY
- SECTION 609B ANOTHER SITUATION NOT GIVING RISE TO RELEVANT INTERESTS - SECURITIES SUBJECT TO ESCROW AGREEMENT IN CONNECTION WITH INITIAL PUBLIC OFFER ETC.
- SECTION 610 VOTING POWER IN A BODY OR MANAGED INVESTMENT SCHEME
- PART 6.2 - EXCEPTIONS TO THE PROHIBITION
- SECTION 611 EXCEPTIONS TO THE PROHIBITION
- SECTION 612 EFFECT OF NON-COMPLIANCE WITH TAKEOVER RULES FOR EXCEPTIONS 1 TO 4
- SECTION 613 BIDDER NOT TO EXERCISE VOTING RIGHTS IF FAILURE TO SEND BIDS FOR OFF-MARKET ACQUISITION - EXCEPTION 2 OR 3
- SECTION 615 TREATMENT OF FOREIGN HOLDERS UNDER EQUAL ACCESS ISSUE - EXCEPTION 10
- PART 6.3 - THE DIFFERENT TYPES OF TAKEOVER BID
- SECTION 616 OFF-MARKET BIDS AND MARKET BIDS
- PART 6.4 - FORMULATING THE TAKEOVER OFFER
- Division 1 - General
- SECTION 617 SECURITIES COVERED BY THE BID
- SECTION 618 OFFERS MUST BE FOR ALL OR A PROPORTION OF SECURITIES IN THE BID CLASS
- SECTION 619 GENERAL TERMS OF THE OFFER
- SECTION 620 OFF-MARKET BID (OFFER FORMALITIES)
- Division 2 - Consideration for the offer
- SECTION 621 CONSIDERATION OFFERED
- SECTION 622 ESCALATION AGREEMENTS
- SECTION 623 COLLATERAL BENEFITS NOT ALLOWED
- Division 3 - The offer period
- SECTION 624 OFFER PERIOD
- Division 4 - Conditional offers
- SECTION 625 CONDITIONAL OFFERS - GENERAL
- SECTION 626 MAXIMUM ACCEPTANCE CONDITIONS IN OFF-MARKET BIDS
- SECTION 627 DISCRIMINATORY CONDITIONS NOT ALLOWED FOR OFF-MARKET BIDS
- SECTION 628 CONDITIONS REQUIRING PAYMENTS TO OFFICERS OF TARGET NOT ALLOWED IN OFF-MARKET BIDS
- SECTION 629 CONDITIONS TURNING ON BIDDER ' S OR ASSOCIATE ' S OPINION NOT ALLOWED IN OFF-MARKET BIDS
- SECTION 630 DEFEATING CONDITIONS
- PART 6.5 - THE TAKEOVER PROCEDURE
- Division 1 - The overall procedure
- SECTION 631 PROPOSING OR ANNOUNCING A BID
- SECTION 632 OVERVIEW OF STEPS IN AN OFF-MARKET BID
- SECTION 633 DETAILED STEPS IN AN OFF-MARKET BID
- SECTION 634 OVERVIEW OF STEPS IN A MARKET BID
- SECTION 635 DETAILED STEPS IN A MARKET BID
- Division 2 - The bidder ' s statement
- SECTION 636 BIDDER ' S STATEMENT CONTENT
- SECTION 637 BIDDER ' S STATEMENT FORMALITIES
- Division 3 - The target ' s response
- SECTION 638 TARGET ' S STATEMENT CONTENT
- SECTION 639 TARGET ' S STATEMENT FORMALITIES
- SECTION 640 EXPERT ' S REPORT TO ACCOMPANY TARGET ' S STATEMENT IF BIDDER CONNECTED WITH TARGET
- SECTION 641 TARGET MUST INFORM BIDDER ABOUT SECURITIES HOLDINGS
- SECTION 641A USE OR DISCLOSURE OF INFORMATION OBTAINED FROM TARGET
- SECTION 642 EXPENSES OF DIRECTORS OF TARGET COMPANIES
- Division 4 - Updating and correcting the bidder ' s statement and target ' s statement
- SECTION 643 SUPPLEMENTARY BIDDER ' S STATEMENT
- SECTION 644 SUPPLEMENTARY TARGET ' S STATEMENT
- SECTION 645 FORM OF SUPPLEMENTARY STATEMENT
- SECTION 646 CONSEQUENCES OF LODGING A SUPPLEMENTARY STATEMENT
- SECTION 647 TO WHOM SUPPLEMENTARY STATEMENT MUST BE SENT
- Division 5 - General rules on takeover procedure
- Subdivision A - Experts ' reports
- SECTION 648A EXPERTS ' REPORTS
- Subdivision B - Sending documents to holders of securities
- SECTION 648B ADDRESS AT WHICH BIDDER MAY SEND DOCUMENTS TO HOLDERS OF SECURITIES
- SECTION 648C SENDING DOCUMENTS TO HOLDERS OF SECURITIES - GENERAL
- SECTION 648CB SENDING DOCUMENTS TO HOLDERS OF SECURITIES - EFFECT OF ELECTION BY HOLDER TO BE SENT DOCUMENTS BY TARGET IN PARTICULAR FORM
- Subdivision C - Effect of proportional takeover approval provisions
- SECTION 648D CONSTITUTION MAY CONTAIN PROPORTIONAL TAKEOVER APPROVAL PROVISIONS
- SECTION 648E RESOLUTION TO BE PUT IF PROPORTIONAL BID MADE
- SECTION 648F EFFECT OF REJECTION OF APPROVAL RESOLUTION
- SECTION 648G INCLUDING PROPORTIONAL TAKEOVER PROVISIONS IN CONSTITUTION
- SECTION 648H EFFECT OF SUBDIVISION
- Subdivision D - Telephone monitoring
- PART 6.6 - VARIATION OF OFFERS
- Division 1 - Market bids
- SECTION 649A GENERAL
- SECTION 649B MARKET BIDS - RAISING BID PRICE
- SECTION 649C MARKET BIDS - EXTENDING THE OFFER PERIOD
- Division 2 - Off-market bids (express variation by bidder)
- SECTION 650A GENERAL
- SECTION 650B OFF-MARKET BIDS - CONSIDERATION OFFERED
- SECTION 650C OFF-MARKET BIDS - EXTENSION OF OFFER PERIOD
- SECTION 650D OFF-MARKET BIDS - METHOD OF MAKING VARIATION
- SECTION 650E RIGHT TO WITHDRAW ACCEPTANCE
- SECTION 650F FREEING OFF-MARKET BIDS FROM DEFEATING CONDITIONS
- SECTION 650G CONTRACTS AND ACCEPTANCES VOID IF DEFEATING CONDITION NOT FULFILLED
- Division 3 - Off-market bids (automatic variations)
- SECTION 651A OFF-MARKET BID - EFFECT ON BID CONSIDERATION OF PURCHASES MADE OUTSIDE BID
- SECTION 651B HOW TO MAKE AN ELECTION FOR NEW FORMS OF CONSIDERATION
- SECTION 651C RETURNING SECURITIES AS PART OF ELECTION
- PART 6.7 - WITHDRAWAL AND SUSPENSION OF OFFERS
- SECTION 652A WITHDRAWAL OF UNACCEPTED OFFERS UNDER TAKEOVER BID
- SECTION 652B WITHDRAWAL OF TAKEOVER OFFERS WITH ASIC CONSENT
- SECTION 652C WITHDRAWAL OF MARKET BIDS
- PART 6.8 - ACCEPTANCES
- SECTION 653A ACCEPTANCE OF OFFERS MADE UNDER OFF-MARKET BID
- SECTION 653B ACCEPTANCES BY TRANSFEREES AND NOMINEES OF OFFERS MADE UNDER OFF-MARKET BID
- PART 6.9 - OTHER ACTIVITIES DURING THE BID PERIOD
- SECTION 654A BIDDER NOT TO DISPOSE OF SECURITIES DURING THE BID PERIOD
- SECTION 654B DISCLOSURES ABOUT SUBSTANTIAL SHAREHOLDINGS IN LISTED COMPANIES
- SECTION 654C DISCLOSURES ABOUT SUBSTANTIAL SHAREHOLDINGS IN UNLISTED COMPANIES
- PART 6.10 - REVIEW AND INTERVENTION
- Division 1 - ASIC ' s power to exempt and modify
- SECTION 655A ASIC ' S POWER TO EXEMPT AND MODIFY
- SECTION 655B NOTICE OF DECISION AND REVIEW RIGHTS
- Division 2 - The Takeovers Panel
- Subdivision A - Review of ASIC ' s exercise of its exemption or modification powers
- SECTION 656A REVIEW OF EXERCISE OF EXEMPTION OR MODIFICATION POWERS
- SECTION 656B OPERATION AND IMPLEMENTATION OF A DECISION THAT IS SUBJECT TO REVIEW
- Subdivision B - Unacceptable circumstances
- SECTION 657A DECLARATION OF UNACCEPTABLE CIRCUMSTANCES
- SECTION 657B WHEN TAKEOVERS PANEL MAY MAKE DECLARATION
- SECTION 657C APPLYING FOR DECLARATIONS AND ORDERS
- SECTION 657D ORDERS THAT TAKEOVERS PANEL MAY MAKE FOLLOWING DECLARATION
- SECTION 657E INTERIM ORDERS
- SECTION 657EA INTERNAL TAKEOVERS PANEL REVIEWS
- SECTION 657EB REFERENCES BY COURTS
- SECTION 657F OFFENCE TO CONTRAVENE TAKEOVERS PANEL ORDER
- SECTION 657G ORDERS BY THE COURT WHERE CONTRAVENTION OR PROPOSED CONTRAVENTION OF TAKEOVERS PANEL ORDER
- SECTION 657H ASIC MAY PUBLISH REPORT ABOUT APPLICATION TO TAKEOVERS PANEL OR COURT
- Subdivision C - General provisions
- SECTION 658A POWER OF TAKEOVERS PANEL WHERE A PROCEEDING IS FRIVOLOUS OR VEXATIOUS
- SECTION 658B EVIDENTIARY VALUE OF FINDINGS OF FACT BY TAKEOVERS PANEL
- SECTION 658C TAKEOVERS PANEL ' S POWER TO MAKE RULES
- SECTION 658D INCONSISTENCY BETWEEN TAKEOVERS PANEL RULES AND ASIC EXEMPTION OR DECLARATION
- Division 3 - Court powers
- SECTION 659A TAKEOVERS PANEL MAY REFER QUESTIONS OF LAW TO THE COURT
- SECTION 659AA OBJECT OF SECTIONS 659B AND 659C
- SECTION 659B COURT PROCEEDINGS BEFORE END OF BID PERIOD
- SECTION 659C COURT PROCEEDINGS AFTER END OF BID PERIOD
- CHAPTER 6A - COMPULSORY ACQUISITIONS AND BUY-OUTS
- SECTION 660A CHAPTER EXTENDS TO SOME LISTED BODIES THAT ARE NOT COMPANIES
- SECTION 660B CHAPTER EXTENDS TO LISTED REGISTERED SCHEMES
- SECTION 660C CHAPTER DOES NOT APPLY TO MCIs
- PART 6A.1 - COMPULSORY ACQUISITIONS AND BUY-OUTS FOLLOWING TAKEOVER BID
- Division 1 - Compulsory acquisition of bid class securities
- SECTION 661A COMPULSORY ACQUISITION POWER FOLLOWING TAKEOVER BID
- SECTION 661B COMPULSORY ACQUISITION NOTICE
- SECTION 661C TERMS ON WHICH SECURITIES TO BE ACQUIRED
- SECTION 661D HOLDER MAY OBTAIN NAMES AND ADDRESSES OF OTHER HOLDERS
- SECTION 661E HOLDER MAY APPLY TO COURT TO STOP ACQUISITION
- SECTION 661F SIGNPOST - COMPLETING THE ACQUISITION OF THE SECURITIES
- Division 2 - Compulsory buy-out of bid class securities
- SECTION 662A BIDDER MUST OFFER TO BUY OUT REMAINING HOLDERS OF BID CLASS SECURITIES
- SECTION 662B BIDDER TO TELL REMAINING HOLDERS OF THEIR RIGHT TO BE BOUGHT OUT
- SECTION 662C RIGHT OF REMAINING HOLDER OF SECURITIES IN THE BID CLASS TO BE BOUGHT OUT
- Division 3 - Compulsory buy-out of convertible securities
- SECTION 663A BIDDER MUST OFFER TO BUY OUT HOLDERS OF CONVERTIBLE SECURITIES
- SECTION 663B BIDDER TO TELL HOLDERS OF CONVERTIBLE SECURITIES OF THEIR RIGHT TO BE BOUGHT OUT
- SECTION 663C RIGHT OF HOLDERS OF CONVERTIBLE SECURITIES TO BE BOUGHT OUT
- PART 6A.2 - GENERAL COMPULSORY ACQUISITIONS AND BUY-OUTS
- Division 1 - Compulsory acquisition of securities by 90% holder
- SECTION 664A THRESHOLD FOR GENERAL COMPULSORY ACQUISITION POWER
- SECTION 664AA TIME LIMIT ON EXERCISING COMPULSORY ACQUISITION POWER
- SECTION 664B THE TERMS FOR COMPULSORY ACQUISITION
- SECTION 664C COMPULSORY ACQUISITION NOTICE
- SECTION 664D BENEFITS OUTSIDE COMPULSORY ACQUISITION PROCEDURE
- SECTION 664E HOLDER ' S RIGHT TO OBJECT TO THE ACQUISITION
- SECTION 664F THE COURT ' S POWER TO APPROVE ACQUISITION
- SECTION 664G SIGNPOST - COMPLETING THE ACQUISITION OF THE SECURITIES
- Division 2 - Compulsory buy-out of convertible securities by 100% holder
- SECTION 665A 100% HOLDER MUST OFFER TO BUY OUT HOLDERS OF CONVERTIBLE SECURITIES
- SECTION 665B 100% HOLDER TO TELL HOLDERS OF CONVERTIBLE SECURITIES OF THEIR RIGHT TO BE BOUGHT OUT
- SECTION 665C RIGHT OF HOLDERS OF CONVERTIBLE SECURITIES TO BE BOUGHT OUT
- Division 3 - Notice that person has become 85% holder of a class of securities
- PART 6A.3 - COMPLETION OF COMPULSORY ACQUISITION OF SECURITIES
- SECTION 666A COMPLETING THE ACQUISITION OF SECURITIES
- SECTION 666B STATUTORY PROCEDURE FOR COMPLETION
- PART 6A.4 - EXPERTS ' REPORTS AND VALUATIONS
- SECTION 667A EXPERT ' S REPORT
- SECTION 667AA EXPERT TO BE NOMINATED
- SECTION 667B EXPERT MUST NOT BE AN ASSOCIATE AND MUST DISCLOSE PRIOR DEALINGS AND RELATIONSHIPS
- SECTION 667C VALUATION OF SECURITIES
- PART 6A.5 - RECORDS OF UNCLAIMED CONSIDERATION
- SECTION 668A COMPANY ' S POWER TO DEAL WITH UNCLAIMED CONSIDERATION FOR COMPULSORY ACQUISITION
- SECTION 668B UNCLAIMED CONSIDERATION TO BE TRANSFERRED TO ASIC
- PART 6A.6 - ASIC POWERS
- SECTION 669 ASIC ' S POWER TO EXEMPT AND MODIFY
- PART 6A.7 - MISCELLANEOUS
- SECTION 669A SENDING DOCUMENTS
- CHAPTER 6B - RIGHTS AND LIABILITIES IN RELATION TO CHAPTER 6 AND 6A MATTERS
- SECTION 670A MISSTATEMENTS IN, OR OMISSIONS FROM, TAKEOVER AND COMPULSORY ACQUISITION AND BUY-OUT DOCUMENTS
- SECTION 670B RIGHT TO RECOVER FOR LOSS OR DAMAGE RESULTING FROM CONTRAVENTION
- SECTION 670C PEOPLE LIABLE ON TAKEOVER OR COMPULSORY ACQUISITION STATEMENT TO INFORM MAKER ABOUT DEFICIENCIES IN THE STATEMENT
- SECTION 670D DEFENCES AGAINST PROSECUTIONS UNDER SUBSECTION 670A(3) AND ACTIONS UNDER SECTION 670B
- SECTION 670E LIABILITY FOR PROPOSING A BID OR NOT CARRYING THROUGH WITH BID
- SECTION 670F DEFENCES
- CHAPTER 6C - INFORMATION ABOUT OWNERSHIP OF LISTED COMPANIES, LISTED REGISTERED SCHEMES AND LISTED NOTIFIED FOREIGN PASSPORT FUNDS
- SECTION 671A CHAPTER EXTENDS TO SOME LISTED BODIES THAT ARE NOT COMPANIES
- PART 6C.1 - SUBSTANTIAL HOLDING INFORMATION
- SECTION 671B INFORMATION ABOUT SUBSTANTIAL HOLDINGS MUST BE GIVEN TO COMPANY, RESPONSIBLE ENTITY, FUND OPERATOR AND RELEVANT MARKET OPERATOR
- SECTION 671C CIVIL LIABILITY
- PART 6C.2 - TRACING BENEFICIAL OWNERSHIP OF SHARES
- SECTION 672A DISCLOSURE NOTICES
- SECTION 672B DISCLOSURE BY MEMBER OF RELEVANT INTERESTS AND INSTRUCTIONS
- SECTION 672C ASIC MAY PASS INFORMATION ON TO PERSON WHO MADE REQUEST
- SECTION 672D FEE FOR COMPLYING WITH A DIRECTION GIVEN BY A COMPANY, SCHEME OR FUND UNDER THIS PART
- SECTION 672DA REGISTER OF INFORMATION ABOUT RELEVANT INTERESTS IN LISTED COMPANY, LISTED REGISTERED SCHEME OR LISTED NOTIFIED FOREIGN PASSPORT FUND
- SECTION 672E NO NOTICE OF RIGHTS
- SECTION 672F CIVIL LIABILITY
- PART 6C.3 - ASIC POWERS
- SECTION 673 ASIC ' S POWER TO EXEMPT AND MODIFY
- CHAPTER 6CA - CONTINUOUS DISCLOSURE
- SECTION 674 CONTINUOUS DISCLOSURE - LISTED DISCLOSING ENTITY BOUND BY A DISCLOSURE REQUIREMENT IN MARKET LISTING RULES - REASONABLE PERSON ' S EXPECTATIONS
- SECTION 674A CONTINUOUS DISCLOSURE - LISTED DISCLOSING ENTITY BOUND BY A DISCLOSURE REQUIREMENT IN MARKET LISTING RULES - KNOWLEDGE, RECKLESSNESS OR NEGLIGENCE
- SECTION 675 CONTINUOUS DISCLOSURE - OTHER DISCLOSING ENTITIES - REASONABLE PERSON ' S EXPECTATIONS
- SECTION 675A CONTINUOUS DISCLOSURE - OTHER DISCLOSING ENTITIES - KNOWLEDGE, RECKLESSNESS OR NEGLIGENCE
- SECTION 676 MEANING OF GENERALLY AVAILABLE
- SECTION 677 MATERIAL EFFECT ON PRICE OR VALUE
- SECTION 678 APPLICATION OF CRIMINAL CODE TO OFFENCES BASED ON SUBSECTION 674(2), 674(5) OR 675(2)
- CHAPTER 6D - FUNDRAISING
- PART 6D.1 - APPLICATION OF THE FUNDRAISING PROVISIONS
- SECTION 700 COVERAGE OF THE FUNDRAISING RULES
- SECTION 701 TREATMENT OF OFFERS OF INTERESTS IN MANAGED INVESTMENT SCHEME
- SECTION 702 TREATMENT OF OFFERS OF OPTIONS OVER SECURITIES
- SECTION 703 CHAPTER MAY NOT BE CONTRACTED OUT OF
- SECTION 703A OPERATING A CLEARING AND SETTLEMENT FACILITY IS NOT OFFERING SECURITIES ETC.
- PART 6D.2 - DISCLOSURE TO INVESTORS ABOUT SECURITIES (OTHER THAN FOR CSF OFFERS)
- Division 1 - Overview
- SECTION 703B PART GENERALLY DOES NOT APPLY IN RELATION TO CSF OFFERS
- SECTION 704 WHEN DISCLOSURE TO INVESTORS IS NEEDED
- SECTION 705 TYPES OF DISCLOSURE DOCUMENT
- Division 2 - Offers that need disclosure to investors
- SECTION 706 ISSUE OFFERS THAT NEED DISCLOSURE
- SECTION 707 SALE OFFERS THAT NEED DISCLOSURE
- SECTION 708 OFFERS THAT DO NOT NEED DISCLOSURE
- SECTION 708AA RIGHTS ISSUES THAT DO NOT NEED DISCLOSURE
- SECTION 708A SALE OFFERS THAT DO NOT NEED DISCLOSURE
- Division 3 - Types of disclosure documents
- SECTION 709 PROSPECTUSES, SHORT-FORM PROSPECTUSES, PROFILE STATEMENTS AND OFFER INFORMATION STATEMENTS
- Division 4 - Disclosure requirements
- SECTION 710 PROSPECTUS CONTENT - GENERAL DISCLOSURE TEST
- SECTION 711 PROSPECTUS CONTENT - SPECIFIC DISCLOSURES
- SECTION 712 PROSPECTUS CONTENT - SHORT FORM PROSPECTUSES
- SECTION 713 SPECIAL PROSPECTUS CONTENT RULES FOR CONTINUOUSLY QUOTED SECURITIES
- SECTION 713A OFFER OF SIMPLE CORPORATE BONDS
- SECTION 713B SIMPLE CORPORATE BONDS - 2-PART SIMPLE CORPORATE BONDS PROSPECTUS
- SECTION 713C SIMPLE CORPORATE BONDS - BASE PROSPECTUS
- SECTION 713D SIMPLE CORPORATE BONDS - OFFER-SPECIFIC PROSPECTUS
- SECTION 713E SIMPLE CORPORATE BONDS - PROSPECTUS MAY REFER TO OTHER MATERIAL LODGED WITH ASIC
- SECTION 714 CONTENTS OF PROFILE STATEMENT
- SECTION 715 CONTENTS OF OFFER INFORMATION STATEMENT
- SECTION 715A PRESENTATION ETC. OF DISCLOSURE DOCUMENTS
- SECTION 716 DISCLOSURE DOCUMENT DATE AND CONSENTS
- Division 5 - Procedure for offering securities
- SECTION 717 OVERVIEW OF PROCEDURE FOR OFFERING SECURITIES
- SECTION 718 LODGING OF DISCLOSURE DOCUMENT
- SECTION 719 LODGING SUPPLEMENTARY OR REPLACEMENT DOCUMENT - GENERAL
- SECTION 719A LODGING SUPPLEMENTARY OR REPLACEMENT DOCUMENT - 2-PART SIMPLE CORPORATE BONDS PROSPECTUS
- SECTION 720 CONSENTS NEEDED FOR LODGMENT
- SECTION 721 OFFER MUST BE MADE IN, OR ACCOMPANIED BY, THE DISCLOSURE DOCUMENT
- SECTION 722 APPLICATION MONEY TO BE HELD ON TRUST
- SECTION 723 ISSUING OR TRANSFERRING THE SECURITIES UNDER A DISCLOSURE DOCUMENT
- SECTION 724 CHOICES OPEN TO PERSON MAKING THE OFFER IF DISCLOSURE DOCUMENT CONDITION NOT MET OR DISCLOSURE DOCUMENT DEFECTIVE
- SECTION 725 EXPIRATION OF DISCLOSURE DOCUMENT
- PART 6D.3 - PROHIBITIONS, LIABILITIES AND REMEDIES (OTHER THAN FOR CSF OFFERS)
- Division 1A - Introduction
- SECTION 725A PART GENERALLY DOES NOT APPLY IN RELATION TO CSF OFFERS
- Division 1 - Prohibitions and liabilities
- SECTION 726 OFFERING SECURITIES IN A BODY THAT DOES NOT EXIST
- SECTION 727 OFFERING SECURITIES WITHOUT A CURRENT DISCLOSURE DOCUMENT
- SECTION 728 MISSTATEMENT IN, OR OMISSION FROM, DISCLOSURE DOCUMENT
- SECTION 729 RIGHT TO RECOVER FOR LOSS OR DAMAGE RESULTING FROM CONTRAVENTION
- SECTION 730 PEOPLE LIABLE ON DISCLOSURE DOCUMENT TO INFORM PERSON MAKING THE OFFER ABOUT DEFICIENCIES IN THE DISCLOSURE DOCUMENT
- SECTION 731 DUE DILIGENCE DEFENCE FOR PROSPECTUSES
- SECTION 732 LACK OF KNOWLEDGE DEFENCE FOR OFFER INFORMATION STATEMENTS AND PROFILE STATEMENTS
- SECTION 733 GENERAL DEFENCES FOR ALL DISCLOSURE DOCUMENTS
- SECTION 734 RESTRICTIONS ON ADVERTISING AND PUBLICITY
- SECTION 735 OBLIGATION TO KEEP CONSENTS AND OTHER DOCUMENTS
- SECTION 736 SECURITIES HAWKING PROHIBITED
- Division 2 - Remedies
- SECTION 737 REMEDIES FOR INVESTORS
- SECTION 738 SECURITIES MAY BE RETURNED AND REFUND OBTAINED
- PART 6D.3A - CROWD-SOURCED FUNDING
- Division 1 - Introduction
- SECTION 738A OBJECT
- SECTION 738B MEANING OF CSF OFFER
- SECTION 738C MEANING OF CSF INTERMEDIARY
- SECTION 738D MEANING OF RETAIL CLIENT IN RELATION TO A CSF OFFER
- SECTION 738E OFFER OF THE SECURITIES MAY ALSO BE MADE IN RELIANCE ON SECTION 708
- SECTION 738F APPLICATION OF PROVISIONS OF CHAPTER 7 RELATING TO HOW OBLIGATIONS ETC. APPLY TO DIFFERENT KINDS OF PERSONS
- Division 2 - Offers that are eligible to be made under this Part
- SECTION 738G OFFERS THAT ARE ELIGIBLE TO BE MADE UNDER THIS PART
- SECTION 738H MEANING OF ELIGIBLE CSF COMPANY
- Division 3 - Making offers under this Part
- SECTION 738J CSF OFFER DOCUMENT TO BE PREPARED
- SECTION 738K OTHER REQUIREMENTS FOR CSF OFFER DOCUMENT
- SECTION 738L CSF OFFER DOCUMENT TO BE PUBLISHED ON PLATFORM OF A SINGLE CSF INTERMEDIARY
- SECTION 738M CONSENTS NEEDED FOR PUBLICATION OF CSF OFFER DOCUMENT
- SECTION 738N MEANING OF MADE, OPEN, CLOSED, SUSPENDED AND COMPLETE
- SECTION 738P CSF OFFER DOCUMENT TO BE REMOVED FROM OFFER PLATFORM IF OFFER CLOSES IN CERTAIN CIRCUMSTANCES
- SECTION 738Q GATEKEEPER OBLIGATIONS OF CSF INTERMEDIARIES
- SECTION 738R COMPANY AND RELATED PARTIES NOT TO HAVE MORE THAN ONE CSF OFFER OPEN AT ANY ONE TIME
- SECTION 738S COMPANY MAY NOTIFY RESPONSIBLE INTERMEDIARY THAT IT WANTS CSF OFFER WITHDRAWN
- SECTION 738T WITHDRAWAL OF APPLICATIONS MADE PURSUANT TO CSF OFFER
- Division 4 - Defective etc. CSF offer documents
- SECTION 738U MEANING OF DEFECTIVE
- SECTION 738V OBLIGATION TO NOTIFY COMPANY MAKING OFFER, AND RESPONSIBLE INTERMEDIARY, IF CSF OFFER DOCUMENT IS DEFECTIVE
- SECTION 738W COMPANY MAY PROVIDE REPLACEMENT OR SUPPLEMENTARY CSF DOCUMENT IN CERTAIN CIRCUMSTANCES
- SECTION 738X RESPONSIBLE INTERMEDIARY ' S OBLIGATIONS ON BECOMING AWARE THAT CSF OFFER DOCUMENT IS DEFECTIVE
- SECTION 738Y OTHER LIABILITIES RELATING TO DEFECTIVE CSF OFFER DOCUMENTS
- SECTION 738Z EXCEPTIONS TO LIABILITY UNDER SECTION 738Y
- Division 5 - Other obligations of CSF intermediaries
- SECTION 738ZA GENERAL OBLIGATIONS OF CSF INTERMEDIARIES RELATING TO THEIR PLATFORMS ETC.
- SECTION 738ZB RESPONSIBLE INTERMEDIARY ' S OBLIGATIONS RELATING TO APPLICATION MONEY
- Division 6 - Additional protections for retail clients
- SECTION 738ZC CAPS ON INVESTMENT BY RETAIL CLIENTS PURSUANT TO CSF OFFERS
- SECTION 738ZD COOLING-OFF RIGHTS FOR RETAIL CLIENTS
- SECTION 738ZE COMPANY MAKING CSF OFFER OR CSF INTERMEDIARY ETC. MUST NOT FINANCIALLY ASSIST RETAIL CLIENT TO ACQUIRE SECURITIES
- Division 7 - Other matters
- SECTION 738ZF OFFERING SECURITIES OF A COMPANY THAT DOES NOT EXIST
- SECTION 738ZG RESTRICTIONS ON ADVERTISING AND PUBLICITY
- SECTION 738ZH LIABILITIES UNDER OTHER LAWS NOT AFFECTED
- SECTION 738ZI COMPANIES ELIGIBLE FOR LIMITED GOVERNANCE REQUIREMENTS
- SECTION 738ZJ REGULATIONS RELATING TO HOW CSF INTERMEDIARIES ARE TO DEAL WITH APPLICATIONS
- SECTION 738ZK RELATED PARTY TRANSACTIONS - PROPRIETARY COMPANIES THAT HAVE ONE OR MORE CSF SHAREHOLDERS
- PART 6D.4 - ASIC'S POWERS
- SECTION 739 ASIC STOP ORDERS
- SECTION 740 ANTI-AVOIDANCE DETERMINATIONS
- SECTION 741 ASIC'S POWER TO EXEMPT AND MODIFY
- PART 6D.5 - MISCELLANEOUS
- SECTION 742 EXEMPTIONS AND MODIFICATIONS BY REGULATIONS
- CHAPTER 7 - FINANCIAL SERVICES AND MARKETS
- PART 7.1 - PRELIMINARY
- Division 1 - Object of Chapter and outline of Chapter
- SECTION 760A OBJECT OF CHAPTER
- SECTION 760B OUTLINE OF CHAPTER
- Division 2 - Meaning of some terms relating to financial services and markets
- SECTION 761A MEANING OF SOME TERMS RELATING TO FINANCIAL SERVICES AND MARKETS
- SECTION 761B MEANING OF ARRANGEMENT
- SECTION 761C MEANING OF CARRY ON A FINANCIAL SERVICES BUSINESS
- SECTION 761CAA MEANING OF CLAIMANT INTERMEDIARY
- SECTION 761CA MEANING OF CLASS AND KIND OF FINANCIAL PRODUCTS AND FINANCIAL SERVICES
- SECTION 761D MEANING OF DERIVATIVE
- SECTION 761DA MEANING OF INSURANCE CLAIMS MANAGER
- SECTION 761E MEANING OF ACQUIRE, ISSUE AND PROVIDE
- SECTION 761EA MEANING OF MARGIN LENDING FACILITY , MARGIN CALL AND ASSOCIATED EXPRESSIONS
- SECTION 761F MEANING OF PERSON - GENERALLY INCLUDES A PARTNERSHIP
- SECTION 761FA MEANING OF PERSON - GENERALLY INCLUDES MULTIPLE TRUSTEES
- SECTION 761G MEANING OF RETAIL CLIENT AND WHOLESALE CLIENT
- SECTION 761GA MEANING OF RETAIL CLIENT - SOPHISTICATED INVESTORS
- SECTION 761H REFERENCES TO THIS CHAPTER INCLUDE REFERENCES TO REGULATIONS OR OTHER INSTRUMENTS MADE FOR THE PURPOSES OF THIS CHAPTER
- Division 3 - Meaning of financial product and related terms
- Subdivision A - Preliminary
- SECTION 762A OVERVIEW OF APPROACH TO DEFINING WHAT A FINANCIAL PRODUCT IS
- SECTION 762B WHAT IF A FINANCIAL PRODUCT IS PART OF A BROADER FACILITY?
- SECTION 762C MEANING OF FACILITY
- Subdivision B - The general definition
- SECTION 763A MEANING OF FINANCIAL PRODUCT
- SECTION 763B MEANING OF MAKES A FINANCIAL INVESTMENT
- SECTION 763C MEANING OF MANAGES FINANCIAL RISK
- SECTION 763D MEANING OF MAKES NON-CASH PAYMENTS
- SECTION 763E WHAT IF A FINANCIAL PRODUCT IS ONLY INCIDENTAL?
- Subdivision C - Specific inclusions
- SECTION 764A SPECIFIC THINGS THAT ARE FINANCIAL PRODUCTS (SUBJECT TO SUBDIVISION D)
- Subdivision D - Specific exclusions
- SECTION 765A SPECIFIC THINGS THAT ARE NOT FINANCIAL PRODUCTS
- SECTION 765B FUNERAL EXPENSES FACILITIES ARE NOT FUNERAL BENEFITS
- Division 4 - Meaning of financial service and related terms
- SECTION 766A MEANING OF FINANCIAL SERVICE
- SECTION 766B MEANING OF FINANCIAL PRODUCT ADVICE, PERSONAL ADVICE AND GENERAL ADVICE
- SECTION 766C MEANING OF DEALING
- SECTION 766D MEANING OF MAKES A MARKET
- SECTION 766E MEANING OF CUSTODIAL OR DEPOSITORY SERVICE
- SECTION 766F MEANING OF CROWD-FUNDING SERVICE
- SECTION 766G MEANING OF CLAIMS HANDLING AND SETTLING SERVICE
- SECTION 766H MEANING OF SUPERANNUATION TRUSTEE SERVICE
- Division 5 - Meaning of financial market
- SECTION 767A MEANING OF FINANCIAL MARKET
- Division 6 - Meaning of clearing and settlement facility
- SECTION 768A MEANING OF CLEARING AND SETTLEMENT FACILITY
- Division 7 - General provisions relating to civil and criminal liability
- SECTION 769A PART 2.5 OF CRIMINAL CODE DOES NOT APPLY
- SECTION 769B PEOPLE ARE GENERALLY RESPONSIBLE FOR THE CONDUCT OF THEIR AGENTS, EMPLOYEES ETC.
- SECTION 769C REPRESENTATIONS ABOUT FUTURE MATTERS TAKEN TO BE MISLEADING IF MADE WITHOUT REASONABLE GROUNDS
- PART 7.2 - LICENSING OF FINANCIAL MARKETS
- Division 1 - Preliminary
- SECTION 790A MEANING OF CLEARING AND SETTLEMENT ARRANGEMENTS
- Division 2 - Requirement to be licensed
- SECTION 791A NEED FOR A LICENCE
- SECTION 791B OTHER PROHIBITIONS ON HOLDING OUT
- SECTION 791C EXEMPTIONS BY ASIC
- SECTION 791D WHEN A FINANCIAL MARKET IS OPERATED IN THIS JURISDICTION
- SECTION 791E CRITERIA FOR DECLARATIONS THAT FINANCIAL MARKETS HAVE A MATERIAL CONNECTION WITH THIS JURISDICTION
- SECTION 791F MINISTERIAL CONSENT TO ASIC DETERMINATION REQUIRED
- SECTION 791G REVOKING DECLARATIONS THAT FINANCIAL MARKETS HAVE A MATERIAL CONNECTION WITH THIS JURISDICTION
- Division 3 - Regulation of market licensees
- Subdivision A - Licensee's obligations
- SECTION 792A GENERAL OBLIGATIONS
- SECTION 792B OBLIGATION TO NOTIFY ASIC OF CERTAIN MATTERS
- SECTION 792C GIVING ASIC INFORMATION ABOUT A LISTED DISCLOSING ENTITY
- SECTION 792D OBLIGATION TO ASSIST ASIC
- SECTION 792E OBLIGATION TO GIVE ASIC ACCESS TO MARKET FACILITIES
- SECTION 792F ANNUAL REPORT
- SECTION 792G OBLIGATIONS TO NOTIFY PEOPLE ABOUT CLEARING AND SETTLEMENT ARRANGEMENTS IN CERTAIN CIRCUMSTANCES
- SECTION 792H CHANGE OF COUNTRY BY FOREIGN LICENSEE
- SECTION 792I MAKING INFORMATION ABOUT COMPENSATION ARRANGEMENTS PUBLICLY AVAILABLE
- Subdivision B - The market's operating rules and procedures
- SECTION 793A CONTENT OF THE OPERATING RULES AND PROCEDURES
- SECTION 793B LEGAL EFFECT OF OPERATING RULES
- SECTION 793C ENFORCEMENT OF OPERATING RULES
- SECTION 793D CHANGING THE OPERATING RULES
- SECTION 793E DISALLOWANCE OF CHANGES TO OPERATING RULES
- Subdivision C - Powers of ASIC
- SECTION 794A ASIC ' S DIRECTIONS POWER - PROMOTING COMPLIANCE
- SECTION 794AA ASIC ' S DIRECTIONS POWER - CRISIS RESOLUTION
- SECTION 794AB MATTERS RELATING TO ASIC DIRECTIONS - CRISIS RESOLUTION
- SECTION 794B ASIC ' S POWER TO REQUIRE SPECIAL REPORT
- SECTION 794BA ASIC ' S POWER TO REQUIRE EXPERT REPORT
- SECTION 794C ASIC ASSESSMENT OF LICENSEE ' S COMPLIANCE
- SECTION 794D ASIC ' S DIRECTIONS POWER - PROTECTING DEALINGS IN FINANCIAL PRODUCTS
- SECTION 794DA MATTERS RELATING TO ASIC DIRECTIONS - PROTECTING DEALINGS IN FINANCIAL PRODUCTS
- SECTION 794E ADDITIONAL DIRECTIONS TO CLEARING AND SETTLEMENT FACILITIES
- Division 4 - The Australian market licence
- Subdivision A - How to get a licence
- SECTION 795A HOW TO APPLY FOR A LICENCE
- SECTION 795B WHEN A LICENCE MAY BE GRANTED
- SECTION 795C PUBLICATION OF NOTICE OF LICENCE GRANT
- SECTION 795D MORE THAN ONE LICENCE IN THE SAME DOCUMENT
- SECTION 795E MORE THAN ONE MARKET COVERED BY THE SAME LICENCE
- Subdivision B - The conditions on the licence
- SECTION 796A THE CONDITIONS ON THE LICENCE
- Subdivision C - When a licence can be varied, suspended or cancelled
- SECTION 797A VARYING LICENCES
- SECTION 797B IMMEDIATE SUSPENSION OR CANCELLATION
- SECTION 797C SUSPENSION OR CANCELLATION FOLLOWING HEARING AND REPORT
- SECTION 797D EFFECT OF SUSPENSION
- SECTION 797E VARIATION OR REVOCATION OF SUSPENSION
- SECTION 797F PUBLICATION OF NOTICE OF LICENCE SUSPENSION OR CANCELLATION
- SECTION 797G SUSPENSION AND CANCELLATION ONLY IN ACCORDANCE WITH THIS SUBDIVISION
- Division 5 - Other matters
- SECTION 798A MATTERS TO BE TAKEN INTO ACCOUNT BY ASIC
- SECTION 798B ASIC MAY GIVE ADVICE TO MINISTER
- SECTION 798C MARKET LICENSEE OR RELATED BODY CORPORATE ETC. LISTING ON MARKET
- SECTION 798D EXEMPTIONS AND MODIFICATIONS FOR SELF-LISTING LICENSEES OR RELATED BODIES CORPORATE ETC.
- SECTION 798DA MARKET LICENSEE, RELATED BODY CORPORATE ETC. OR COMPETITOR PARTICIPATING IN MARKET
- SECTION 798E OTHER POTENTIAL CONFLICT SITUATIONS
- PART 7.2A - SUPERVISION OF FINANCIAL MARKETS
- SECTION 798F ASIC TO SUPERVISE FINANCIAL MARKETS
- SECTION 798G MARKET INTEGRITY RULES
- SECTION 798H COMPLYING WITH MARKET INTEGRITY RULES
- SECTION 798J ASIC ' S DIRECTIONS POWER - PROTECTING PEOPLE DEALING IN FINANCIAL PRODUCTS
- SECTION 798JA MATTERS RELATING TO ASIC DIRECTIONS - PROTECTING PEOPLE DEALING IN FINANCIAL PRODUCTS
- SECTION 798JB ASIC ' S DIRECTIONS POWER - CRISIS RESOLUTION
- SECTION 798JC MATTERS RELATING TO ASIC DIRECTIONS - CRISIS RESOLUTION
- SECTION 798K ALTERNATIVES TO CIVIL PROCEEDINGS
- SECTION 798L EXEMPTIONS AND MODIFICATIONS BY REGULATIONS
- SECTION 798M EXEMPTIONS BY ASIC
- PART 7.3 - LICENSING OF CLEARING AND SETTLEMENT FACILITIES
- Division 1 - Requirement to be licensed
- SECTION 820A NEED FOR A LICENCE
- SECTION 820B OTHER PROHIBITIONS ON HOLDING OUT
- SECTION 820C EXEMPTIONS BY ASIC
- SECTION 820CA EXEMPTIONS BY RESERVE BANK
- SECTION 820D WHEN A CLEARING AND SETTLEMENT FACILITY IS OPERATED IN THIS JURISDICTION
- SECTION 820E CRITERIA FOR DECLARATIONS THAT CLEARING AND SETTLEMENT FACILITIES HAVE A MATERIAL CONNECTION WITH THIS JURISDICTION
- SECTION 820F RELEVANT DETERMINATIONS
- SECTION 820G MINISTERIAL CONSENT TO RESERVE BANK OR ASIC DETERMINATION REQUIRED
- SECTION 820H REVOKING DECLARATIONS THAT CLEARING AND SETTLEMENT FACILITIES HAVE A MATERIAL CONNECTION WITH THIS JURISDICTION
- Division 2 - Regulation of CS facility licensees
- Subdivision A - Licensee ' s obligations
- SECTION 821A GENERAL OBLIGATIONS
- SECTION 821B OBLIGATION TO NOTIFY ASIC OF CERTAIN MATTERS
- SECTION 821BA OBLIGATION TO NOTIFY RESERVE BANK OF CERTAIN MATTERS
- SECTION 821C OBLIGATION TO ASSIST
- SECTION 821D OBLIGATION TO GIVE ACCESS TO THE FACILITY
- SECTION 821E ANNUAL REPORT
- SECTION 821F CHANGE OF COUNTRY BY FOREIGN LICENSEE
- Subdivision AA - Obligations on licensees and certain related bodies and persons
- SECTION 821H NOTIFICATION OF RECAPITALISATION OR RESTRUCTURING
- SECTION 821J NOTICE OF ANY OTHER MATERIAL CHANGES IN CIRCUMSTANCES
- SECTION 821K NOTIFICATION OF APPOINTMENT OF EXTERNAL ADMINISTRATOR
- SECTION 821L NOTIFICATION FROM LIQUIDATOR AND REQUEST FOR INFORMATION ABOUT WINDING UP
- Subdivision B - The facility ' s operating rules and procedures
- SECTION 822A CONTENT OF THE OPERATING RULES AND PROCEDURES
- SECTION 822B LEGAL EFFECT OF OPERATING RULES
- SECTION 822C ENFORCEMENT OF OPERATING RULES
- SECTION 822D CHANGING THE OPERATING RULES
- SECTION 822E DISALLOWANCE OF CHANGES TO OPERATING RULES
- Subdivision C - Powers of ASIC and the Reserve Bank in relation to licensees
- SECTION 823A ASIC ' S POWER TO GIVE DIRECTIONS
- SECTION 823B ASIC ' S POWER TO REQUIRE SPECIAL REPORT
- SECTION 823BA RESERVE BANK ' S POWER TO REQUIRE SPECIAL REPORT
- SECTION 823BB ASIC ' S POWER TO REQUIRE EXPERT REPORT
- SECTION 823BC RESERVE BANK ' S POWER TO REQUIRE EXPERT REPORT
- SECTION 823C ASIC ASSESSMENT OF LICENSEE ' S COMPLIANCE
- SECTION 823CA RESERVE BANK ASSESSMENT OF COMPLIANCE
- SECTION 823D ASIC ' S DIRECTIONS POWER - PROTECTING DEALINGS IN FINANCIAL PRODUCTS AND ENSURING FAIR AND EFFECTIVE PROVISION OF SERVICES BY CS FACILITIES
- SECTION 823DA MATTERS RELATING TO ASIC DIRECTIONS - PROTECTING DEALINGS IN FINANCIAL PRODUCTS AND ENSURING FAIR AND EFFECTIVE PROVISION OF SERVICES BY CS FACILITIES
- Subdivision D - Reserve Bank ' s directions powers
- SECTION 823E RESERVE BANK ' S DIRECTIONS POWER - DIRECTIONS TO INCREASE COMPLIANCE OR REDUCE SYSTEMIC RISK
- SECTION 823F RESERVE BANK ' S DIRECTIONS POWER - DIRECTIONS TO PRESERVE STABILITY IN THE AUSTRALIAN FINANCIAL SYSTEM
- SECTION 823G RESERVE BANK ' S DIRECTIONS POWER - DIRECTIONS TO ENHANCE RESOLVABILITY
- SECTION 823H RESERVE BANK ' S DIRECTIONS POWER - DIRECTIONS TO GIVE INFORMATION TO ASSIST THE RESERVE BANK PERFORM ITS FUNCTIONS
- SECTION 823J MATTERS RELATING TO ALL RESERVE BANK DIRECTIONS - ORDER FOR BODY CORPORATE TO COMPLY WITH DIRECTION
- SECTION 823K MATTERS RELATING TO ALL RESERVE BANK DIRECTIONS - VARIATION OR REVOCATION
- Subdivision E - Matters relating to Reserve Bank recapitalisation directions
- SECTION 823L RECAPITALISATION DIRECTIONS - MATTERS RELATING TO COMPLIANCE
- SECTION 823M RECAPITALISATION DIRECTIONS - RESERVE BANK MUST OBTAIN EXPERT ' S REPORT ON THE FAIR VALUE OF SHARES ETC.
- SECTION 823N RECAPITALISATION DIRECTIONS - DETERMINATION OF THE FAIR VALUE OF SHARES OR RIGHTS BY AN EXPERT
- SECTION 823P RECAPITALISATION DIRECTIONS - WORKING OUT THE FAIR VALUE OF OTHER CAPITAL INSTRUMENTS
- SECTION 823Q RECAPITALISATION DIRECTIONS - CONTRAVENING CERTAIN PROVISIONS DOES NOT AFFECT THE VALIDITY OF THE DIRECTION ETC.
- SECTION 823R RECAPITALISATION DIRECTIONS - EXCEPTIONS TO PART IV OF THE COMPETITION AND CONSUMER ACT 2010
- Subdivision F - Other matters relating to Reserve Bank directions
- SECTION 823S DIRECTIONS TO PRESERVE STABILITY IN THE AUSTRALIAN FINANCIAL SYSTEM - RELATIONSHIP WITH OTHER PROVISIONS
- SECTION 823T ALL RESERVE BANK DIRECTIONS - PUBLISHING DETAILS ABOUT DIRECTIONS
- SECTION 823U ALL RESERVE BANK DIRECTIONS - INJUNCTIONS
- Subdivision G - Other matters relating to ASIC or Reserve Bank powers
- SECTION 823V EXERCISE OF RESERVE BANK POWERS TO GIVE DIRECTIONS UNDER SECTION 823F NOT GROUNDS FOR DENIAL OF OBLIGATIONS
- SECTION 823W ALL ASIC AND RESERVE BANK DIRECTIONS ETC. UNDER THIS PART - FAILURE BY OFFICERS TO TAKE REASONABLE STEPS TO ENSURE COMPLIANCE
- SECTION 823X ALL ASIC AND RESERVE BANK DIRECTIONS UNDER THIS PART - PROTECTION FROM LIABILITY FOR COMPLIANCE IN GOOD FAITH
- Division 3 - The Australian CS facility licence
- Subdivision A - How to get a licence
- SECTION 824A HOW TO APPLY FOR A LICENCE
- SECTION 824B WHEN A LICENCE MAY BE GRANTED
- SECTION 824C PUBLICATION OF NOTICE OF LICENCE GRANT
- SECTION 824D MORE THAN ONE LICENCE IN THE SAME DOCUMENT
- SECTION 824E MORE THAN ONE CS FACILITY COVERED BY THE SAME LICENCE
- Subdivision B - The conditions on the licence
- SECTION 825A THE CONDITIONS ON THE LICENCE
- Subdivision C - When a licence can be varied, suspended or cancelled
- SECTION 826A VARYING LICENCES
- SECTION 826B IMMEDIATE SUSPENSION OR CANCELLATION
- SECTION 826C SUSPENSION OR CANCELLATION FOLLOWING HEARING AND REPORT
- SECTION 826D EFFECT OF SUSPENSION
- SECTION 826E VARIATION OR REVOCATION OF SUSPENSION
- SECTION 826F PUBLICATION OF NOTICE OF LICENCE SUSPENSION OR CANCELLATION
- SECTION 826G SUSPENSION AND CANCELLATION ONLY IN ACCORDANCE WITH THIS SUBDIVISION
- Division 3A - CS facility rules
- Subdivision A - Power to make CS facility rules
- SECTION 826H CS FACILITY RULES
- Subdivision B - Compliance with CS facility rules
- SECTION 826J COMPLYING WITH CS FACILITY RULES
- SECTION 826K INCONSISTENCY WITH OTHER INSTRUMENTS
- SECTION 826L ALTERNATIVES TO CIVIL PROCEEDINGS
- Subdivision C - The process of making CS facility rules
- SECTION 826M ASIC TO CONSULT BEFORE MAKING RULES
- SECTION 826N MINISTERIAL CONSENT TO RULES REQUIRED
- SECTION 826P EMERGENCY RULES - CONSULTATION AND CONSENT NOT REQUIRED
- SECTION 826Q CRISIS RESOLUTION - CONSULTATION AND CONSENT NOT REQUIRED
- SECTION 826R VARIATION AND REVOCATION OF RULES
- Subdivision D - Limitations
- SECTION 826S REGULATIONS MAY LIMIT HOW RULES MAY DEAL WITH CERTAIN MATTERS
- Subdivision E - Exemptions
- SECTION 826T PROVISIONS COVERED BY THIS SUBDIVISION
- SECTION 826U EXEMPTIONS AND MODIFICATIONS BY REGULATIONS
- Division 4 - Other matters
- SECTION 827A MATTERS TO BE TAKEN INTO ACCOUNT BY ASIC
- SECTION 827B ASIC MAY GIVE ADVICE TO MINISTER AND RESERVE BANK
- SECTION 827C RESERVE BANK MAY GIVE ADVICE TO MINISTER AND ASIC
- SECTION 827D RESERVE BANK MAY DETERMINE FINANCIAL STABILITY STANDARDS
- SECTION 827DA RESERVE BANK MAY DETERMINE RESOLVABILITY STANDARDS FOR CS FACILITY LICENSEES AND CERTAIN RELATED BODIES CORPORATE
- SECTION 827DB RESOLUTION PLANNING
- SECTION 827E CERTAIN POWERS - CONSULTATION BETWEEN ASIC AND THE RESERVE BANK
- PART 7.3A - CS SERVICES
- Division 1 - Preliminary
- SECTION 828 MEANING OF CS SERVICE
- Division 2 - Regulation of CS services: CS services rules
- Subdivision A - Power to make CS services rules
- SECTION 828A CS SERVICES RULES
- SECTION 828B CS SERVICES IN RELATION TO WHICH RULES MAY IMPOSE REQUIREMENTS
- Subdivision B - Compliance with CS services rules
- SECTION 828C OBLIGATION TO COMPLY WITH CS SERVICES RULES
- SECTION 828D OBLIGATION TO NOTIFY ASIC IN RESPECT OF BREACH
- SECTION 828E ALTERNATIVES TO CIVIL PROCEEDINGS
- SECTION 828F FAILURE TO COMPLY WITH CS SERVICES RULES DOES NOT INVALIDATE TRANSACTION ETC.
- Subdivision C - Power of ASIC to give directions etc.
- SECTION 828G ASIC ' S POWER TO GIVE DIRECTIONS TO PERSON NOT COMPLYING WITH OBLIGATIONS
- Subdivision D - The process of making CS services
- SECTION 828H MATTERS TO WHICH ASIC MUST HAVE REGARD WHEN MAKING RULES
- SECTION 828J ASIC TO CONSULT BEFORE MAKING RULES
- SECTION 828K MINISTERIAL CONSENT TO RULES REQUIRED
- SECTION 828L EMERGENCY RULES: CONSULTATION AND CONSENT NOT REQUIRED
- SECTION 828M AMENDMENT AND REVOCATION OF CS SERVICES RULES
- Division 3 - Other provisions
- SECTION 828N ASIC MAY GIVE ADVICE TO MINISTER
- SECTION 828P ACCC MAY GIVE ADVICE TO MINISTER
- SECTION 828Q RESERVE BANK MAY GIVE ADVICE TO MINISTER
- SECTION 828R EXEMPTIONS BY THE REGULATIONS OR BY ASIC
- PART 7.3B - CRISIS RESOLUTION FOR CS FACILITY LICENSEES
- Division 1 - Preliminary
- SECTION 830A SIMPLIFIED OUTLINE OF THIS PART
- SECTION 830B OBJECT OF THIS PART
- Division 2 - Crisis resolution for CS facility licensees
- SECTION 831A RESERVE BANK MAY EXERCISE CRISIS RESOLUTION POWERS IF CERTAIN CONDITIONS ARE SATISFIED
- Division 3 - Statutory management
- Subdivision A - Statutory management of body corporate in relation to CS facility licensee in crisis
- SECTION 832A STATUTORY MANAGER TAKES CONTROL OF BODY CORPORATE
- SECTION 832B TERMINATION OF APPOINTMENT OF STATUTORY MANAGER
- SECTION 832C WHEN A STATUTORY MANAGER IS IN CONTROL
- Subdivision B - Powers of statutory manager
- SECTION 833A ROLE OF THE STATUTORY MANAGER
- SECTION 833B POWERS TO REMOVE DIRECTOR ETC.
- SECTION 833C POWER TO ALTER BODY CORPORATE ' S CONSTITUTION ETC.
- SECTION 833D POWERS TO FACILITATE RECAPITALISATION
- SECTION 833E STATUTORY MANAGER MAY REQUEST INFORMATION ETC. TO BE GIVEN
- SECTION 833F STATUTORY MANAGER ACTS AS BODY CORPORATE ' S AGENT
- Subdivision C - Effect of statutory manager assuming control
- SECTION 834A EXERCISE OF DIRECTORS ' POWERS WHILE BODY CORPORATE UNDER STATUTORY MANAGEMENT
- SECTION 834B EFFECT OF THINGS DONE DURING STATUTORY MANAGEMENT OF BODY CORPORATE
- SECTION 834C EFFECT OF STATUTORY MANAGEMENT ON BODY CORPORATE ' S MEMBERS
- Subdivision D - Additional duties of statutory manager
- SECTION 835A REPORTING TO RESERVE BANK
- SECTION 835B RESERVE BANK ' S DIRECTIONS POWER - DIRECTIONS TO STATUTORY MANAGER
- SECTION 835C CONSENT TO TAKE ACTION THAT MAY AFFECT FINANCIAL SYSTEM STABILITY IN AUSTRALIA
- Subdivision E - Other matters
- SECTION 836A EFFECT ON EXTERNAL ADMINISTRATION
- SECTION 836B APPOINTMENT OF 2 OR MORE STATUTORY MANAGERS OF BODY CORPORATE
- SECTION 836C COSTS OF STATUTORY MANAGEMENT
- SECTION 836D ANNUAL GENERAL MEETING NEED NOT BE HELD
- SECTION 836E DEALING WITH PROPERTY SUBJECT TO CIRCULATING SECURITY INTERESTS
- SECTION 836F WHEN STATUTORY MANAGER MAY DISPOSE OF ENCUMBERED PROPERTY
- SECTION 836G PROCEEDS OF SALE OF PROPERTY
- SECTION 836H SUPPLY OF ESSENTIAL SERVICES
- SECTION 836J STATUTORY MANAGER HAS QUALIFIED PRIVILEGE
- SECTION 836K PROTECTION OF PERSONS DEALING WITH STATUTORY MANAGER
- Division 4 - Compulsory transfer of business or shares
- Subdivision A - Compulsory transfer of business or shares of body corporate in relation to CS facility licensee in crisis
- SECTION 837A COMPULSORY TRANSFER OF SHARES IN BODY CORPORATE
- SECTION 837B COMPULSORY TRANSFER OF BUSINESS OF BODY CORPORATE
- SECTION 837C WHEN CONSENT OF RECEIVING BODY IS IN FORCE
- SECTION 837D AGREEMENT ABOUT HOW TRANSFER IS TO BE EFFECTED
- SECTION 837E DETERMINATION MAY IMPOSE CONDITIONS
- SECTION 837F DETERMINATION THAT TRANSFER IS NOT TO TAKE EFFECT
- Subdivision B - Transfer process
- SECTION 838A CERTIFICATE OF TRANSFER
- SECTION 838B TIME AND EFFECT OF TRANSFER OF SHARES
- SECTION 838C TIME AND EFFECT OF TRANSFER OF BUSINESS
- Subdivision C - Other matters
- SECTION 839A PARTIAL TRANSFER OF NETTING CONTRACTS VOID
- SECTION 839B RESERVE BANK MAY PROVIDE INFORMATION TO RECEIVING BODY
- SECTION 839C CERTIFICATES IN RELATION TO LAND AND INTERESTS IN LAND
- SECTION 839D CERTIFICATES IN RELATION TO OTHER ASSETS
- SECTION 839E DOCUMENTS PURPORTING TO BE CERTIFICATES
- SECTION 839F CONSTRUCTION OF REFERENCES IN INSTRUMENTS TO TARGET BODY
- SECTION 839G INCOME OR OTHER DISTRIBUTION RECEIVED BY TARGET BODY
- SECTION 839H ACCESS TO BOOKS
- SECTION 839J RELATIONSHIP OF DIVISION WITH OTHER LAWS ETC.
- SECTION 839K RESERVE BANK ' S RULES MAY MAKE SPECIAL PROVISION IN RELATION TO COMPULSORY TRANSFER
- Division 5 - Directions
- Subdivision A - Directions to manage or respond to crisis
- SECTION 840A RESERVE BANK ' S DIRECTIONS POWER - MANAGE OR RESPOND TO CRISIS
- SECTION 840B MATTERS RELATING TO RESERVE BANK DIRECTIONS - MANAGE OR RESPOND TO CRISIS
- SECTION 840C DIRECTIONS TO MANAGE OR RESPOND TO CRISIS - RELATIONSHIP WITH OTHER PROVISIONS
- Subdivision B - Directions to give information to assist crisis management
- SECTION 841A RESERVE BANK ' S DIRECTIONS POWER - INFORMATION TO ASSIST CRISIS MANAGEMENT
- SECTION 841B MATTERS RELATING TO RESERVE BANK DIRECTIONS - INFORMATION TO ASSIST CRISIS MANAGEMENT
- Division 6 - Moratorium on action during statutory management or compulsory transfer
- Subdivision A - Circumstances to which moratorium is relevant
- SECTION 842A CIRCUMSTANCES TO WHICH MORATORIUM IS RELEVANT
- Subdivision B - Stay on enforcement rights triggered by statutory management or compulsory transfer
- SECTION 843A STAY ON ENFORCING RIGHTS MERELY BECAUSE THE BODY CORPORATE IS UNDER STATUTORY MANAGEMENT OR SUBJECT TO A TRANSFER DETERMINATION
- SECTION 843B EXCEPTIONS
- SECTION 843C STAY ON BODY CORPORATE ' S RIGHT TO NEW ADVANCE OF MONEY OR CREDIT
- SECTION 843D SELF-EXECUTING PROVISIONS
- SECTION 843E WHEN OTHER LAWS PREVAIL - CERTAIN OTHER COMMONWEALTH ACTS
- SECTION 843F CIRCUMSTANCES WHERE A TRANSACTION BY STATUTORY MANAGER NOT VOIDABLE UNDER SECTION 588FE
- Subdivision C - Protection of body corporate ' s property
- SECTION 844A WINDING UP BODY CORPORATE
- SECTION 844B RESTRICTIONS ON EXERCISE OF THIRD PARTY PROPERTY RIGHTS
- SECTION 844C STAY OF PROCEEDINGS
- SECTION 844D RESERVE BANK AND STATUTORY MANAGER NOT LIABLE IN DAMAGES FOR REFUSING CONSENT
- SECTION 844E SUSPENSION OF ENFORCEMENT PROCESS
- SECTION 844F DUTIES OF COURT OFFICER IN RELATION TO PROPERTY OF A BODY CORPORATE
- Subdivision D - General power to make orders
- SECTION 845A GENERAL POWER TO MAKE ORDERS
- Division 7 - Funding for crisis resolution
- SECTION 846A AUTHORISING ARRANGEMENTS FOR THE PURPOSES OF CRISIS RESOLUTION
- SECTION 846B APPROPRIATION OF CONSOLIDATED REVENUE FUND
- Division 8 - Cross-border crisis resolution
- SECTION 847A RESERVE BANK MAY RECOGNISE CRISIS RESOLUTION OF FOREIGN OPERATOR OF A CLEARING AND SETTLEMENT FACILITY
- Division 9 - Other matters
- Subdivision A - Secrecy determinations
- SECTION 848A DETERMINATIONS THAT INFORMATION IS COVERED BY SECRECY PROVISION
- SECTION 848B VARIATION OR REVOCATION OF DETERMINATIONS
- SECTION 848C PROHIBITION ON DISCLOSING INFORMATION COVERED BY SECRECY PROVISION
- SECTION 848D DISCLOSURE OF PUBLICLY AVAILABLE INFORMATION
- SECTION 848E DISCLOSURE ALLOWED BY THE RESERVE BANK
- SECTION 848F DISCLOSURE FOR THE PURPOSE OF SEEKING REVIEW OR LEGAL ADVICE
- SECTION 848G DISCLOSURE UNDER THE RESERVE BANK ACT
- SECTION 848H DISCLOSURE UNDER THE ASIC ACT
- SECTION 848J DISCLOSURE IN CIRCUMSTANCES DETERMINED BY THE MINISTER
- SECTION 848K DISCLOSURE FOR SAME PURPOSE
- SECTION 848L EXCEPTIONS OPERATE INDEPENDENTLY
- Subdivision B - Other powers of Reserve Bank
- SECTION 849AA RESERVE BANK MAY APPLY FOR BODY CORPORATE TO BE WOUND UP
- SECTION 849AB RESERVE BANK MAY REQUEST ASIC TO MAKE RULES OR GIVE DIRECTIONS
- Subdivision C - Temporary suspension of termination rights
- SECTION 849BA APPLICATION OF THIS SUBDIVISION
- SECTION 849BB STAY ON EXERCISING TERMINATION RIGHTS
- SECTION 849BC SELF-EXECUTING PROVISIONS
- SECTION 849BD WHEN OTHER LAWS PREVAIL - CERTAIN OTHER COMMONWEALTH ACTS
- SECTION 849BE CIRCUMSTANCES WHERE A TRANSACTION BY STATUTORY MANAGER NOT VOIDABLE UNDER SECTION 588FE
- SECTION 849BF GENERAL POWER TO MAKE ORDERS
- Subdivision D - Other matters
- SECTION 849CA RESERVE BANK MAY OBJECT TO EXERCISE OF CERTAIN POWERS BY ASIC DURING CRISIS RESOLUTION
- SECTION 849CB EXPERT REPORT FOR ACQUISITION OR DISPOSAL OF ASSETS
- SECTION 849CC EXERCISE OF RESERVE BANK POWERS UNDER THIS PART NOT GROUNDS FOR DENIAL OF OBLIGATIONS
- SECTION 849CD PROTECTION FROM LIABILITY FOR ACTS OR OMISSIONS IN GOOD FAITH
- SECTION 849CE COMPENSATION FOR ACQUISITION OF PROPERTY
- PART 7.4 - LIMITS ON INVOLVEMENT WITH LICENSEES
- Division 1 - Limit on control of certain licensees
- Subdivision A - 20% voting power limit
- SECTION 850A SCOPE OF DIVISION
- SECTION 850B MEANING OF UNACCEPTABLE CONTROL SITUATION
- SECTION 850C ACQUISITIONS OF SHARES
- SECTION 850D ORDERS TO REMEDY UNACCEPTABLE CONTROL SITUATION
- SECTION 850E INJUNCTIONS
- Subdivision B - Approval to exceed 20% voting power limit
- SECTION 851A APPLICATION FOR APPROVAL TO EXCEED 20% VOTING POWER LIMIT
- SECTION 851B APPROVAL OF APPLICATION
- SECTION 851C DURATION OF APPROVAL
- SECTION 851D CONDITIONS OF APPROVAL
- SECTION 851E VARYING PERCENTAGE APPROVED
- SECTION 851F REVOKING AN APPROVAL
- SECTION 851G FURTHER INFORMATION ABOUT APPLICATIONS
- SECTION 851H TIME LIMIT FOR MINISTER'S DECISION
- SECTION 851I PRESERVATION OF VOTING POWER
- Subdivision C - Other matters
- SECTION 852A ACQUISITION OF PROPERTY
- SECTION 852B ANTI-AVOIDANCE
- Division 1A - Limit on control of certain Australian licensees that are not widely held market bodies
- Subdivision A - Scope and interpretation
- SECTION 852DA SCOPE OF DIVISION
- SECTION 852DB MEANING OF UNACCEPTABLE CONTROL SITUATION
- SECTION 852DC MEANING OF PASSES THE LEGITIMATE CONTROL TEST
- Subdivision B - 20% voting power limit
- SECTION 852DD ACQUISITION OF SHARES
- SECTION 852DE REMEDIAL ORDERS
- SECTION 852DF INJUNCTIONS
- Subdivision C - Approvals to exceed 20% voting power limit
- SECTION 852DG APPLICATION FOR APPROVAL TO EXCEED 20% VOTING POWER LIMIT
- SECTION 852DH DECISION ON THE APPLICATION
- SECTION 852DJ DURATION OF APPROVAL
- SECTION 852DK EXTENSION OF APPROVAL
- SECTION 852DL CONDITIONS OF APPROVAL
- SECTION 852DM VARYING AN APPROVAL
- SECTION 852DN REVOKING AN APPROVAL
- SECTION 852DP FURTHER INFORMATION ABOUT APPLICATIONS
- SECTION 852DQ APPLICANT MUST UPDATE ASIC WITH CORRECT INFORMATION
- SECTION 852DR TIME LIMIT FOR ASIC ' S DECISION
- Subdivision D - Other matters
- SECTION 852DS ACQUISITION OF PROPERTY
- SECTION 852DT ANTI-AVOIDANCE
- Division 2 - Individuals who are not fit and proper are disqualified
- SECTION 853A MEANING OF DISQUALIFIED INDIVIDUAL
- SECTION 853B MEANING OF INVOLVED - IN SOME LICENSEES OR APPLICANTS FOR A LICENCE
- SECTION 853C DECLARATION BY ASIC
- SECTION 853D PROCEDURE FOR DECLARATION
- SECTION 853E REVOKING A DECLARATION
- SECTION 853F OBLIGATIONS ON DISQUALIFIED INDIVIDUALS
- SECTION 853G NOTIFICATION BY ASIC
- Division 3 - Miscellaneous
- SECTION 854A RECORD-KEEPING AND GIVING OF INFORMATION
- SECTION 854B EXEMPTIONS AND MODIFICATIONS BY REGULATIONS
- PART 7.5 - COMPENSATION REGIMES FOR FINANCIAL MARKETS
- Division 1 - Preliminary
- SECTION 880A PART DOES NOT APPLY TO MARKETS LICENSED UNDER SPECIAL PROVISIONS ABOUT OVERSEAS MARKETS
- SECTION 880B MEANING OF SOME TERMS RELATING TO COMPENSATION REGIMES FOR FINANCIAL MARKETS
- Division 2 - When there must be a compensation regime
- SECTION 881A LICENSED MARKETS THROUGH WHICH PARTICIPANTS PROVIDE SERVICES FOR RETAIL CLIENTS MUST GENERALLY HAVE A COMPENSATION REGIME
- SECTION 881B ADDITIONAL REQUIREMENTS FOR THE LICENCE APPLICATION
- SECTION 881C WHAT HAPPENS IF AN APPLICATION CONTAINS INFORMATION IN ACCORDANCE WITH PARAGRAPH 881B(2)(c)
- SECTION 881D WHAT HAPPENS IF AN APPLICATION CONTAINS A STATEMENT IN ACCORDANCE WITH PARAGRAPH 881B(2)(d)
- Division 3 - Approved compensation arrangements
- Subdivision A - Approval of compensation arrangements
- SECTION 882A HOW TO GET COMPENSATION ARRANGEMENTS APPROVED WITH GRANT OF LICENCE
- SECTION 882B HOW TO GET COMPENSATION ARRANGEMENTS APPROVED AFTER LICENCE IS GRANTED
- SECTION 882C REVOCATION OF APPROVAL
- SECTION 882D ASIC ' S POWER TO GIVE DIRECTIONS
- Subdivision B - Effect of compensation rules forming part of Division 3 arrangements
- SECTION 883A LEGAL EFFECT OF COMPENSATION RULES
- SECTION 883B ENFORCEMENT OF COMPENSATION RULES
- SECTION 883C OTHER SOURCES OF FUNDS FOR COMPENSATION
- SECTION 883D PAYMENT OF LEVIES
- Subdivision C - Changing Division 3 arrangements
- SECTION 884A DIVISION 3 ARRANGEMENTS MUST GENERALLY ONLY BE CHANGED IN ACCORDANCE WITH THIS SUBDIVISION
- SECTION 884B CHANGING DIVISION 3 ARRANGEMENTS - MATTERS REQUIRED TO BE DEALT WITH IN THE COMPENSATION RULES
- SECTION 884C CHANGING DIVISION 3 ARRANGEMENTS - MATTERS NOT REQUIRED TO BE DEALT WITH IN THE COMPENSATION RULES
- Subdivision D - Are compensation arrangements adequate?
- SECTION 885A PURPOSE OF THIS SUBDIVISION
- SECTION 885B REQUIREMENTS TO BE COMPLIED WITH FOR ARRANGEMENTS TO BE ADEQUATE
- SECTION 885C THE LOSSES TO BE COVERED
- SECTION 885D CERTAIN LOSSES THAT ARE NOT DIVISION 3 LOSSES
- SECTION 885E THE AMOUNT OF COMPENSATION
- SECTION 885F METHOD OF PAYMENT OF COMPENSATION
- SECTION 885G MAKING AND DETERMINATION OF CLAIMS
- SECTION 885H THE SOURCE OF FUNDS - GENERAL
- SECTION 885I ADMINISTRATION AND MONITORING
- SECTION 885J THE LOSSES TO BE COVERED - OTHER MATTERS TO BE TAKEN INTO ACCOUNT
- Subdivision E - Other provisions about Division 3 arrangements
- SECTION 886A ONLY ONE CLAIM IN RESPECT OF THE SAME LOSS
- SECTION 886B REGULATIONS RELATING TO FIDELITY FUNDS
- Division 4 - NGF Compensation regime
- Subdivision A - Application of Division
- SECTION 887A MARKETS TO WHICH THIS DIVISION APPLIES
- Subdivision B - Claims for and payment of compensation
- SECTION 888A THE SITUATIONS IN WHICH COMPENSATION MAY BE CLAIMED
- SECTION 888B KINDS OF COMPENSATION AVAILABLE
- SECTION 888C AMOUNT OF COMPENSATION PAYABLE
- SECTION 888D PAYMENT OF COMPENSATION
- SECTION 888E MAKING AND DETERMINATION OF CLAIMS
- SECTION 888F THE SEGC HAS POWER TO DETERMINE CLAIMS
- SECTION 888G ALLOWING A CLAIM DOES NOT CONSTITUTE AN ADMISSION OF ANY OTHER LIABILITY
- SECTION 888H CLAIMANT MAY APPLY TO COURT IF CLAIM DISALLOWED
- SECTION 888I NON-NGF PROPERTY OF THE SEGC NOT AVAILABLE TO MEET CLAIMS
- SECTION 888J THE SEGC MAY ENTER INTO CONTRACTS OF INSURANCE OR INDEMNITY
- SECTION 888K NGF MAY BE USED TO ACQUIRE FINANCIAL PRODUCTS TO BE TRANSFERRED AS COMPENSATION
- Subdivision C - The NGF
- SECTION 889A CONTINUATION OF THE NATIONAL GUARANTEE FUND
- SECTION 889B COMPENSATION TO BE PROVIDED OUT OF THE NGF
- SECTION 889C THE SEGC TO KEEP THE NGF
- SECTION 889D WHAT THE NGF CONSISTS OF
- SECTION 889E POWER TO BORROW ETC. FOR PURPOSES OF THE NGF
- SECTION 889F MONEY BORROWED AND PAID TO THE SEGC
- SECTION 889G MONEY BORROWED AND NOT PAID TO THE SEGC
- SECTION 889H PAYMENTS OUT OF THE NGF
- SECTION 889I MINIMUM AMOUNT OF THE NGF
- SECTION 889J LEVY BY THE SEGC
- SECTION 889K LEVY BY MARKET OPERATOR
- Subdivision D - The SEGC
- SECTION 890A MINISTER TO NOMINATE THE SEGC
- SECTION 890B THE SEGC'S FUNCTIONS AND POWERS
- SECTION 890C DELEGATION
- SECTION 890D OPERATING RULES OF THE SEGC
- SECTION 890E LEGAL EFFECT OF THE SEGC'S OPERATING RULES
- SECTION 890F ENFORCEMENT OF THE SEGC'S OPERATING RULES
- SECTION 890G CHANGING THE SEGC'S OPERATING RULES
- SECTION 890H DISALLOWANCE OF CHANGES TO THE SEGC ' S OPERATING RULES
- Subdivision E - Other provisions relating to compensation under this Division
- SECTION 891A PAYMENT OUT OF THE NGF TO PRESCRIBED BODY WITH ARRANGEMENTS COVERING CLEARING AND SETTLEMENT FACILITY SUPPORT
- SECTION 891B MARKETS OPERATED BY BODIES CORPORATE THAT BECOME MEMBERS OF THE SEGC - REGULATIONS MAY DEAL WITH TRANSITIONAL PROVISIONS AND OTHER MATTERS
- SECTION 891C REGULATIONS MAY MAKE DIFFERENT PROVISION IN RESPECT OF DIFFERENT MARKETS ETC.
- Division 5 - Provisions common to both kinds of compensation arrangements
- SECTION 892A MEANING OF PART 7.5 AUTHORITY AND PART 7.5 REGULATED FUND
- SECTION 892B HOW PART 7.5 REGULATED FUNDS ARE TO BE KEPT
- SECTION 892C MONEY IN A PART 7.5 REGULATED FUND MAY BE INVESTED
- SECTION 892D POWERS OF PART 7.5 AUTHORITY TO REQUIRE PRODUCTION OR DELIVERY OF DOCUMENTS OR STATEMENTS
- SECTION 892E POWER TO REQUIRE ASSISTANCE FOR PURPOSE OF DEALING WITH A CLAIM
- SECTION 892F PART 7.5 AUTHORITY ' S RIGHT OF SUBROGATION IF COMPENSATION IS PAID
- SECTION 892G EXCESS MONEY IN PART 7.5 REGULATED FUNDS
- SECTION 892H ACCOUNTING AND REPORTING
- SECTION 892I DIVISION 3 ARRANGEMENTS - REPORTING IN SITUATIONS WHERE COMPENSATION DOES NOT COME OUT OF A PART 7.5 REGULATED FUND
- SECTION 892J REGULATIONS MAY PROVIDE FOR QUALIFIED PRIVILEGE IN RESPECT OF CERTAIN MATTERS
- SECTION 892K RISK ASSESSMENT REPORT
- Division 6 - Miscellaneous
- SECTION 893A EXEMPTIONS AND MODIFICATIONS BY REGULATIONS
- SECTION 893B EXEMPTIONS BY ASIC
- PART 7.5A - REGULATION OF DERIVATIVE TRANSACTIONS AND DERIVATIVE TRADE REPOSITORIES
- Division 1 - Application of Part
- SECTION 900A DERIVATIVES AND TRANSACTIONS ETC. TO WHICH THIS PART APPLIES
- Division 2 - Regulation of derivative transactions: derivative transaction rules
- Subdivision A - Power to make derivative transaction rules
- SECTION 901A ASIC MAY MAKE DERIVATIVE TRANSACTION RULES
- SECTION 901B DERIVATIVES IN RELATION TO WHICH RULES MAY IMPOSE REQUIREMENTS
- SECTION 901C REGULATIONS MAY LIMIT THE TRANSACTIONS IN RELATION TO WHICH RULES MAY IMPOSE REQUIREMENTS
- SECTION 901D REGULATIONS MAY LIMIT THE PERSONS ON WHOM REQUIREMENTS MAY BE IMPOSED
- Subdivision B - Compliance with derivative transaction rules
- SECTION 901E OBLIGATION TO COMPLY WITH DERIVATIVE TRANSACTION RULES
- SECTION 901F ALTERNATIVES TO CIVIL PROCEEDINGS
- SECTION 901G FAILURE TO COMPLY WITH DERIVATIVE TRANSACTION RULES DOES NOT INVALIDATE TRANSACTION ETC.
- Subdivision C - The process of making derivative transaction rules
- SECTION 901H MATTERS TO WHICH ASIC MUST HAVE REGARD WHEN MAKING RULES
- SECTION 901J ASIC TO CONSULT BEFORE MAKING RULES
- SECTION 901K MINISTERIAL CONSENT TO RULES REQUIRED
- SECTION 901L EMERGENCY RULES: CONSULTATION AND CONSENT NOT REQUIRED
- SECTION 901M AMENDMENT AND REVOCATION OF DERIVATIVE TRANSACTION RULES
- Division 3 - Regulation of licensed derivative trade repositories: supervision by ASIC
- SECTION 902A ASIC TO SUPERVISE LICENSED DERIVATIVE TRADE REPOSITORIES
- Division 4 - Regulation of licensed derivative trade repositories: derivative trade repository rules
- Subdivision A - Power to make derivative trade repository rules
- SECTION 903A ASIC MAY MAKE DERIVATIVE TRADE REPOSITORY RULES
- SECTION 903B RULES MAY ONLY IMPOSE REQUIREMENTS ON OPERATORS AND OFFICERS OF LICENSED DERIVATIVE TRADE REPOSITORIES
- SECTION 903C REGULATIONS MAY LIMIT HOW RULES MAY DEAL WITH MATTERS RELATED TO DERIVATIVE TRADE DATA
- Subdivision B - Compliance with derivative trade repository rules
- SECTION 903D OBLIGATION TO COMPLY WITH DERIVATIVE TRADE REPOSITORY RULES
- SECTION 903E ALTERNATIVES TO CIVIL PROCEEDINGS
- Subdivision C - The process of making derivative trade repository rules
- SECTION 903F MATTERS TO WHICH ASIC HAS REGARD WHEN MAKING RULES
- SECTION 903G ASIC TO CONSULT BEFORE MAKING RULES
- SECTION 903H MINISTERIAL CONSENT TO RULES REQUIRED
- SECTION 903J EMERGENCY RULES: CONSULTATION AND CONSENT NOT REQUIRED
- SECTION 903K AMENDMENT AND REVOCATION OF DERIVATIVE TRADE REPOSITORY RULES
- Division 5 - Regulation of licensed derivative trade repositories: other obligations and powers
- Subdivision A - Obligations
- SECTION 904A GENERAL OBLIGATIONS
- SECTION 904B OBLIGATIONS RELATING TO DERIVATIVE TRADE DATA
- SECTION 904C OBLIGATION TO NOTIFY ASIC OF CERTAIN MATTERS
- SECTION 904D OBLIGATION TO ASSIST ASIC, APRA AND THE RESERVE BANK
- SECTION 904E OBLIGATION TO GIVE ASIC ACCESS TO DERIVATIVE TRADE REPOSITORY FACILITIES
- Subdivision B - Powers of Minister and ASIC to give directions etc.
- SECTION 904F MINISTER ' S POWER TO GIVE DIRECTIONS TO LICENSEE NOT COMPLYING WITH OBLIGATIONS
- SECTION 904G ASIC ' S DIRECTIONS POWER - LICENSEES NOT COMPLYING WITH THEIR OBLIGATIONS
- SECTION 904GA MATTERS RELATING TO ASIC DIRECTIONS - LICENSEES NOT COMPLYING WITH THEIR OBLIGATIONS
- SECTION 904H ASIC ' S POWER TO GIVE DIRECTIONS REQUIRING SPECIAL REPORTS
- SECTION 904J ASIC MAY ASSESS LICENSEE ' S COMPLIANCE
- SECTION 904K DIRECTIONS RELATING TO DERIVATIVE TRADE DATA IF REPOSITORY CEASES TO BE LICENSED
- Subdivision C - Power of ASIC to require expert report
- SECTION 904L ASIC ' S POWER TO REQUIRE EXPERT REPORT
- Division 6 - Regulation of licensed derivative trade repositories: licensing
- Subdivision A - Requirement for some trade repositories to be licensed
- SECTION 905A REGULATIONS MAY IDENTIFY DERIVATIVE TRADE REPOSITORIES AS BEING REQUIRED TO BE LICENSED
- Subdivision B - Granting of licences
- SECTION 905B HOW TO APPLY FOR A LICENCE
- SECTION 905C WHEN A LICENCE MAY BE GRANTED
- SECTION 905D PUBLICATION OF NOTICE OF LICENCE GRANT
- SECTION 905E MORE THAN ONE DERIVATIVE TRADE REPOSITORY COVERED BY THE SAME LICENCE
- Subdivision C - The conditions on a licence
- SECTION 905F THE CONDITIONS ON THE LICENCE
- Subdivision D - When a licence can be varied, suspended or cancelled
- SECTION 905G VARYING LICENCES
- SECTION 905H IMMEDIATE SUSPENSION OR CANCELLATION
- SECTION 905J SUSPENSION OR CANCELLATION FOLLOWING HEARING AND REPORT
- SECTION 905K EFFECT OF SUSPENSION
- SECTION 905L VARIATION OR REVOCATION OF SUSPENSION
- SECTION 905M PUBLICATION OF NOTICE OF LICENCE SUSPENSION OR CANCELLATION
- SECTION 905N SUSPENSION AND CANCELLATION ONLY IN ACCORDANCE WITH THIS SUBDIVISION
- Subdivision E - Other matters
- SECTION 905P MATTERS TO BE TAKEN INTO ACCOUNT BY ASIC
- Division 7 - Regulation of prescribed derivative trade repositories
- SECTION 906A REGULATIONS MAY IMPOSE OBLIGATIONS AND CONFER POWERS
- Division 8 - Other matters
- SECTION 907A OTHER PROHIBITIONS ON HOLDING OUT
- SECTION 907B MAKING PROVISION BY REFERENCE TO INSTRUMENTS AS IN FORCE FROM TIME TO TIME
- SECTION 907C COMPLIANCE WITH REQUIREMENTS TO PROVIDE DERIVATIVE TRADE DATA OR OTHER INFORMATION: PROTECTION FROM LIABILITY
- SECTION 907D EXEMPTIONS BY ASIC
- SECTION 907E EXEMPTIONS AND MODIFICATIONS BY REGULATIONS
- PART 7.5B - REGULATION OF FINANCIAL BENCHMARKS
- Division 1 - Preliminary
- SECTION 908AA SIMPLIFIED OUTLINE OF THIS PART
- SECTION 908AB MEANING OF FINANCIAL BENCHMARK
- SECTION 908AC MEANING OF SIGNIFICANT FINANCIAL BENCHMARK
- SECTION 908AD EMERGENCY DECLARATIONS: CONSULTATION AND CONSENT NOT REQUIRED
- SECTION 908AE NOTIFYING ADMINISTRATOR ABOUT DECLARATIONS
- SECTION 908AF ASIC TO SUPERVISE FINANCIAL BENCHMARKS THAT ARE SPECIFIED IN BENCHMARK ADMINISTRATOR LICENCES
- SECTION 908AG EXTRATERRITORIAL APPLICATION
- Division 2 - Licensing of financial benchmarks
- Subdivision A - Requirement to be licensed
- SECTION 908BA ADMINISTRATORS OF SIGNIFICANT FINANCIAL BENCHMARKS MUST BE LICENSED
- SECTION 908BB OTHER PROHIBITIONS ON HOLDING OUT
- Subdivision B - Granting licences
- SECTION 908BC WHEN A LICENCE MAY BE GRANTED
- SECTION 908BD APPLYING FOR A LICENCE
- SECTION 908BE MORE THAN ONE FINANCIAL BENCHMARK MAY BE SPECIFIED IN THE SAME LICENCE
- SECTION 908BF PUBLISHING DETAILS OF LICENCES
- Subdivision C - Conditions on licences
- SECTION 908BG CONDITIONS, INCLUDING VARYING AND REVOKING CONDITIONS
- Subdivision D - When a licence can be varied, suspended or cancelled
- SECTION 908BH VARYING LICENCES
- SECTION 908BI IMMEDIATE SUSPENSION OR CANCELLATION
- SECTION 908BJ SUSPENSION OR CANCELLATION FOLLOWING HEARING AND REPORT
- SECTION 908BK EFFECT OF SUSPENSION
- SECTION 908BL VARYING OR REVOKING A SUSPENSION
- SECTION 908BM PUBLISHING DETAILS OF SUSPENSIONS OR CANCELLATIONS OF LICENCES
- SECTION 908BN VARIATIONS, SUSPENSIONS OR CANCELLATIONS ONLY IN ACCORDANCE WITH THIS SUBDIVISION
- Subdivision E - Matters to which ASIC must have regard
- SECTION 908BO MATTERS TO WHICH ASIC MUST HAVE REGARD
- Subdivision F - Other obligations of licensees
- SECTION 908BP GENERAL OBLIGATIONS
- SECTION 908BQ OBLIGATION TO NOTIFY ASIC OF CERTAIN MATTERS
- SECTION 908BR OBLIGATION TO ASSIST ASIC, APRA AND THE RESERVE BANK
- SECTION 908BS OBLIGATION TO GIVE ASIC ACCESS TO LICENSEE ' S FACILITIES
- Subdivision G - Directions to licensees
- SECTION 908BT ASIC ' S POWER TO GIVE DIRECTIONS TO LICENSEE NOT COMPLYING WITH OBLIGATIONS
- SECTION 908BU MINISTER MAY DISALLOW ALL OR PART OF AN ASIC DIRECTION ETC.
- SECTION 908BV ASIC ' S POWER TO GIVE DIRECTIONS REQUIRING REPORTS
- Subdivision H - Other matters
- SECTION 908BW ASIC MAY ASSESS LICENSEE ' S COMPLIANCE
- SECTION 908BWA ASIC ' S POWER TO REQUIRE EXPERT REPORT
- SECTION 908BX BASIS OF LICENCES
- Division 3 - Financial benchmark rules and compelled financial benchmark rules
- Subdivision A - Power to make financial benchmark rules
- SECTION 908CA ASIC MAY MAKE FINANCIAL BENCHMARK RULES
- SECTION 908CB MAIN PERMITTED MATTERS THAT MAY BE DEALT WITH IN THE RULES
- SECTION 908CC OTHER PERMITTED MATTERS THAT MAY BE DEALT WITH IN THE RULES
- Subdivision B - Power to make compelled financial benchmark rules
- SECTION 908CD ASIC MAY MAKE COMPELLED FINANCIAL BENCHMARK RULES
- SECTION 908CE PERMITTED POWERS AND MATTERS THAT MAY BE DEALT WITH IN THE RULES
- Subdivision C - Compliance with each set of rules etc.
- SECTION 908CF OBLIGATION TO COMPLY WITH EACH SET OF RULES
- SECTION 908CG ALTERNATIVES TO CIVIL PROCEEDINGS
- SECTION 908CH INFRINGEMENT NOTICES
- SECTION 908CI ENFORCEABLE UNDERTAKINGS
- SECTION 908CJ PROTECTION FROM LIABILITY FOR COMPLIANCE IN GOOD FAITH
- Subdivision D - Matters relating to the making of each set of rules
- SECTION 908CK MATTERS TO WHICH ASIC HAS REGARD WHEN MAKING RULES
- SECTION 908CL ASIC TO CONSULT BEFORE MAKING RULES
- SECTION 908CM MINISTERIAL CONSENT TO RULES REQUIRED
- SECTION 908CN EMERGENCY RULES: CONSULTATION AND CONSENT NOT REQUIRED
- SECTION 908CO REQUIREMENTS
- SECTION 908CP REGULATIONS MAY LIMIT HOW RULES MAY DEAL WITH CERTAIN MATTERS
- SECTION 908CQ VARYING OR REVOKING THE RULES
- Division 4 - Offences and civil penalties relating to manipulation of financial benchmarks
- SECTION 908DA MANIPULATION OF FINANCIAL BENCHMARKS
- SECTION 908DB FALSE OR MISLEADING STATEMENTS OR INFORMATION THAT COULD AFFECT FINANCIAL BENCHMARKS
- SECTION 908DC PENALTIES FOR OFFENCES AGAINST THIS DIVISION
- SECTION 908DD GEOGRAPHICAL SCOPE OF OFFENCES AND CIVIL PENALTY PROVISIONS
- Division 5 - Other provisions
- SECTION 908EA MAKING PROVISION BY REFERRING TO INSTRUMENTS AS IN FORCE FROM TIME TO TIME
- SECTION 908EB EXEMPTIONS BY THE REGULATIONS OR BY ASIC
- PART 7.6 - LICENSING OF PROVIDERS OF FINANCIAL SERVICES
- Division 1 - Preliminary
- SECTION 910A MEANING OF SOME TERMS RELATING TO LICENSING OF PROVIDERS OF FINANCIAL SERVICES
- SECTION 910B MEANING OF CONTROL
- SECTION 910C MEANING OF LINKED TO A REFUSAL OR FAILURE TO GIVE EFFECT TO A DETERMINATION MADE BY AFCA
- SECTION 910D INSURANCE FULFILMENT PROVIDERS TAKEN TO BE ACTING ON BEHALF OF FINANCIAL SERVICES LICENSEES
- Division 2 - Requirement to be licensed or authorised
- SECTION 911A NEED FOR AN AUSTRALIAN FINANCIAL SERVICES LICENCE
- SECTION 911B PROVIDING FINANCIAL SERVICES ON BEHALF OF A PERSON WHO CARRIES ON A FINANCIAL SERVICES BUSINESS
- SECTION 911C PROHIBITION ON HOLDING OUT
- SECTION 911D WHEN A FINANCIAL SERVICES BUSINESS IS TAKEN TO BE CARRIED ON IN THIS JURISDICTION
- Division 3 - Obligations of financial services licensees
- Subdivision A - General obligations
- SECTION 912A GENERAL OBLIGATIONS
- SECTION 912B ARRANGEMENTS FOR COMPENSATION IF FINANCIAL SERVICES PROVIDED TO PERSONS AS RETAIL CLIENTS
- Subdivision B - Providing information and assistance to ASIC
- SECTION 912C DIRECTION TO PROVIDE A STATEMENT
- SECTION 912CA REGULATIONS MAY REQUIRE INFORMATION TO BE PROVIDED
- SECTION 912D MEANING OF REPORTABLE SITUATION
- SECTION 912DAA OBLIGATION TO LODGE A REPORT - REPORTABLE SITUATIONS IN RELATION TO THE FINANCIAL SERVICES LICENSEE
- SECTION 912DAB OBLIGATION TO LODGE A REPORT - REPORTABLE SITUATIONS IN RELATION TO OTHER FINANCIAL SERVICES LICENSEES
- SECTION 912DAC OBLIGATION TO GIVE NOTICE - PARTICIPANTS IN LICENSED MARKET OR LICENSED CS FACILITY
- SECTION 912DAD ASIC MUST PUBLISH DETAILS OF CERTAIN REPORTS
- SECTION 912DA OBLIGATION TO NOTIFY ASIC OF CHANGE IN CONTROL
- SECTION 912DB OBLIGATION TO NOTIFY ASIC IF LICENSEE DOES NOT PROVIDE FINANCIAL SERVICE
- SECTION 912E SURVEILLANCE CHECKS BY ASIC
- Subdivision C - Notifying and remediating clients affected by reportable situations
- SECTION 912EA REPORTING TO CLIENTS AFFECTED BY A REPORTABLE SITUATION
- SECTION 912EB OBLIGATION TO INVESTIGATE REPORTABLE SITUATIONS THAT MAY AFFECT CLIENTS
- SECTION 912EC OBLIGATION TO KEEP RECORDS OF COMPLIANCE
- Subdivision D - Miscellaneous
- SECTION 912F OBLIGATION TO CITE LICENCE NUMBER IN DOCUMENTS
- Division 4 - Australian financial services licences
- Subdivision A - How to get a licence
- SECTION 913A APPLYING FOR A LICENCE
- SECTION 913B WHEN A LICENCE MAY BE GRANTED
- SECTION 913BA FIT AND PROPER PERSON TEST
- SECTION 913BB FIT AND PROPER PERSON TEST - MATTERS TO WHICH ASIC MUST HAVE REGARD
- SECTION 913C LICENCE NUMBERS
- Subdivision B - The conditions on the licence
- SECTION 914A THE CONDITIONS ON THE LICENCE
- SECTION 914B ASIC MAY REQUEST INFORMATION ETC. IN RELATION TO AN APPLICATION FOR CONDITIONS TO BE VARIED
- Subdivision C - When a licence can be varied, suspended or cancelled
- SECTION 915A VARYING LICENCES
- SECTION 915B IMMEDIATE SUSPENSION OR CANCELLATION
- SECTION 915C SUSPENSION OR CANCELLATION AFTER OFFERING A HEARING
- SECTION 915D EFFECT OF SUSPENSION
- SECTION 915E REVOCATION OF SUSPENSION
- SECTION 915F DATE OF EFFECT AND PUBLICATION OF CANCELLATION OR SUSPENSION
- SECTION 915G STATEMENT OF REASONS
- SECTION 915H ASIC MAY ALLOW LICENCE TO CONTINUE IN EFFECT
- SECTION 915I SPECIAL PROCEDURES FOR APRA-REGULATED BODIES
- SECTION 915J VARIATION, SUSPENSION AND CANCELLATION ONLY UNDER THIS SUBDIVISION
- Division 5 - Authorised representatives
- SECTION 916A HOW REPRESENTATIVES ARE AUTHORISED
- SECTION 916B SUB-AUTHORISATIONS
- SECTION 916C AUTHORISED REPRESENTATIVE OF 2 OR MORE LICENSEES
- SECTION 916D LICENSEES CANNOT AUTHORISE OTHER LICENSEES
- SECTION 916E LICENSEES ACTING UNDER A BINDER
- SECTION 916F OBLIGATION TO NOTIFY ASIC ETC. ABOUT AUTHORISED REPRESENTATIVES
- SECTION 916G ASIC MAY GIVE LICENSEE INFORMATION ABOUT REPRESENTATIVES
- Division 6 - Liability of financial services licensees for representatives
- SECTION 917A APPLICATION OF DIVISION
- SECTION 917B RESPONSIBILITY IF REPRESENTATIVE OF ONLY ONE LICENSEE
- SECTION 917C REPRESENTATIVES OF MULTIPLE LICENSEES
- SECTION 917D EXCEPTION IF LACK OF AUTHORITY IS DISCLOSED TO CLIENT
- SECTION 917E RESPONSIBILITY EXTENDS TO LOSS OR DAMAGE SUFFERED BY CLIENT
- SECTION 917F EFFECT OF DIVISION
- Division 8 - Banning or disqualification of persons from providing financial services
- Subdivision A - Banning orders
- SECTION 920A ASIC ' S POWER TO MAKE A BANNING ORDER
- SECTION 920B WHAT A BANNING ORDER PROHIBITS
- SECTION 920C EFFECT OF BANNING ORDERS
- SECTION 920D VARIATION OR CANCELLATION OF BANNING ORDERS
- SECTION 920E DATE OF EFFECT AND PUBLICATION OF BANNING ORDER, VARIATION OR CANCELLATION
- SECTION 920F STATEMENT OF REASONS
- Subdivision B - Disqualification by the Court
- SECTION 921A DISQUALIFICATION BY THE COURT
- Division 8A - Professional standards for relevant providers etc.
- Subdivision A - Education and training standards
- SECTION 921B MEANING OF EDUCATION AND TRAINING STANDARDS
- SECTION 921BA RELEVANT PROVIDERS TO MEET EDUCATION AND TRAINING STANDARDS
- SECTION 921BB ADDITIONAL REQUIREMENTS FOR RELEVANT PROVIDERS WHO PROVIDE TAX (FINANCIAL) ADVICE SERVICES
- SECTION 921BC EXEMPTIONS FOR CERTAIN RELEVANT PROVIDERS
- Subdivision AA - Limitations on authorisation to provide personal advice
- SECTION 921C LIMITATION ON AUTHORISATION TO PROVIDE PERSONAL ADVICE UNLESS CONDITIONS MET
- SECTION 921D RELEVANT PROVIDERS TO MEET CONTINUING PROFESSIONAL DEVELOPMENT STANDARD
- Subdivision B - Ethical standards
- SECTION 921E CODE OF ETHICS
- Subdivision C - Provisional relevant providers
- SECTION 921F REQUIREMENTS RELATING TO PROVISIONAL RELEVANT PROVIDERS
- Subdivision D - Other matters
- SECTION 921G APPROVAL OF FOREIGN QUALIFICATIONS
- SECTION 921GA APPROVAL OF DOMESTIC QUALIFICATIONS
- SECTION 921H MODIFICATIONS OF PART IN RELATION TO CONTINUING PROFESSIONAL DEVELOPMENT
- Division 8B - Action against relevant providers
- Subdivision A - Action by Financial Services and Credit Panels
- SECTION 921J WHEN A COMPLIANCE SCHEME COVERS A RELEVANT PROVIDER
- SECTION 921K POWER OF FINANCIAL SERVICES AND CREDIT PANELS TO TAKE ACTION AGAINST RELEVANT PROVIDERS
- SECTION 921L INSTRUMENTS THAT FINANCIAL SERVICES AND CREDIT PANELS MAY MAKE IN RELATION TO RELEVANT PROVIDERS
- SECTION 921M COPY OF INSTRUMENT TO BE GIVEN TO AFFECTED PERSON ETC.
- SECTION 921N VARIATION OR REVOCATION OF INSTRUMENTS MADE IN RELATION TO RELEVANT PROVIDERS
- Subdivision B - Proposed action notices etc.
- SECTION 921P PROPOSED ACTION NOTICE
- SECTION 921Q RECOMMENDATIONS TO ASIC IN RELATION TO RESTRICTED CIVIL PENALTY PROVISIONS
- SECTION 921R NOTICES TO TAX PRACTITIONERS BOARD ABOUT QUALIFIED TAX RELEVANT PROVIDERS WHO ARE REGISTERED TAX AGENTS
- Subdivision C - Warnings and reprimands
- SECTION 921S WARNINGS AND REPRIMANDS BY ASIC
- SECTION 921T WARNINGS AND REPRIMANDS BY FINANCIAL SERVICES AND CREDIT PANELS
- Subdivision D - Fit and proper person test
- SECTION 921U FIT AND PROPER PERSON TEST FOR RELEVANT PROVIDERS
- Subdivision E - Review of decisions made under this Division etc.
- SECTION 921V REVIEW OF DECISIONS ETC.
- Subdivision F - Electronic communication
- SECTION 921W ELECTRONIC COMMUNICATION OF DOCUMENTS GIVEN BY FINANCIAL SERVICES AND CREDIT PANELS ETC.
- SECTION 921X ELECTRONIC COMMUNICATION OF DOCUMENTS GIVEN TO FINANCIAL SERVICES AND CREDIT PANELS ETC.
- Division 8C - Registration of relevant providers
- Subdivision A - Requirement for relevant providers to be registered
- SECTION 921Y UNREGISTERED RELEVANT PROVIDERS NOT TO PROVIDE PERSONAL ADVICE
- SECTION 921Z FINANCIAL SERVICES LICENSEES NOT TO CONTINUE TO AUTHORISE UNREGISTERED RELEVANT PROVIDERS TO PROVIDE PERSONAL ADVICE
- Subdivision B - Applications for registration
- SECTION 921ZA APPLICATION FOR REGISTRATION - RELEVANT PROVIDERS WHO ARE FINANCIAL SERVICES LICENSEES APPLYING TO BE REGISTERED
- SECTION 921ZB APPLICATION FOR REGISTRATION - FINANCIAL SERVICES LICENSEES APPLYING TO REGISTER RELEVANT PROVIDERS
- Subdivision C - Registration and period of registration
- SECTION 921ZC REGISTRATION OF RELEVANT PROVIDERS
- SECTION 921ZD PERIOD OF REGISTRATION - RELEVANT PROVIDERS WHO ARE FINANCIAL SERVICES LICENSEES
- SECTION 921ZE PERIOD OF REGISTRATION - RELEVANT PROVIDERS WHO ARE REGISTERED IN RELATION TO FINANCIAL SERVICES LICENSEES
- SECTION 921ZF ASSISTED DECISION MAKING
- Division 9 - Registers relating to financial services
- Subdivision A - Registers generally
- SECTION 922A REGISTERS RELATING TO FINANCIAL SERVICES
- SECTION 922B FEES FOR SEARCHING REGISTERS
- Subdivision B - Notice requirements relating to the Register of Relevant Providers
- SECTION 922D OBLIGATION TO NOTIFY ASIC ABOUT A PERSON WHO BECOMES A RELEVANT PROVIDER
- SECTION 922E INFORMATION ABOUT A RELEVANT PROVIDER WHO IS A FINANCIAL SERVICES LICENSEE
- SECTION 922F INFORMATION ABOUT A RELEVANT PROVIDER WHO IS NOT A FINANCIAL SERVICES LICENSEE
- SECTION 922G MEANING OF RECENT ADVISING HISTORY
- SECTION 922H ONGOING OBLIGATION TO NOTIFY ASIC WHEN THERE IS A CHANGE IN A MATTER FOR A RELEVANT PROVIDER
- SECTION 922HA OBLIGATION TO NOTIFY ASIC OF FINANCIAL SERVICES LICENSEE ' S CPD YEAR
- SECTION 922HB OBLIGATION TO NOTIFY ASIC OF NON-COMPLIANCE WITH CPD PROVISIONS
- SECTION 922HC REQUIREMENT TO RETAIN INFORMATION
- SECTION 922HD OBLIGATION TO NOTIFY ASIC IN RELATION TO FAILURES TO COMPLY WITH THE CODE OF ETHICS
- SECTION 922J OBLIGATION TO NOTIFY ASIC ABOUT A PERSON WHO STARTS TO HAVE CONTROL OF A BODY CORPORATE LICENSEE
- SECTION 922K OBLIGATION TO NOTIFY ASIC ABOUT A PERSON WHO CEASES TO HAVE CONTROL OF A BODY CORPORATE LICENSEE
- SECTION 922L REQUIREMENT FOR NOTICE TO BE LODGED
- SECTION 922M FAILING TO COMPLY WITH OBLIGATION TO NOTIFY ASIC
- SECTION 922N OBLIGATION FOR RELEVANT PROVIDERS TO PROVIDE INFORMATION TO FINANCIAL SERVICES LICENSEES
- SECTION 922P CHANGE IN MATTER WITHIN 30 BUSINESS DAYS
- Subdivision C - Register of Relevant Providers
- SECTION 922Q REGISTER OF RELEVANT PROVIDERS
- SECTION 922R RELEVANT PROVIDER NUMBER
- SECTION 922S CORRECTING THE REGISTER
- Division 10 - Restrictions on use of terminology
- SECTION 923A RESTRICTION ON USE OF CERTAIN WORDS OR EXPRESSIONS
- SECTION 923B RESTRICTION ON USE OF CERTAIN WORDS OR EXPRESSIONS UNLESS AUTHORISED IN LICENCE CONDITIONS
- SECTION 923C RESTRICTION ON USE OF TERMS ' FINANCIAL ADVISER ' AND ' FINANCIAL PLANNER '
- Division 11 - Agreements with unlicensed persons relating to the provision of financial services
- Subdivision A - Agreements affected
- SECTION 924A AGREEMENTS WITH CERTAIN UNLICENSED PERSONS
- Subdivision B - Effect on agreements
- SECTION 925A CLIENT MAY GIVE NOTICE OF RESCISSION
- SECTION 925B EFFECT OF NOTICE UNDER SECTION 925A
- SECTION 925C CLIENT MAY APPLY TO COURT FOR PARTIAL RESCISSION
- SECTION 925D COURT MAY MAKE CONSEQUENTIAL ORDERS
- SECTION 925E AGREEMENT UNENFORCEABLE AGAINST CLIENT
- SECTION 925F NON-LICENSEE NOT ENTITLED TO RECOVER COMMISSION
- SECTION 925G ONUS OF ESTABLISHING NON-APPLICATION OF SECTION 925E OR 925F
- SECTION 925H CLIENT MAY RECOVER COMMISSION PAID TO NON-LICENSEE
- SECTION 925I REMEDIES UNDER THIS DIVISION ADDITIONAL TO OTHER REMEDIES
- Division 12 - Miscellaneous
- SECTION 926A EXEMPTIONS AND MODIFICATIONS BY ASIC
- SECTION 926B EXEMPTIONS AND MODIFICATIONS BY REGULATIONS
- PART 7.7 - FINANCIAL SERVICES DISCLOSURE
- Division 1 - Preliminary
- SECTION 940A HOW PART APPLIES IF A FINANCIAL SERVICES LICENSEE IS ACTING AS AUTHORISED REPRESENTATIVE
- SECTION 940B WHAT IF THERE IS NO REASONABLE OPPORTUNITY TO GIVE A DOCUMENT, INFORMATION OR STATEMENT REQUIRED BY THIS PART?
- SECTION 940C HOW DOCUMENTS, INFORMATION AND STATEMENTS ARE TO BE GIVEN
- SECTION 940D GENERAL APPROACH TO OFFENCE PROVISIONS
- Division 2 - Person provided with financial service as retail client to be given a Financial Services Guide
- Subdivision A - Requirement for a Financial Services Guide to be given
- SECTION 941A OBLIGATION ON FINANCIAL SERVICES LICENSEE TO GIVE A FINANCIAL SERVICES GUIDE IF FINANCIAL SERVICE PROVIDED TO PERSON AS A RETAIL CLIENT
- SECTION 941B OBLIGATION ON AUTHORISED REPRESENTATIVE TO GIVE A FINANCIAL SERVICES GUIDE IF FINANCIAL SERVICE PROVIDED TO PERSON AS A RETAIL CLIENT
- SECTION 941C SITUATIONS IN WHICH A FINANCIAL SERVICES GUIDE IS NOT REQUIRED
- SECTION 941D TIMING OF GIVING FINANCIAL SERVICES GUIDE
- SECTION 941E INFORMATION MUST BE UP TO DATE
- SECTION 941F OBLIGATION TO GIVE UPDATED FINANCIAL SERVICES GUIDE
- Subdivision B - Content and authorisation of Financial Services Guide
- SECTION 942A TITLE OF FINANCIAL SERVICES GUIDE
- SECTION 942B FINANCIAL SERVICES GUIDE GIVEN BY FINANCIAL SERVICES LICENSEE - MAIN REQUIREMENTS
- SECTION 942C FINANCIAL SERVICES GUIDE GIVEN BY AUTHORISED REPRESENTATIVE - MAIN REQUIREMENTS
- SECTION 942D FINANCIAL SERVICES GUIDE MAY CONSIST OF 2 OR MORE SEPARATE DOCUMENTS GIVEN AT SAME TIME
- SECTION 942DA COMBINING A FINANCIAL SERVICES GUIDE AND A PRODUCT DISCLOSURE STATEMENT IN A SINGLE DOCUMENT
- SECTION 942E ALTERING A FINANCIAL SERVICES GUIDE AFTER ITS PREPARATION AND BEFORE GIVING IT TO A PERSON
- Subdivision C - Supplementary Financial Services Guides
- SECTION 943A WHAT A SUPPLEMENTARY FINANCIAL SERVICES GUIDE IS
- SECTION 943B TITLE OF SUPPLEMENTARY FINANCIAL SERVICES GUIDE
- SECTION 943C FORM OF SUPPLEMENTARY FINANCIAL SERVICES GUIDE
- SECTION 943D EFFECT OF GIVING A PERSON A SUPPLEMENTARY FINANCIAL SERVICES GUIDE
- SECTION 943E SITUATION IN WHICH ONLY A SUPPLEMENTARY FINANCIAL SERVICES GUIDE NEED BE GIVEN
- SECTION 943F ALTERING A SUPPLEMENTARY FINANCIAL SERVICES GUIDE AFTER ITS PREPARATION AND BEFORE GIVING IT TO A PERSON
- Division 2A - Website disclosure for financial product advice provided to a retail client
- SECTION 943G OBLIGATION ON FINANCIAL SERVICES LICENSEE TO MAKE WEBSITE DISCLOSURE INFORMATION AVAILABLE
- SECTION 943H OBLIGATION ON AUTHORISED REPRESENTATIVE TO MAKE WEBSITE DISCLOSURE INFORMATION AVAILABLE
- SECTION 943J MEANING OF WEBSITE DISCLOSURE INFORMATION
- SECTION 943K WEBSITE DISCLOSURE INFORMATION MUST BE READILY ACCESSIBLE
- SECTION 943L WEBSITE DISCLOSURE INFORMATION MUST BE KEPT UP TO DATE
- SECTION 943M ALTERING WEBSITE DISCLOSURE INFORMATION AFTER IT HAS BEEN MADE AVAILABLE
- SECTION 943N RECORD OF ADVICE MUST BE PROVIDED IN CERTAIN CIRCUMSTANCES
- Division 3 - Additional requirements for personal advice provided to a retail client
- Subdivision A - When this Division applies
- SECTION 944A SITUATION IN WHICH DIVISION APPLIES
- Subdivision B - Requirements relating to basis of advice
- SECTION 945A REQUIREMENT TO HAVE A REASONABLE BASIS FOR THE ADVICE
- SECTION 945B OBLIGATION TO WARN CLIENT IF ADVICE BASED ON INCOMPLETE OR INACCURATE INFORMATION
- Subdivision C - Requirement for a Statement of Advice to be given
- SECTION 946A OBLIGATION TO GIVE CLIENT A STATEMENT OF ADVICE
- SECTION 946AA SMALL INVESTMENTS - STATEMENT OF ADVICE NOT REQUIRED
- SECTION 946B OTHER SITUATIONS IN WHICH A STATEMENT OF ADVICE IS NOT REQUIRED
- SECTION 946C TIMING OF GIVING STATEMENT OF ADVICE
- Subdivision D - Content of Statement of Advice
- SECTION 947A TITLE OF STATEMENT OF ADVICE
- SECTION 947B STATEMENT OF ADVICE GIVEN BY FINANCIAL SERVICES LICENSEE - MAIN REQUIREMENTS
- SECTION 947C STATEMENT OF ADVICE GIVEN BY AUTHORISED REPRESENTATIVE - MAIN REQUIREMENTS
- SECTION 947D ADDITIONAL REQUIREMENTS WHEN ADVICE RECOMMENDS REPLACEMENT OF ONE PRODUCT WITH ANOTHER
- SECTION 947E STATEMENT OF ADVICE NOT TO BE COMBINED WITH FINANCIAL SERVICES GUIDE OR PRODUCT DISCLOSURE STATEMENT
- Subdivision E - Other matters
- SECTION 948A QUALIFIED PRIVILEGE IF PROVIDING ENTITY COMPLIES WITH THIS DIVISION
- Division 3A - Cash Settlement Fact Sheet
- Subdivision A - When this Division applies
- SECTION 948B SITUATION IN WHICH THIS DIVISION APPLIES
- Subdivision B - Requirement for a Cash Settlement Fact Sheet to be given
- SECTION 948C OBLIGATION TO GIVE CLIENT A CASH SETTLEMENT FACT SHEET
- SECTION 948D TIMING FOR GIVING A CASH SETTLEMENT FACT SHEET
- Subdivision C - Contents of a Cash Settlement Fact Sheet
- SECTION 948E TITLE OF CASH SETTLEMENT FACT SHEET
- SECTION 948F CONTENT OF CASH SETTLEMENT FACT SHEET
- Division 4 - Other disclosure requirements
- SECTION 949A GENERAL ADVICE PROVIDED TO RETAIL CLIENT - OBLIGATION TO WARN CLIENT THAT ADVICE DOES NOT TAKE ACCOUNT OF CLIENT ' S OBJECTIVES, FINANCIAL SITUATION OR NEEDS
- SECTION 949B REGULATIONS MAY IMPOSE DISCLOSURE REQUIREMENTS IN CERTAIN SITUATIONS
- Division 6 - Miscellaneous
- SECTION 951A PART CANNOT BE CONTRACTED OUT OF
- SECTION 951B EXEMPTIONS AND MODIFICATIONS BY ASIC
- SECTION 951C EXEMPTIONS AND MODIFICATIONS BY REGULATIONS
- Division 7 - Enforcement
- Subdivision A - Offences
- SECTION 952A OVERVIEW
- SECTION 952B MEANING OF DEFECTIVE AND DISCLOSURE DOCUMENT OR STATEMENT
- SECTION 952C OFFENCE OF FAILING TO GIVE A DISCLOSURE DOCUMENT OR STATEMENT
- SECTION 952D OFFENCE OF GIVING A DISCLOSURE DOCUMENT OR STATEMENT KNOWING IT TO BE DEFECTIVE
- SECTION 952E GIVING A DEFECTIVE DISCLOSURE DOCUMENT OR STATEMENT (WHETHER OR NOT KNOWN TO BE DEFECTIVE)
- SECTION 952F OFFENCES OF FINANCIAL SERVICES LICENSEE KNOWINGLY PROVIDING DEFECTIVE DISCLOSURE MATERIAL TO AN AUTHORISED REPRESENTATIVE
- SECTION 952G OFFENCES OF FINANCIAL SERVICES LICENSEE PROVIDING DISCLOSURE MATERIAL TO AN AUTHORISED REPRESENTATIVE (WHETHER OR NOT KNOWN TO BE DEFECTIVE)
- SECTION 952H FINANCIAL SERVICES LICENSEE FAILING TO ENSURE AUTHORISED REPRESENTATIVE GIVES DISCLOSURE DOCUMENTS OR STATEMENTS AS REQUIRED
- SECTION 952I OFFENCES IF A FINANCIAL SERVICES GUIDE, SUPPLEMENTARY FSG OR WEBSITE DISCLOSURE INFORMATION DOES NOT COMPLY WITH CERTAIN REQUIREMENTS
- SECTION 952J OFFENCE IF A STATEMENT OF ADVICE DOES NOT COMPLY WITH CERTAIN REQUIREMENTS
- SECTION 952JA OFFENCE IF A CASH SETTLEMENT FACT SHEET DOES NOT COMPLY WITH CERTAIN REQUIREMENTS
- SECTION 952K OFFENCE IF AUTHORISED REPRESENTATIVE GIVES OUT UNAUTHORISED FINANCIAL SERVICES GUIDE, SUPPLEMENTARY FSG OR WEBSITE DISCLOSURE INFORMATION
- SECTION 952L OFFENCES IF FINANCIAL SERVICES LICENSEE OR AUTHORISED REPRESENTATIVE BECOMES AWARE THAT A FINANCIAL SERVICES GUIDE, SUPPLEMENTARY FSG OR WEBSITE DISCLOSURE INFORMATION IS DEFECTIVE
- SECTION 952M OFFENCE OF UNAUTHORISED ALTERATION OF FINANCIAL SERVICES GUIDE, SUPPLEMENTARY FINANCIAL SERVICES GUIDE OR WEBSITE DISCLOSURE INFORMATION
- Subdivision B - Civil liability
- SECTION 953A MEANING OF DEFECTIVE AND DISCLOSURE DOCUMENT OR STATEMENT
- SECTION 953B CIVIL ACTION FOR LOSS OR DAMAGE
- SECTION 953C ADDITIONAL POWERS OF COURT TO MAKE ORDERS
- PART 7.7A - BEST INTERESTS OBLIGATIONS AND REMUNERATION
- Division 1 - Preliminary
- SECTION 960 DEFINITIONS
- SECTION 960A NO CONTRACTING OUT
- SECTION 960B OBLIGATIONS UNDER THIS PART IN ADDITION TO OTHER OBLIGATIONS
- Division 2 - Best interests obligations
- Subdivision A - Preliminary
- SECTION 961 APPLICATION OF THIS DIVISION
- SECTION 961A APPLICATION TO A FINANCIAL SERVICES LICENSEE ACTING AS AN AUTHORISED REPRESENTATIVE
- Subdivision B - Provider must act in the best interests of the client
- SECTION 961B PROVIDER MUST ACT IN THE BEST INTERESTS OF THE CLIENT
- SECTION 961C MEANING OF REASONABLY APPARENT
- SECTION 961D MEANING OF REASONABLE INVESTIGATION
- SECTION 961E WHAT WOULD REASONABLY BE REGARDED AS IN THE BEST INTERESTS OF THE CLIENT?
- SECTION 961F MEANING OF BASIC BANKING PRODUCT
- Subdivision C - Resulting advice must be appropriate to the client
- SECTION 961G RESULTING ADVICE MUST BE APPROPRIATE TO THE CLIENT
- Subdivision D - Where resulting advice still based on incomplete or inaccurate information
- SECTION 961H RESULTING ADVICE STILL BASED ON INCOMPLETE OR INACCURATE INFORMATION
- Subdivision E - Provider to give priority to the client ' s interests
- SECTION 961J CONFLICT BETWEEN CLIENT ' S INTERESTS AND THOSE OF PROVIDER, LICENSEE, AUTHORISED REPRESENTATIVE OR ASSOCIATES
- Subdivision F - Responsibilities of licensees under this Division
- SECTION 961K CIVIL PENALTY PROVISION - SECTIONS 961B, 961G, 961H AND 961J
- SECTION 961L LICENSEES MUST ENSURE COMPLIANCE
- SECTION 961M CIVIL ACTION FOR LOSS OR DAMAGE
- SECTION 961N ADDITIONAL POWERS OF COURT TO MAKE ORDERS
- SECTION 961P MEANING OF RESPONSIBLE LICENSEE
- Subdivision G - Responsibilities of authorised representatives under this Division
- SECTION 961Q CIVIL PENALTY PROVISION - SECTIONS 961B, 961G, 961H AND 961J
- Division 3 - Charging ongoing fees to clients
- Subdivision A - Preliminary
- SECTION 962 APPLICATION OF THIS DIVISION
- SECTION 962A MEANING OF ONGOING FEE ARRANGEMENT
- SECTION 962B MEANING OF ONGOING FEE
- SECTION 962C MEANING OF FEE RECIPIENT
- SECTION 962CA EXEMPTION FROM APPLICATION OF OPT-IN REQUIREMENT
- Subdivision B - Client consent required for ongoing fee arrangements
- SECTION 962D APPLICATION OF THIS SUBDIVISION
- SECTION 962E CLIENT MAY TERMINATE ARRANGEMENT AT ANY TIME
- SECTION 962F ONGOING FEE ARRANGEMENT TERMINATES WITHOUT CONSENT
- SECTION 962FA ARRANGEMENT TERMINATES IF SUBDIVISION C NOT COMPLIED WITH
- SECTION 962G REQUIREMENTS FOR CONSENT
- SECTION 962H WHEN CONSENT CEASES TO HAVE EFFECT
- SECTION 962J CLIENT MAY TERMINATE ONGOING FEE ARRANGEMENT AT ANY TIME
- SECTION 962K FEE RECIPIENT MUST GIVE RENEWAL NOTICE
- SECTION 962L MEANING OF RENEWAL PERIOD
- SECTION 962M IF CLIENT NOTIFIES FEE RECIPIENT THAT CLIENT DOES NOT WISH TO RENEW
- SECTION 962N IF CLIENT DOES NOT NOTIFY FEE RECIPIENT THAT CLIENT WISHES TO RENEW
- SECTION 962P CIVIL PENALTY PROVISION - CHARGING ONGOING FEES AFTER ARRANGEMENT TERMINATED
- SECTION 962Q EFFECT OF TERMINATION
- Subdivision C - Account holder consent required for deducting ongoing fees from accounts
- SECTION 962R FEE RECIPIENT MUST NOT DEDUCT ONGOING FEES WITHOUT CONSENT
- SECTION 962S FEE RECIPIENT MUST NOT ARRANGE FOR DEDUCTION OF ONGOING FEES WITHOUT CONSENT OR ACCEPT SUCH DEDUCTIONS
- SECTION 962T REQUIREMENTS FOR CONSENT - DEDUCTION OF FEES FROM ACCOUNTS
- SECTION 962U VARIATION OR WITHDRAWAL OF CONSENT
- SECTION 962V WHEN CONSENT CEASES TO HAVE EFFECT
- SECTION 962W CONDITIONS REQUIRING CONSENT TO BE GIVEN ARE VOID
- SECTION 962WA ONGOING FEE ARRANGEMENT TERMINATES IF FEE DEDUCTED WITHOUT CONSENT
- Subdivision D - Common rules for consents under this Division
- SECTION 962X OBLIGATION TO KEEP RECORDS OF COMPLIANCE
- SECTION 962Y FORM FOR CONSENTS
- SECTION 962YA COMBINING INFORMATION IN A SINGLE NOTICE OR FORM
- Subdivision E - Common rules for terminations under this Division
- SECTION 962Z CIVIL PENALTY PROVISION - CHARGING ONGOING FEES AFTER ARRANGEMENT TERMINATED
- SECTION 962ZA EFFECT OF TERMINATION
- Division 4 - Conflicted remuneration
- Subdivision A - Preliminary
- SECTION 963 APPLICATION TO A FINANCIAL SERVICES LICENSEE ACTING AS AN AUTHORISED REPRESENTATIVE
- Subdivision B - Meaning of conflicted remuneration
- SECTION 963A MEANING OF CONFLICTED REMUNERATION - GENERAL
- SECTION 963AA BENEFITS GIVEN IN RELATION TO LIFE RISK INSURANCE PRODUCTS
- SECTION 963B MONETARY BENEFIT GIVEN IN CERTAIN CIRCUMSTANCES NOT CONFLICTED REMUNERATION
- SECTION 963BA MEANING OF BENEFIT RATIO REQUIREMENTS AND CLAWBACK REQUIREMENTS
- SECTION 963C NON-MONETARY BENEFIT GIVEN IN CERTAIN CIRCUMSTANCES NOT CONFLICTED REMUNERATION
- SECTION 963D BENEFITS FOR EMPLOYEES ETC. OF ADIs
- Subdivision C - Ban on conflicted remuneration
- SECTION 963E LICENSEE MUST NOT ACCEPT CONFLICTED REMUNERATION
- SECTION 963F LICENSEE MUST ENSURE COMPLIANCE
- SECTION 963G AUTHORISED REPRESENTATIVE MUST NOT ACCEPT CONFLICTED REMUNERATION
- SECTION 963H OTHER REPRESENTATIVES MUST NOT ACCEPT CONFLICTED REMUNERATION
- SECTION 963J EMPLOYER MUST NOT GIVE EMPLOYEES CONFLICTED REMUNERATION
- SECTION 963K PRODUCT ISSUER OR SELLER MUST NOT GIVE CONFLICTED REMUNERATION
- SECTION 963L VOLUME-BASED BENEFITS PRESUMED TO BE CONFLICTED REMUNERATION
- Subdivision D - Rebate of conflicted remuneration
- SECTION 963M PERSON COVERED BY THIS SECTION IN RELATION TO CONFLICTED REMUNERATION
- SECTION 963N REGULATIONS MAY PROVIDE FOR REBATE OF CONFLICTED REMUNERATION
- SECTION 963P PERSON COVERED BY SECTION 963M MUST PAY AMOUNT ETC. IN ACCORDANCE WITH REGULATIONS
- Division 5 - Other banned remuneration
- Subdivision A - Volume-based shelf-space fees
- SECTION 964 APPLICATION
- SECTION 964A PLATFORM OPERATOR MUST NOT ACCEPT VOLUME-BASED SHELF-SPACE FEES
- Subdivision B - Asset-based fees on borrowed amounts
- SECTION 964B APPLICATION
- SECTION 964C APPLICATION TO A FINANCIAL SERVICES LICENSEE ACTING AS AN AUTHORISED REPRESENTATIVE
- SECTION 964D FINANCIAL SERVICES LICENSEES MUST NOT CHARGE ASSET-BASED FEES ON BORROWED AMOUNTS
- SECTION 964E AUTHORISED REPRESENTATIVES MUST NOT CHARGE ASSET-BASED FEES ON BORROWED AMOUNTS
- SECTION 964F MEANING OF ASSET-BASED FEE
- SECTION 964G MEANING OF BORROWED
- SECTION 964H MEANING OF REASONABLY APPARENT
- Division 6 - Anti-avoidance
- SECTION 965 ANTI-AVOIDANCE
- Division 7 - Transition
- SECTION 966 TRANSITION PERIOD
- SECTION 967 BEST INTERESTS OBLIGATIONS AND REMUNERATION PROVISIONS TO APPLY DURING TRANSITION PERIOD
- SECTION 968 NOTICE TO CLIENTS IN TRANSITION PERIOD
- PART 7.8 - OTHER PROVISIONS RELATING TO CONDUCT ETC. CONNECTED WITH FINANCIAL PRODUCTS AND FINANCIAL SERVICES, OTHER THAN FINANCIAL PRODUCT DISCLOSURE
- Division 1 - Preliminary
- SECTION 980A MATTERS COVERED BY THIS PART
- SECTION 980B GENERAL APPROACH TO OFFENCE PROVISIONS
- Division 2 - Dealing with clients ' money
- Subdivision A - Money other than loans
- SECTION 981A MONEY TO WHICH SUBDIVISION APPLIES
- SECTION 981B OBLIGATION TO PAY MONEY INTO AN ACCOUNT
- SECTION 981C REGULATIONS MAY DEAL WITH VARIOUS MATTERS RELATING TO ACCOUNTS MAINTAINED FOR THE PURPOSES OF SECTION 981B
- SECTION 981D MONEY RELATED TO DERIVATIVES MAY BE USED FOR GENERAL MARGINING ETC. PURPOSES
- SECTION 981E PROTECTION OF MONEY FROM ATTACHMENT ETC.
- SECTION 981F REGULATIONS MAY DEAL WITH HOW MONEY TO BE DEALT WITH IF LICENSEE CEASES TO BE LICENSED ETC.
- SECTION 981G ACCOUNT PROVIDER NOT LIABLE MERELY BECAUSE OF LICENSEE ' S CONTRAVENTION
- SECTION 981H MONEY TO WHICH SUBDIVISION APPLIES TAKEN TO BE HELD IN TRUST
- Subdivision AA - Client money reporting rules
- SECTION 981J CLIENT MONEY REPORTING RULES
- SECTION 981K MATTERS THAT MAY BE DEALT WITH IN CLIENT MONEY REPORTING RULES
- SECTION 981L ASIC TO CONSULT BEFORE MAKING RULES
- SECTION 981M COMPLYING WITH CLIENT MONEY REPORTING RULES
- SECTION 981N ALTERNATIVES TO CIVIL PROCEEDINGS
- SECTION 981P COMPLIANCE WITH REQUIREMENTS TO PROVIDE DATA OR OTHER INFORMATION TO ASIC: PROTECTION FROM LIABILITY
- Subdivision B - Loan money
- SECTION 982A MONEY TO WHICH THIS SUBDIVISION APPLIES
- SECTION 982B OBLIGATION TO PAY MONEY INTO AN ACCOUNT
- SECTION 982C LICENSEE TO GIVE CLIENT STATEMENT SETTING OUT TERMS OF LOAN ETC.
- SECTION 982D PERMITTED USE OF LOAN
- Subdivision C - Powers of Court
- SECTION 983A COURT MAY FREEZE CERTAIN ACCOUNTS
- SECTION 983B INTERIM ORDER FREEZING ACCOUNTS
- SECTION 983C DUTY OF PERSON TO WHOM ORDER DIRECTED TO MAKE FULL DISCLOSURE
- SECTION 983D FURTHER ORDERS AND DIRECTIONS
- SECTION 983E POWER OF COURT TO MAKE ORDER RELATING TO PAYMENT OF MONEY
- Division 3 - Dealing with other property of clients
- SECTION 984A PROPERTY TO WHICH DIVISION APPLIES
- SECTION 984B HOW PROPERTY TO WHICH THIS DIVISION APPLIES IS TO BE DEALT WITH
- Division 4 - Special provisions relating to insurance
- SECTION 985A MEANING OF CONTRACT OF INSURANCE AND INSURED
- SECTION 985B STATUS OF AMOUNTS PAID TO FINANCIAL SERVICES LICENSEES IN RESPECT OF CONTRACTS OF INSURANCE
- SECTION 985C REGULATIONS MAY IMPOSE OTHER REQUIREMENTS ETC. IF FINANCIAL SERVICES LICENSEE IS NOT THE INSURER
- SECTION 985D FINANCIAL SERVICES LICENSEES ETC. NOT TO DEAL IN GENERAL INSURANCE PRODUCTS FROM UNAUTHORISED INSURERS ETC.
- Division 4A - Special provisions relating to margin lending facilities
- Subdivision A - Responsible lending conduct for margin lending facilities
- SECTION 985EA APPLICATION OF THIS SUBDIVISION
- SECTION 985E REQUIREMENTS BEFORE ISSUING ETC. MARGIN LENDING FACILITY
- SECTION 985F ASSESSMENT OF UNSUITABILITY OF MARGIN LENDING FACILITY
- SECTION 985G REASONABLE INQUIRIES ETC. ABOUT THE RETAIL CLIENT
- SECTION 985H WHEN MARGIN LENDING FACILITY MUST BE ASSESSED AS UNSUITABLE
- SECTION 985J GIVING THE RETAIL CLIENT THE ASSESSMENT
- SECTION 985K UNSUITABLE MARGIN LENDING FACILITIES
- Subdivision B - Notice of margin calls under margin lending facilities
- SECTION 985L ISSUE OF MARGIN LENDING FACILITY MUST NOT BE CONDITIONAL ON AGREEMENT TO RECEIVE COMMUNICATIONS THROUGH AGENT
- SECTION 985M NOTIFICATION OF MARGIN CALLS
- Division 5 - Obligations to report
- SECTION 986A REPORTING IN RELATION TO MONEY TO WHICH SUBDIVISION A OR B OF DIVISION 2 APPLIES OR PROPERTY TO WHICH DIVISION 3 APPLIES
- SECTION 986B REPORTING IN RELATION TO DEALINGS IN DERIVATIVES
- Division 6 - Financial records, statements and audit
- Subdivision A - Preliminary
- SECTION 987A APPLICATION OF DIVISION
- Subdivision B - Financial records of financial services licensees
- SECTION 988A OBLIGATION TO KEEP FINANCIAL RECORDS
- SECTION 988B RECORDS TO BE KEPT SO THAT PROFIT AND LOSS STATEMENTS AND BALANCE SHEET CAN BE PREPARED AND AUDITED
- SECTION 988C LANGUAGE OF RECORDS
- SECTION 988D LOCATION OF RECORDS
- SECTION 988E PARTICULAR CATEGORIES OF INFORMATION TO BE SHOWN IN RECORDS
- SECTION 988F REGULATIONS MAY IMPOSE ADDITIONAL REQUIREMENTS
- SECTION 988G RECORDS TAKEN TO BE MADE WITH LICENSEE ' S AUTHORITY
- Subdivision C - Financial statements of financial services licensees
- SECTION 989A MEANING OF FINANCIAL YEAR
- SECTION 989B FINANCIAL SERVICES LICENSEE TO PREPARE AND LODGE ANNUAL PROFIT AND LOSS STATEMENT AND BALANCE SHEET
- SECTION 989C REQUIREMENTS AS TO CONTENTS AND APPLICABLE ACCOUNTING PRINCIPLES
- SECTION 989CA AUDIT TO BE CONDUCTED IN ACCORDANCE WITH AUDITING STANDARDS
- SECTION 989D TIME OF LODGMENT
- Subdivision D - Appointment etc. of auditors
- SECTION 990A SECTIONS 990B TO 990H NOT TO APPLY TO PUBLIC COMPANIES
- SECTION 990B APPOINTMENT OF AUDITOR BY LICENSEE
- SECTION 990C WHEN A PERSON OR FIRM IS INELIGIBLE TO ACT AS AUDITOR
- SECTION 990D INELIGIBLE PERSON OR FIRM MUST NOT CONSENT TO ACT OR DISQUALIFY THEMSELVES ETC.
- SECTION 990E DURATION OF APPOINTMENT OF AUDITORS
- SECTION 990F REMOVAL OF AUDITORS
- SECTION 990G RESIGNATION OF AUDITORS - REQUIREMENTS FOR RESIGNATION
- SECTION 990H RESIGNATION OF AUDITORS - WHEN RESIGNATION TAKES EFFECT
- SECTION 990I AUDITOR ' S RIGHT OF ACCESS TO RECORDS, INFORMATION ETC.
- SECTION 990J AUDITOR ' S FEES AND EXPENSES
- SECTION 990K AUDITOR TO REPORT ON CERTAIN MATTERS
- SECTION 990L QUALIFIED PRIVILEGE FOR AUDITOR ETC.
- Division 7 - Other rules about conduct
- SECTION 991A FINANCIAL SERVICES LICENSEE NOT TO ENGAGE IN UNCONSCIONABLE CONDUCT
- SECTION 991B FINANCIAL SERVICES LICENSEE TO GIVE PRIORITY TO CLIENTS ' ORDERS
- SECTION 991C REGULATIONS MAY DEAL WITH VARIOUS MATTERS RELATING TO INSTRUCTIONS TO DEAL THROUGH LICENSED MARKETS
- SECTION 991D REGULATIONS MAY REQUIRE RECORDS TO BE KEPT IN RELATION TO INSTRUCTIONS TO DEAL ON LICENSED MARKETS AND FOREIGN MARKETS
- SECTION 991E OBLIGATIONS OF FINANCIAL SERVICES LICENSEE IN RELATION TO DEALINGS WITH NON-LICENSEES
- SECTION 991F DEALINGS INVOLVING EMPLOYEES OF FINANCIAL SERVICES LICENSEES
- Division 8 - Miscellaneous
- SECTION 992A PROHIBITION ON HAWKING OF FINANCIAL PRODUCTS
- SECTION 992AA RIGHT OF RETURN AND REFUND FOR HAWKED FINANCIAL PRODUCTS
- SECTION 992B EXEMPTIONS AND MODIFICATIONS BY ASIC
- SECTION 992C EXEMPTIONS AND MODIFICATIONS BY REGULATIONS
- Division 9 - Enforcement
- SECTION 993A OVERVIEW
- SECTION 993B OFFENCE OF FAILING TO PAY CLIENT MONEY INTO AN ACCOUNT AS REQUIRED
- SECTION 993C OFFENCE OF FAILING TO COMPLY WITH REQUIREMENTS RELATING TO CLIENT MONEY ACCOUNT
- SECTION 993D FAILING TO PAY LOAN MONEY INTO AN ACCOUNT AS REQUIRED
- PART 7.8A - DESIGN AND DISTRIBUTION REQUIREMENTS RELATING TO FINANCIAL PRODUCTS FOR RETAIL CLIENTS
- Division 1 - Preliminary
- SECTION 994A MEANING OF SOME TERMS RELATING TO DESIGN AND DISTRIBUTION REQUIREMENTS
- SECTION 994AA MEANING OF FINANCIAL PRODUCT - PART 7.8A
- Division 2 - Target market determinations for financial products
- SECTION 994B TARGET MARKET DETERMINATIONS FOR FINANCIAL PRODUCTS
- SECTION 994C TARGET MARKET DETERMINATIONS TO BE REVIEWED
- SECTION 994D PROHIBITION ON ENGAGING IN RETAIL PRODUCT DISTRIBUTION CONDUCT UNLESS TARGET MARKET DETERMINATION MADE
- Division 3 - Distribution of financial products
- SECTION 994E REASONABLE STEPS TO ENSURE CONSISTENCY WITH TARGET MARKET DETERMINATIONS
- SECTION 994F RECORD KEEPING AND NOTIFICATION OBLIGATIONS
- SECTION 994G NOTICE TO ASIC
- Division 4 - ASIC powers
- SECTION 994H INFORMATION TO BE PROVIDED TO ASIC
- SECTION 994J STOP ORDERS
- Division 5 - Exemptions and modifications
- SECTION 994K DEFINITIONS
- SECTION 994L EXEMPTIONS AND MODIFICATIONS BY ASIC
- Division 6 - Miscellaneous
- SECTION 994M CIVIL LIABILITY
- SECTION 994N ADDITIONAL POWERS OF COURT TO MAKE ORDERS
- SECTION 994P ORDERS TO REDRESS LOSS OR DAMAGE SUFFERED BY NON-PARTY CONSUMERS ETC.
- SECTION 994Q KINDS OF ORDERS THAT MAY BE MADE TO REDRESS LOSS OR DAMAGE SUFFERED BY NON-PARTY CONSUMERS ETC.
- PART 7.9 - FINANCIAL PRODUCT DISCLOSURE AND OTHER PROVISIONS RELATING TO ISSUE, SALE AND PURCHASE OF FINANCIAL PRODUCTS
- Division 1 - Preliminary
- SECTION 1010A PART GENERALLY DOES NOT APPLY TO SECURITIES
- SECTION 1010B PART DOES NOT APPLY TO FINANCIAL PRODUCTS NOT ISSUED IN THE COURSE OF A BUSINESS
- SECTION 1010BA PART DOES NOT APPLY TO CONTRIBUTION PLANS AND ESS CONTRIBUTION PLANS
- SECTION 1010C MEANING OF OFFER, PURCHASE AND SALE - PART 7.9
- SECTION 1010D GENERAL APPROACH TO OFFENCE PROVISIONS
- Division 2 - Product Disclosure Statements
- Subdivision A - Preliminary
- SECTION 1011A JURISDICTIONAL SCOPE OF DIVISION
- SECTION 1011B MEANING OF REGULATED PERSON
- SECTION 1011C TREATMENT OF OFFERS OF OPTIONS OVER FINANCIAL PRODUCTS
- Subdivision B - Requirement for a Product Disclosure Statement to be given
- SECTION 1012A OBLIGATION TO GIVE PRODUCT DISCLOSURE STATEMENT - PERSONAL ADVICE RECOMMENDING PARTICULAR FINANCIAL PRODUCT
- SECTION 1012B OBLIGATION TO GIVE PRODUCT DISCLOSURE STATEMENT - SITUATIONS RELATED TO ISSUE OF FINANCIAL PRODUCTS
- SECTION 1012C OBLIGATION TO GIVE PRODUCT DISCLOSURE STATEMENT - OFFERS RELATED TO SALE OF FINANCIAL PRODUCTS
- SECTION 1012D SITUATIONS IN WHICH PRODUCT DISCLOSURE STATEMENT IS NOT REQUIRED
- SECTION 1012DAA RIGHTS ISSUES FOR WHICH PRODUCT DISCLOSURE STATEMENT IS NOT REQUIRED
- SECTION 1012DA PRODUCT DISCLOSURE STATEMENT NOT REQUIRED FOR SALE AMOUNTING TO INDIRECT ISSUE
- SECTION 1012E SMALL SCALE OFFERINGS OF MANAGED INVESTMENT AND OTHER PRESCRIBED FINANCIAL PRODUCTS (20 ISSUES OR SALES IN 12 MONTHS)
- SECTION 1012F PRODUCT DISCLOSURE STATEMENT FOR CERTAIN SUPERANNUATION PRODUCTS MAY BE PROVIDED LATER
- SECTION 1012G PRODUCT DISCLOSURE STATEMENT MAY SOMETIMES BE PROVIDED LATER
- SECTION 1012GA PRODUCT DISCLOSURE STATEMENT FOR CERTAIN GENERAL INSURANCE PRODUCT QUOTES MAY BE PROVIDED LATER, OR IS NOT REQUIRED
- SECTION 1012H OBLIGATION TO TAKE REASONABLE STEPS TO ENSURE THAT PRODUCT DISCLOSURE STATEMENT IS GIVEN TO PERSON ELECTING TO BE COVERED BY GROUP FINANCIAL PRODUCT
- SECTION 1012I OBLIGATION TO GIVE EMPLOYER A PRODUCT DISCLOSURE STATEMENT IN RELATION TO CERTAIN SUPERANNUATION PRODUCTS AND RSAs
- SECTION 1012IA TREATMENT OF ARRANGEMENTS UNDER WHICH A PERSON CAN INSTRUCT ANOTHER PERSON TO ACQUIRE A FINANCIAL PRODUCT
- SECTION 1012J INFORMATION MUST BE UP TO DATE
- SECTION 1012K ANTI-AVOIDANCE DETERMINATIONS
- Subdivision C - Preparation and content of Product Disclosure Statements
- SECTION 1013A WHO MUST PREPARE PRODUCT DISCLOSURE STATEMENT
- SECTION 1013B TITLE OF PRODUCT DISCLOSURE STATEMENT
- SECTION 1013C PRODUCT DISCLOSURE STATEMENT CONTENT REQUIREMENTS
- SECTION 1013D PRODUCT DISCLOSURE STATEMENT CONTENT - MAIN REQUIREMENTS
- SECTION 1013DA INFORMATION ABOUT ETHICAL CONSIDERATIONS ETC.
- SECTION 1013E GENERAL OBLIGATION TO INCLUDE OTHER INFORMATION THAT MIGHT INFLUENCE A DECISION TO ACQUIRE
- SECTION 1013F GENERAL LIMITATIONS ON EXTENT TO WHICH INFORMATION IS REQUIRED TO BE INCLUDED
- SECTION 1013FA INFORMATION NOT REQUIRED TO BE INCLUDED IN PDS FOR CONTINUOUSLY QUOTED SECURITIES
- SECTION 1013G PRODUCT DISCLOSURE STATEMENT MUST BE DATED
- SECTION 1013GA EXTRA REQUIREMENTS IF PRODUCT DISCLOSURE STATEMENT RELATES TO FOREIGN PASSPORT FUND PRODUCTS
- SECTION 1013H REQUIREMENTS IF PRODUCT DISCLOSURE STATEMENT STATES OR IMPLIES THAT FINANCIAL PRODUCT WILL BE ABLE TO BE TRADED
- SECTION 1013I EXTRA REQUIREMENTS IF PRODUCT DISCLOSURE STATEMENT RELATES TO MANAGED INVESTMENT PRODUCTS THAT ARE ED SECURITIES
- SECTION 1013IA EXTRA REQUIREMENTS IF PRODUCT DISCLOSURE STATEMENT RELATES TO FOREIGN PASSPORT FUND PRODUCTS THAT ARE ED SECURITIES
- SECTION 1013J REQUIREMENTS IF STATEMENT HAS BEEN LODGED WITH ASIC
- SECTION 1013K REQUIREMENTS RELATING TO CONSENTS TO CERTAIN STATEMENTS
- SECTION 1013L PRODUCT DISCLOSURE STATEMENT MAY CONSIST OF 2 OR MORE SEPARATE DOCUMENTS GIVEN AT SAME TIME
- SECTION 1013M COMBINING A PRODUCT DISCLOSURE STATEMENT AND A FINANCIAL SERVICES GUIDE IN A SINGLE DOCUMENT
- Subdivision D - Supplementary Product Disclosure Statements
- SECTION 1014A MEANING OF SUPPLEMENTARY PRODUCT DISCLOSURE STATEMENT
- SECTION 1014B TITLE OF SUPPLEMENTARY PRODUCT DISCLOSURE STATEMENT
- SECTION 1014C FORM OF SUPPLEMENTARY PRODUCT DISCLOSURE STATEMENT
- SECTION 1014D EFFECT OF GIVING PERSON A SUPPLEMENTARY PRODUCT DISCLOSURE STATEMENT
- SECTION 1014E SITUATION IN WHICH ONLY A SUPPLEMENTARY PRODUCT DISCLOSURE STATEMENT NEED BE GIVEN
- SECTION 1014F APPLICATION OF OTHER PROVISIONS IN RELATION TO SUPPLEMENTARY PRODUCT DISCLOSURE STATEMENTS
- Subdivision DA - Replacement Product Disclosure Statements
- SECTION 1014G APPLICATION OF THIS SUBDIVISION - STAPLED SECURITIES
- SECTION 1014H MEANING OF REPLACEMENT PRODUCT DISCLOSURE STATEMENT
- SECTION 1014J CONSEQUENCES OF LODGING A REPLACEMENT PRODUCT DISCLOSURE STATEMENT
- SECTION 1014K FORM, CONTENT AND PREPARATION OF REPLACEMENT PRODUCT DISCLOSURE STATEMENTS
- SECTION 1014L GIVING, LODGMENT AND NOTICE OF REPLACEMENT PRODUCT DISCLOSURE STATEMENTS
- Subdivision E - Other requirements relating to Product Disclosure Statements and Supplementary Product Disclosure Statements
- SECTION 1015A SUBDIVISION APPLIES TO PRODUCT DISCLOSURE STATEMENTS AND SUPPLEMENTARY PRODUCT DISCLOSURE STATEMENTS
- SECTION 1015B SOME STATEMENTS MUST BE LODGED WITH ASIC
- SECTION 1015C HOW A STATEMENT IS TO BE GIVEN
- SECTION 1015D NOTICE, RETENTION AND ACCESS REQUIREMENTS FOR STATEMENT THAT DOES NOT NEED TO BE LODGED
- SECTION 1015E ALTERING A STATEMENT AFTER ITS PREPARATION AND BEFORE GIVING IT TO A PERSON
- Subdivision F - Other rights and obligations related to Product Disclosure Statements
- SECTION 1016A PROVISIONS RELATING TO USE OF APPLICATION FORMS
- SECTION 1016B IF STATEMENT LODGED WITH ASIC, FINANCIAL PRODUCT IS NOT TO BE ISSUED OR SOLD BEFORE SPECIFIED PERIOD
- SECTION 1016C MINIMUM SUBSCRIPTION CONDITION MUST BE FULFILLED BEFORE ISSUE OR SALE
- SECTION 1016D CONDITION ABOUT ABILITY TO TRADE ON A MARKET MUST BE FULFILLED BEFORE ISSUE OR SALE
- SECTION 1016E CHOICES OPEN TO PERSON MAKING THE OFFER IF DISCLOSURE CONDITION NOT MET OR PRODUCT DISCLOSURE STATEMENT DEFECTIVE
- SECTION 1016F REMEDIES FOR PERSON ACQUIRING FINANCIAL PRODUCT UNDER DEFECTIVE PRODUCT DISCLOSURE DOCUMENT
- Division 3 - Other disclosure obligations of the issuer of a financial product
- SECTION 1017A OBLIGATION TO GIVE ADDITIONAL INFORMATION ON REQUEST
- SECTION 1017B ONGOING DISCLOSURE OF MATERIAL CHANGES AND SIGNIFICANT EVENTS
- SECTION 1017BA TRUSTEES OF REGULATED SUPERANNUATION FUNDS - OBLIGATION TO MAKE PRODUCT DASHBOARD PUBLICLY AVAILABLE
- SECTION 1017BB TRUSTEES OF REGISTRABLE SUPERANNUATION ENTITIES - OBLIGATION TO MAKE INFORMATION RELATING TO INVESTMENT OF ASSETS PUBLICLY AVAILABLE
- SECTION 1017BC OBLIGATIONS RELATING TO INVESTMENT OF ASSETS OF REGISTRABLE SUPERANNUATION ENTITIES - GENERAL RULE ABOUT GIVING NOTICE AND PROVIDING INFORMATION
- SECTION 1017BD OBLIGATIONS RELATING TO INVESTMENT OF ASSETS OF REGISTRABLE SUPERANNUATION ENTITIES - GIVING NOTICE TO PROVIDERS UNDER CUSTODIAL ARRANGEMENTS
- SECTION 1017BE OBLIGATIONS RELATING TO INVESTMENT OF ASSETS OF REGISTRABLE SUPERANNUATION ENTITIES - GIVING NOTICE TO ACQUIRERS UNDER CUSTODIAL ARRANGEMENTS
- SECTION 1017C INFORMATION FOR EXISTING HOLDERS OF SUPERANNUATION PRODUCTS AND RSAs
- SECTION 1017D PERIODIC STATEMENTS FOR RETAIL CLIENTS FOR FINANCIAL PRODUCTS THAT HAVE AN INVESTMENT COMPONENT
- SECTION 1017DA TRUSTEES OF SUPERANNUATION ENTITIES - REGULATIONS MAY SPECIFY ADDITIONAL OBLIGATIONS TO PROVIDE INFORMATION
- SECTION 1017E DEALING WITH MONEY RECEIVED FOR FINANCIAL PRODUCT BEFORE THE PRODUCT IS ISSUED
- SECTION 1017F CONFIRMING TRANSACTIONS
- SECTION 1017G CERTAIN PRODUCT ISSUERS AND REGULATED PERSONS MUST MEET APPROPRIATE DISPUTE RESOLUTION REQUIREMENTS
- Division 4 - Advertising for financial products
- SECTION 1018A ADVERTISING OR OTHER PROMOTIONAL MATERIAL FOR FINANCIAL PRODUCT MUST REFER TO PRODUCT DISCLOSURE STATEMENT
- SECTION 1018B PROHIBITION ON ADVERTISING PERSONAL OFFERS COVERED BY SECTION 1012E
- Division 5 - Cooling-off periods
- SECTION 1019A SITUATIONS IN WHICH THIS DIVISION APPLIES
- SECTION 1019B COOLING-OFF PERIOD FOR RETURN OF FINANCIAL PRODUCT
- Division 5A - Unsolicited offers to purchase financial products off-market
- SECTION 1019C DEFINITIONS
- SECTION 1019D OFFERS TO WHICH THIS DIVISION APPLIES
- SECTION 1019E HOW OFFERS ARE TO BE MADE
- SECTION 1019F PROHIBITION ON INVITING OFFERS TO SELL
- SECTION 1019G DURATION AND WITHDRAWAL OF OFFERS
- SECTION 1019H TERMS OF OFFER CANNOT BE VARIED
- SECTION 1019I CONTENTS OF OFFER DOCUMENT
- SECTION 1019J OBLIGATION TO UPDATE MARKET VALUE
- SECTION 1019K RIGHTS IF REQUIREMENTS OF DIVISION NOT COMPLIED WITH
- Division 5B - Disclosure etc. in relation to short sales covered by securities lending arrangement of listed section 1020B products
- SECTION 1020AAA TREATMENT OF TRANSACTIONS RELATING TO SECTION 1020B PRODUCTS
- SECTION 1020AA MEANING OF SECURITIES LENDING ARRANGEMENT
- SECTION 1020AB SELLER DISCLOSURE
- SECTION 1020AC LICENSEE DISCLOSURE
- SECTION 1020AD PUBLIC DISCLOSURE OF INFORMATION
- SECTION 1020AE LICENSEE ' S OBLIGATION TO ASK SELLER ABOUT SHORT SALE
- SECTION 1020AF REGULATIONS
- Division 5C - Information about CGS depository interests
- SECTION 1020AG JURISDICTIONAL SCOPE OF DIVISION
- SECTION 1020AH MEANING OF CGS DEPOSITORY INTEREST INFORMATION WEBSITE, INFORMATION STATEMENT AND REGULATED PERSON
- SECTION 1020AI REQUIREMENT TO GIVE INFORMATION STATEMENTS FOR CGS DEPOSITORY INTEREST IF RECOMMENDING ACQUISITION OF INTEREST
- SECTION 1020AJ INFORMATION STATEMENT GIVEN MUST BE UP TO DATE
- SECTION 1020AK HOW AN INFORMATION STATEMENT IS TO BE GIVEN
- SECTION 1020AL CIVIL ACTION FOR LOSS OR DAMAGE
- Division 6 - Miscellaneous
- SECTION 1020A OFFERS ETC. RELATING TO CERTAIN MANAGED INVESTMENT SCHEMES NOT TO BE MADE IN CERTAIN CIRCUMSTANCES
- SECTION 1020BAA OFFERS ETC. RELATING TO FOREIGN PASSPORT FUNDS NOT TO BE MADE IN CERTAIN CIRCUMSTANCES
- SECTION 1020B PROHIBITION OF CERTAIN SHORT SALES OF SECURITIES, MANAGED INVESTMENT PRODUCTS, FOREIGN PASSPORT FUND PRODUCTS AND CERTAIN OTHER FINANCIAL PRODUCTS
- SECTION 1020C ASIC ' S POWER TO PROHIBIT SHORT SELLING IN CERTAIN CASES
- SECTION 1020D PART CANNOT BE CONTRACTED OUT OF
- SECTION 1020E STOP ORDERS BY ASIC
- SECTION 1020F EXEMPTIONS AND MODIFICATIONS BY ASIC
- SECTION 1020G EXEMPTIONS AND MODIFICATIONS BY REGULATIONS
- Division 7 - Enforcement
- Subdivision A - Offences
- SECTION 1021A OVERVIEW
- SECTION 1021B MEANING OF DEFECTIVE AND DISCLOSURE DOCUMENT OR STATEMENT
- SECTION 1021C OFFENCE OF FAILING TO GIVE ETC. A DISCLOSURE DOCUMENT OR STATEMENT
- SECTION 1021D OFFENCE OF PREPARER OF DEFECTIVE DISCLOSURE DOCUMENT OR STATEMENT GIVING THE DOCUMENT OR STATEMENT KNOWING IT TO BE DEFECTIVE
- SECTION 1021E PREPARER OF DEFECTIVE DISCLOSURE DOCUMENT OR STATEMENT GIVING THE DOCUMENT OR STATEMENT (WHETHER OR NOT KNOWN TO BE DEFECTIVE)
- SECTION 1021F OFFENCE OF REGULATED PERSON (OTHER THAN PREPARER) GIVING DISCLOSURE DOCUMENT OR STATEMENT KNOWING IT TO BE DEFECTIVE
- SECTION 1021FA PARAGRAPH 1012G(3)(a) OBLIGATION - OFFENCES RELATING TO COMMUNICATION OF INFORMATION
- SECTION 1021FB PARAGRAPH 1012G(3)(a) OBLIGATION - OFFENCES RELATING TO INFORMATION PROVIDED BY PRODUCT ISSUER FOR COMMUNICATION BY ANOTHER PERSON
- SECTION 1021G FINANCIAL SERVICES LICENSEE FAILING TO ENSURE AUTHORISED REPRESENTATIVE GIVES ETC. DISCLOSURE DOCUMENTS OR STATEMENTS AS REQUIRED
- SECTION 1021H OFFENCES IF A PRODUCT DISCLOSURE STATEMENT (OR SUPPLEMENTARY PDS) DOES NOT COMPLY WITH CERTAIN REQUIREMENTS
- SECTION 1021I OFFENCE OF GIVING DISCLOSURE DOCUMENT OR STATEMENT THAT HAS NOT BEEN PREPARED BY THE APPROPRIATE PERSON
- SECTION 1021J OFFENCES IF PREPARER ETC. OF DISCLOSURE DOCUMENT OR STATEMENT BECOMES AWARE THAT IT IS DEFECTIVE
- SECTION 1021K OFFENCE OF UNAUTHORISED ALTERATION OF PRODUCT DISCLOSURE STATEMENT (OR SUPPLEMENTARY PDS)
- SECTION 1021L OFFENCES OF GIVING, OR FAILING TO WITHDRAW, CONSENT TO INCLUSION OF DEFECTIVE STATEMENT
- SECTION 1021M OFFENCES RELATING TO KEEPING AND PROVIDING COPIES OF PRODUCT DISCLOSURE STATEMENTS (OR SUPPLEMENTARY PDSs)
- SECTION 1021N OFFENCE OF FAILING TO PROVIDE ADDITIONAL INFORMATION REQUESTED UNDER SECTION 1017A
- SECTION 1021NA OFFENCES RELATING TO OBLIGATION TO MAKE PRODUCT DASHBOARD PUBLICLY AVAILABLE
- SECTION 1021NB OFFENCES RELATING TO OBLIGATION TO MAKE SUPERANNUATION INVESTMENT INFORMATION PUBLICLY AVAILABLE
- SECTION 1021NC OFFENCES RELATING TO OBLIGATIONS UNDER SECTIONS 1017BC, 1017BD AND 1017BE
- SECTION 1021O OFFENCES OF ISSUER OR SELLER OF FINANCIAL PRODUCT FAILING TO PAY MONEY INTO AN ACCOUNT AS REQUIRED
- SECTION 1021P OFFENCES RELATING TO OFFERS TO WHICH DIVISION 5A APPLIES
- Subdivision B - Civil liability
- SECTION 1022A MEANING OF DEFECTIVE AND DISCLOSURE DOCUMENT OR STATEMENT
- SECTION 1022B CIVIL ACTION FOR LOSS OR DAMAGE
- SECTION 1022C ADDITIONAL POWERS OF COURT TO MAKE ORDERS
- PART 7.9A - PRODUCT INTERVENTION ORDERS
- SECTION 1023A OBJECT
- SECTION 1023B MEANING OF FINANCIAL PRODUCT - PART 7.9A
- SECTION 1023C APPLICATION OF PRODUCT INTERVENTION ORDERS
- SECTION 1023D ASIC MAY MAKE PRODUCT INTERVENTION ORDERS
- SECTION 1023E SIGNIFICANT DETRIMENT TO RETAIL CLIENTS
- SECTION 1023F ASIC TO CONSULT BEFORE MAKING PRODUCT INTERVENTION ORDERS
- SECTION 1023G COMMENCEMENT AND DURATION OF PRODUCT INTERVENTION ORDERS
- SECTION 1023H EXTENSION OF PRODUCT INTERVENTION ORDERS
- SECTION 1023J AMENDMENT OF PRODUCT INTERVENTION ORDERS
- SECTION 1023K REVOCATION OF PRODUCT INTERVENTION ORDERS
- SECTION 1023L ASIC TO ISSUE PUBLIC NOTICE OF PRODUCT INTERVENTION ORDERS
- SECTION 1023M REMAKING PRODUCT INTERVENTION ORDERS
- SECTION 1023N PRODUCT INTERVENTION ORDERS MAY REQUIRE NOTIFICATION
- SECTION 1023P ENFORCEMENT OF PRODUCT INTERVENTION ORDERS
- SECTION 1023Q CIVIL LIABILITY
- SECTION 1023R ADDITIONAL POWERS OF COURT TO MAKE ORDERS
- SECTION 1023S AVOIDANCE SCHEMES - PROHIBITION
- SECTION 1023T AVOIDANCE SCHEMES - PRESUMPTION OF AVOIDANCE FOR CERTAIN SCHEMES IN CIVIL CASES
- SECTION 1023U AVOIDANCE SCHEMES - EXEMPTION BY ASIC
- PART 7.10 - MARKET MISCONDUCT AND OTHER PROHIBITED CONDUCT RELATING TO FINANCIAL PRODUCTS AND FINANCIAL SERVICES
- Division 1 - Preliminary
- SECTION 1040A CONTENT OF PART
- SECTION 1040B TREAT CERTAIN INSTRUMENTS AS IF THEY WERE FINANCIAL PRODUCTS AND DIVISION 3 FINANCIAL PRODUCTS
- Division 2 - The prohibited conduct (other than insider trading prohibitions)
- SECTION 1041A MARKET MANIPULATION
- SECTION 1041B FALSE TRADING AND MARKET RIGGING - CREATING A FALSE OR MISLEADING APPEARANCE OF ACTIVE TRADING ETC.
- SECTION 1041C FALSE TRADING AND MARKET RIGGING - ARTIFICIALLY MAINTAINING ETC. TRADING PRICE
- SECTION 1041D DISSEMINATION OF INFORMATION ABOUT ILLEGAL TRANSACTIONS
- SECTION 1041E FALSE OR MISLEADING STATEMENTS
- SECTION 1041F INDUCING PERSONS TO DEAL
- SECTION 1041G DISHONEST CONDUCT
- SECTION 1041H MISLEADING OR DECEPTIVE CONDUCT (CIVIL LIABILITY ONLY)
- SECTION 1041I CIVIL ACTION FOR LOSS OR DAMAGE FOR CONTRAVENTION OF SECTIONS 1041E TO 1041H
- SECTION 1041J SECTIONS OF THIS DIVISION HAVE EFFECT INDEPENDENTLY OF EACH OTHER
- SECTION 1041K DIVISION APPLIES TO CERTAIN CONDUCT TO THE EXCLUSION OF STATE FAIR TRADING ACTS PROVISIONS
- Division 2A - Proportionate liability for misleading and deceptive conduct
- SECTION 1041L APPLICATION OF DIVISION
- SECTION 1041M CERTAIN CONCURRENT WRONGDOERS NOT TO HAVE BENEFIT OF APPORTIONMENT
- SECTION 1041N PROPORTIONATE LIABILITY FOR APPORTIONABLE CLAIMS
- SECTION 1041O DEFENDANT TO NOTIFY PLAINTIFF OF CONCURRENT WRONGDOER OF WHOM DEFENDANT AWARE
- SECTION 1041P CONTRIBUTION NOT RECOVERABLE FROM DEFENDANT
- SECTION 1041Q SUBSEQUENT ACTIONS
- SECTION 1041R JOINING NON-PARTY CONCURRENT WRONGDOER IN THE ACTION
- SECTION 1041S APPLICATION OF DIVISION
- Division 3 - The insider trading prohibitions
- Subdivision A - Preliminary
- SECTION 1042A MEANING OF SOME TERMS RELATING TO THE INSIDER TRADING PROHIBITIONS
- SECTION 1042B APPLICATION OF DIVISION
- SECTION 1042C MEANING OF GENERALLY AVAILABLE
- SECTION 1042D MEANING OF MATERIAL EFFECT
- SECTION 1042E MEANING OF ABLE TO BE TRADED
- SECTION 1042F MEANING OF PROCURE
- SECTION 1042G INFORMATION IN POSSESSION OF OFFICER OF BODY CORPORATE
- SECTION 1042H INFORMATION IN POSSESSION OF PARTNER OR EMPLOYEE OF PARTNERSHIP
- Subdivision B - The prohibited conduct
- SECTION 1043A PROHIBITED CONDUCT BY PERSON IN POSSESSION OF INSIDE INFORMATION
- SECTION 1043B EXCEPTION FOR WITHDRAWAL FROM REGISTERED SCHEME OR NOTIFIED FOREIGN PASSPORT FUND
- SECTION 1043C EXCEPTION FOR UNDERWRITERS
- SECTION 1043D EXCEPTION FOR ACQUISITION PURSUANT TO LEGAL REQUIREMENT
- SECTION 1043E EXCEPTION FOR INFORMATION COMMUNICATED PURSUANT TO A LEGAL REQUIREMENT
- SECTION 1043F CHINESE WALL ARRANGEMENTS BY BODIES CORPORATE
- SECTION 1043G CHINESE WALL ARRANGEMENTS BY PARTNERSHIPS ETC.
- SECTION 1043H EXCEPTION FOR KNOWLEDGE OF PERSON'S OWN INTENTIONS OR ACTIVITIES
- SECTION 1043I EXCEPTION FOR BODIES CORPORATE
- SECTION 1043J EXCEPTION FOR OFFICERS OR AGENTS OF BODY CORPORATE
- SECTION 1043K TRANSACTIONS BY HOLDER OF FINANCIAL SERVICES LICENCE OR A REPRESENTATIVE OF THE HOLDER OF SUCH A LICENCE
- SECTION 1043L A SPECIFIC SITUATION IN WHICH A COMPENSATION ORDER UNDER SECTION 1317HA MAY BE MADE
- SECTION 1043M DEFENCES TO PROSECUTION FOR AN OFFENCE
- SECTION 1043N RELIEF FROM CIVIL LIABILITY
- SECTION 1043O POWERS OF COURT
- Division 4 - Defences, relief and limits on liability
- SECTION 1044A GENERAL DEFENCE OR RELIEF FOR PUBLISHERS
- SECTION 1044B LIMIT ON LIABILITY FOR MISLEADING OR DECEPTIVE CONDUCT
- Division 5 - Miscellaneous
- SECTION 1045A EXEMPTIONS AND MODIFICATIONS BY REGULATIONS
- PART 7.10A - EXTERNAL DISPUTE RESOLUTION
- Division 1 - Authorisation of an external dispute resolution scheme
- Subdivision A - Minister may authorise an external dispute resolution scheme
- SECTION 1050 MINISTER MAY AUTHORISE AN EXTERNAL DISPUTE RESOLUTION SCHEME
- Subdivision B - Mandatory requirements and general considerations
- SECTION 1051 MANDATORY REQUIREMENTS
- SECTION 1051A GENERAL CONSIDERATIONS
- Division 2 - Regulating the AFCA scheme
- SECTION 1052 OBLIGATION TO COMPLY WITH MANDATORY REQUIREMENTS
- SECTION 1052A ASIC MAY ISSUE REGULATORY REQUIREMENTS
- SECTION 1052B DIRECTIONS TO INCREASE LIMITS ON THE VALUE OF CLAIMS
- SECTION 1052BA DIRECTIONS TO ENSURE SUFFICIENT FINANCING
- SECTION 1052C GENERAL DIRECTIONS TO AFCA
- SECTION 1052D APPROVAL OF MATERIAL CHANGES TO THE AFCA SCHEME
- SECTION 1052E REFERRING MATTERS TO APPROPRIATE AUTHORITIES
- Division 3 - Additional provisions relating to superannuation complaints
- Subdivision A - Preliminary
- SECTION 1053 MEANING OF SUPERANNUATION COMPLAINT
- SECTION 1053A PERSONS TAKEN TO BE MEMBERS OF REGULATED SUPERANNUATION FUNDS, AFCA REGULATED SUPERANNUATION SCHEMES AND APPROVED DEPOSIT FUNDS AND HOLDERS OF RSAs
- SECTION 1053B THIS DIVISION DOES NOT RESTRICT ABILITY TO MAKE OTHER COMPLAINTS
- Subdivision B - Powers of AFCA
- SECTION 1054 POWER TO JOIN OTHER PARTIES TO SUPERANNUATION COMPLAINT
- SECTION 1054A POWER TO OBTAIN INFORMATION AND DOCUMENTS
- SECTION 1054B POWER TO REQUIRE ATTENDANCE AT CONCILIATION CONFERENCES
- SECTION 1054BA POWER TO GIVE DIRECTIONS
- SECTION 1054C REFERENCE OF QUESTIONS OF LAW TO FEDERAL COURT
- Subdivision C - Determinations of superannuation complaints
- SECTION 1055 MAKING A DETERMINATION
- SECTION 1055A AFCA TO GIVE REASONS
- SECTION 1055B OPERATION OF DETERMINATION OF SUPERANNUATION COMPLAINT
- SECTION 1055C EVIDENCE OF DETERMINATION OF SUPERANNUATION COMPLAINT
- SECTION 1055D COMPLIANCE WITH DETERMINATIONS UNDER THE AFCA SCHEME
- Subdivision D - Superannuation complaints relating to payment of death benefits
- SECTION 1056 WHEN SUPERANNUATION COMPLAINT CANNOT BE MADE IN RELATION TO DECISION ABOUT THE PAYMENT OF DEATH BENEFIT
- SECTION 1056A JOINING PERSONS TO COMPLAINTS RELATING TO DEATH BENEFIT DECISIONS
- Subdivision E - Appeals to the Federal Court
- SECTION 1057 APPEALS TO THE FEDERAL COURT FROM DETERMINATION OF SUPERANNUATION COMPLAINT
- SECTION 1057A OPERATION AND IMPLEMENTATION OF DETERMINATION THAT IS SUBJECT TO APPEAL
- SECTION 1057B SENDING OF DOCUMENTS TO, AND DISCLOSURE OF DOCUMENTS BY, THE FEDERAL COURT
- Subdivision F - Secrecy
- SECTION 1058 SECRECY
- Division 4 - Information sharing and reporting
- SECTION 1058A AUTHORISED USE OR DISCLOSURE OF INFORMATION
- SECTION 1058B AFCA REPORTING TO CSLR OPERATOR
- PART 7.10B - FINANCIAL SERVICES COMPENSATION SCHEME OF LAST RESORT
- Division 1 - Establishment of the scheme
- SECTION 1059 ESTABLISHMENT OF THE SCHEME
- SECTION 1060 MINISTER MAY AUTHORISE AN OPERATOR OF THE SCHEME
- SECTION 1061 MINISTER MAY APPOINT INDEPENDENT MEMBER
- SECTION 1062 MANDATORY REQUIREMENTS
- Division 2 - Compensation payments under the scheme
- SECTION 1063 COMPENSATION PAYMENTS
- SECTION 1064 ELIGIBILITY FOR COMPENSATION PAYMENTS
- SECTION 1065 MEANING OF RELEVANT AFCA DETERMINATION
- SECTION 1066 APPLICATIONS FOR COMPENSATION PAYMENTS
- SECTION 1067 AMOUNT OF COMPENSATION PAYMENTS
- SECTION 1068 OFFER OF COMPENSATION PAYMENTS
- SECTION 1069 ACCEPTANCE OF OFFER OF COMPENSATION PAYMENTS
- SECTION 1069A CSLR OPERATOR ' S RIGHT OF SUBROGATION IF COMPENSATION IS PAID
- Division 3 - Reimbursement of unpaid AFCA fees
- SECTION 1069B PAYMENT OF AFCA ' S UNPAID FEES
- SECTION 1069C PAYMENT OF AFCA ' S ACCUMULATED UNPAID FEES
- Division 4 - Powers, reporting and information sharing
- Subdivision A - Powers of CSLR operator
- SECTION 1069D POWER TO OBTAIN INFORMATION AND DOCUMENTS
- Subdivision B - Information sharing and reporting
- SECTION 1069E AUTHORISED USE OR DISCLOSURE OF INFORMATION
- SECTION 1069F REPORTING BY CSLR OPERATOR
- SECTION 1069G PUBLISHING REPORTS
- Subdivision C - Powers of the Minister
- SECTION 1069H MINISTERIAL DETERMINATION
- Division 5 - Regulating the CSLR operator
- SECTION 1069J OBLIGATION TO COMPLY WITH MANDATORY REQUIREMENTS
- SECTION 1069K ASIC MAY ISSUE REGULATORY REQUIREMENTS
- SECTION 1069L GENERAL DIRECTIONS TO CSLR OPERATOR
- Division 6 - Financial matters
- SECTION 1069M COSTS FOR FIRST LEVY PERIOD
- SECTION 1069N PAYMENT TO THE CSLR OPERATOR OF AMOUNT FOR THE FIRST LEVY PERIOD FOR THE SCHEME
- SECTION 1069P PAYMENT TO THE CSLR OPERATOR OF AMOUNTS EQUAL TO LEVY
- SECTION 1069Q APPLICATION OF MONEY BY CSLR OPERATOR
- SECTION 1069R INVESTMENT BY CSLR OPERATOR
- SECTION 1069S RECOVERY OF OVERPAYMENTS
- PART 7.11 - TITLE AND TRANSFER
- Division 1 - Title to certain securities
- SECTION 1070A NATURE OF SHARES AND CERTAIN OTHER INTERESTS IN A COMPANY OR REGISTERED SCHEME
- SECTION 1070B NUMBERING OF SHARES
- SECTION 1070C MATTERS TO BE SPECIFIED IN SHARE CERTIFICATE
- SECTION 1070D LOSS OR DESTRUCTION OF TITLE DOCUMENTS FOR CERTAIN SECURITIES
- Division 2 - Transfer of certain securities
- Subdivision A - General provisions
- SECTION 1071A APPLICATION OF THE SUBDIVISION TO CERTAIN SECURITIES
- SECTION 1071B INSTRUMENT OF TRANSFER
- SECTION 1071C OCCUPATION NEED NOT APPEAR IN TRANSFER DOCUMENT, REGISTER ETC.
- SECTION 1071D REGISTRATION OF TRANSFER AT REQUEST OF TRANSFEROR
- SECTION 1071E NOTICE OF REFUSAL TO REGISTER TRANSFER
- SECTION 1071F REMEDY FOR REFUSAL TO REGISTER TRANSFER OR TRANSMISSION
- SECTION 1071G CERTIFICATION OF TRANSFERS
- SECTION 1071H DUTIES OF COMPANY WITH RESPECT TO ISSUE OF CERTIFICATES
- Subdivision B - Special provisions for shares
- SECTION 1072A TRANSMISSION OF SHARES ON DEATH (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 1072B TRANSMISSION OF SHARES ON BANKRUPTCY (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 1072C RIGHTS OF TRUSTEE OF ESTATE OF BANKRUPT SHAREHOLDER
- SECTION 1072D TRANSMISSION OF SHARES ON MENTAL INCAPACITY (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 1072E TRUSTEE ETC. MAY BE REGISTERED AS OWNER OF SHARES
- SECTION 1072F REGISTRATION OF TRANSFERS (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 1072G ADDITIONAL GENERAL DISCRETION FOR DIRECTORS OF PROPRIETARY COMPANIES TO REFUSE TO REGISTER TRANSFERS (REPLACEABLE RULE - SEE SECTION 135)
- SECTION 1072H NOTICES RELATING TO NON-BENEFICIAL AND BENEFICIAL OWNERSHIP OF SHARES
- Division 3 - Transfer of certain securities effected otherwise than through a prescribed CS facility
- SECTION 1073A APPLICATION OF THE DIVISION TO CERTAIN SECURITIES
- SECTION 1073B MEANING OF TRANSFER
- SECTION 1073C APPLICATION OF DIVISION TO CERTAIN BODIES AS IF THEY WERE COMPANIES
- SECTION 1073D REGULATIONS MAY GOVERN TRANSFER OF CERTAIN SECURITIES
- SECTION 1073E ASIC MAY EXTEND REGULATIONS TO SECURITIES NOT OTHERWISE COVERED
- SECTION 1073F OPERATION OF THIS DIVISION AND REGULATIONS MADE FOR ITS PURPOSES
- Division 4 - Transfer of financial products effected through prescribed CS facility
- SECTION 1074A FINANCIAL PRODUCTS TO WHICH THIS DIVISION APPLIES
- SECTION 1074B DEFINITIONS
- SECTION 1074C OPERATING RULES OF PRESCRIBED CS FACILITY MAY DEAL WITH TRANSFER OF TITLE
- SECTION 1074D VALID AND EFFECTIVE TRANSFER IF OPERATING RULES COMPLIED WITH
- SECTION 1074E REGULATIONS MAY GOVERN TRANSFER OF FINANCIAL PRODUCTS IN ACCORDANCE WITH OPERATING RULES OF PRESCRIBED CS FACILITY
- SECTION 1074F ISSUER PROTECTED FROM CIVIL LIABILITY FOR PERSON'S CONTRAVENTION OF PRESCRIBED CS FACILITY'S CERTIFICATE CANCELLATION RULES
- SECTION 1074G OPERATION OF THIS DIVISION AND REGULATIONS MADE FOR ITS PURPOSES
- Division 5 - Exemptions and modifications
- SECTION 1075A ASIC'S POWER TO EXEMPT AND MODIFY
- PART 7.12 - MISCELLANEOUS
- Division 1 - Qualified privilege
- SECTION 1100A QUALIFIED PRIVILEGE FOR INFORMATION GIVEN TO ASIC
- SECTION 1100B QUALIFIED PRIVILEGE FOR THE CONDUCT OF MARKET LICENSEES AND CS FACILITY LICENSEES
- SECTION 1100C QUALIFIED PRIVILEGE FOR INFORMATION GIVEN TO MARKET LICENSEES AND CS FACILITY LICENSEES ETC.
- SECTION 1100D EXTENSION OF PROTECTIONS GIVEN BY THIS DIVISION
- Division 1A - Employee share schemes
- Subdivision A - Introduction
- SECTION 1100E SIMPLIFIED OUTLINE OF THIS DIVISION
- SECTION 1100F GEOGRAPHICAL COVERAGE OF DIVISION
- SECTION 1100G OFFERS AND INVITATIONS BOTH COVERED
- SECTION 1100H PERSON OFFERING INTERESTS
- SECTION 1100J OFFERS MAY ALSO BE MADE IN RELIANCE ON SECTION 708 OR 1012D
- SECTION 1100K FINANCIAL MARKETS RECOGNISED UNDER THIS DIVISION
- Subdivision B - Key concepts
- SECTION 1100L MEANING OF EMPLOYEE SHARE SCHEME
- SECTION 1100M MEANING OF ESS INTEREST
- Subdivision C - Offers that are eligible to be made under this Division
- SECTION 1100N OFFERS THAT ARE ELIGIBLE TO BE MADE UNDER THIS DIVISION
- SECTION 1100P OFFERS FOR NO MONETARY CONSIDERATION
- SECTION 1100Q OFFERS FOR MONETARY CONSIDERATION
- SECTION 1100R OFFERS THAT WOULD OTHERWISE NOT NEED DISCLOSURE
- SECTION 1100S REQUIREMENTS FOR TRUSTS
- SECTION 1100T MEANING OF ESS CONTRIBUTION PLAN
- SECTION 1100U REQUIREMENTS FOR CONNECTED LOANS
- SECTION 1100V ISSUE CAP FOR OFFERS INVOLVING CONSIDERATION
- SECTION 1100W DISCLOSURE REQUIREMENTS FOR OFFERS INVOLVING CONSIDERATION
- SECTION 1100X ADDITIONAL DISCLOSURE REQUIREMENTS FOR OFFERS BY UNLISTED BODIES CORPORATE
- SECTION 1100Y TERMS OF THE OFFER - DISCLOSURE ETC.
- SECTION 1100Z TERMS OF THE OFFER - MISLEADING STATEMENTS AND OMISSIONS
- SECTION 1100ZA MONETARY CAP FOR OFFERS BY UNLISTED BODIES CORPORATE
- SECTION 1100ZB AMOUNTS THAT ARE EXCLUDED FROM THE MONETARY CAP
- Subdivision D - Making offers under this Division
- SECTION 1100ZC MAKING OFFERS UNDER THIS DIVISION
- SECTION 1100ZD REGULATORY RELIEF FOR CERTAIN SUBSEQUENT SALE OFFERS OF ESS INTERESTS
- SECTION 1100ZE DEALING WITH MONEY RECEIVED BEFORE ESS INTEREST IS ISSUED
- SECTION 1100ZF DEALING WITH MONEY RECEIVED BEFORE LIQUIDITY PERIOD
- SECTION 1100ZG REVOCATION OF REGULATORY RELIEF IN CERTAIN CIRCUMSTANCES
- Subdivision E - Prohibitions and defences
- SECTION 1100ZH MISSTATEMENT IN, OR OMISSION FROM, DISCLOSURE INFORMATION
- SECTION 1100ZI MISSTATEMENT IN, OR OMISSION FROM, FINANCIAL INFORMATION FOR OPTIONS AND INCENTIVE RIGHTS
- SECTION 1100ZJ OBLIGATION TO INFORM PERSON ABOUT DEFICIENCIES IN DISCLOSURE DOCUMENTS
- Subdivision F - ASIC powers
- SECTION 1100ZK ASIC ' S POWER TO MAKE EXEMPTIONS AND DECLARE MODIFICATIONS ETC. IN RELATION TO THIS DIVISION
- SECTION 1100ZL ASIC STOP ORDERS
- SECTION 1100ZM ASIC ' S POWER TO REQUEST DOCUMENTS
- Division 2 - Codes of conduct
- Subdivision A - Approved codes of conduct
- SECTION 1101A APPROVED CODES OF CONDUCT
- SECTION 1101AA VARIATIONS TO APPROVED CODES OF CONDUCT
- SECTION 1101AB REVIEW OF APPROVED CODES OF CONDUCT
- SECTION 1101AC OBLIGATION TO COMPLY WITH ENFORCEABLE CODE PROVISIONS
- SECTION 1101AD REGULATIONS
- Subdivision B - Mandatory codes of conduct
- SECTION 1101AE MANDATORY CODES OF CONDUCT
- SECTION 1101AF OBLIGATION TO COMPLY WITH MANDATORY CODE OF CONDUCT
- Division 3 - Other matters
- SECTION 1101B POWER OF COURT TO MAKE CERTAIN ORDERS
- SECTION 1101C PRESERVATION AND DISPOSAL OF RECORDS ETC.
- SECTION 1101D DESTRUCTION OF RECORDS BY ASIC
- SECTION 1101E CONCEALING ETC. OF BOOKS
- SECTION 1101F FALSIFICATION OF RECORDS
- SECTION 1101G PRECAUTIONS AGAINST FALSIFICATION OF RECORDS
- SECTION 1101GA HOW PART 9.3 APPLIES TO BOOKS REQUIRED TO BE KEPT BY THIS CHAPTER ETC.
- SECTION 1101H CONTRAVENTION OF CHAPTER DOES NOT GENERALLY AFFECT VALIDITY OF TRANSACTIONS ETC.
- SECTION 1101I GAMING AND WAGERING LAWS DO NOT AFFECT VALIDITY OF CONTRACTS RELATING TO FINANCIAL PRODUCTS
- SECTION 1101J DELEGATION
- CHAPTER 8 - MUTUAL RECOGNITION OF SECURITIES OFFERS
- PART 8.1 - PRELIMINARY
- SECTION 1200A MEANING OF SOME TERMS RELATING TO MUTUAL RECOGNITION OF SECURITIES OFFERS
- PART 8.2 - FOREIGN OFFERS THAT ARE RECOGNISED IN THIS JURISDICTION
- Division 1 - Recognised offers
- SECTION 1200B MEANING OF RECOGNISED OFFER
- SECTION 1200C CONDITIONS THAT MUST BE MET TO BE A RECOGNISED OFFER
- SECTION 1200D REQUIRED DOCUMENTS AND INFORMATION
- SECTION 1200E WARNING STATEMENT
- Division 2 - Effect of a recognised offer
- SECTION 1200F EFFECT OF A RECOGNISED OFFER
- Division 3 - Ongoing conditions for recognised offers
- SECTION 1200G OFFERING CONDITIONS
- SECTION 1200H ADDRESS FOR SERVICE CONDITION
- SECTION 1200J DISPUTE RESOLUTION CONDITION
- Division 4 - Modification of provisions of this Act
- SECTION 1200K ADDITIONAL OPERATION OF SECTION 675 (CONTINUOUS DISCLOSURE)
- SECTION 1200L PRE-OFFER ADVERTISING
- SECTION 1200M MODIFICATION BY THE REGULATIONS
- Division 5 - ASIC ' s powers in relation to recognised offers
- SECTION 1200N STOP ORDERS
- SECTION 1200P BAN ON MAKING SUBSEQUENT RECOGNISED OFFERS
- SECTION 1200Q OFFENCE OF BREACHING AN ONGOING CONDITION
- Division 6 - Miscellaneous
- SECTION 1200R SERVICE OF DOCUMENTS
- PART 8.3 - OFFERS MADE UNDER FOREIGN RECOGNITION SCHEMES
- SECTION 1200S NOTICE TO ASIC
- SECTION 1200T EXTENSION OF THIS ACT TO RECOGNISED JURISDICTIONS
- SECTION 1200U ASIC STOP ORDER FOR ADVERTISING IN A RECOGNISED JURISDICTION
- CHAPTER 8A - ASIA REGION FUNDS PASSPORT
- PART 8A.1 - PRELIMINARY
- SECTION 1210 MEANING OF PARTICIPATING ECONOMY
- SECTION 1210A LIST OF PARTICIPATING ECONOMIES
- SECTION 1210B MINISTER MAY DETERMINE THAT FUNDS NOT TO OFFER INTERESTS IN THIS JURISDICTION
- PART 8A.2 - PASSPORT RULES
- SECTION 1211 MINISTER MAY MAKE PASSPORT RULES FOR THIS JURISDICTION
- SECTION 1211A MEANING OF PASSPORT RULES
- SECTION 1211B COMPLIANCE WITH THE PASSPORT RULES
- PART 8A.3 - AUSTRALIAN PASSPORT FUNDS
- SECTION 1212 APPLICATION FOR REGISTRATION
- SECTION 1212A REGISTRATION OF AUSTRALIAN PASSPORT FUNDS
- SECTION 1212B ALL DOCUMENTS ETC. LODGED WITH ASIC TO BEAR APFRN
- SECTION 1212C NOTIFYING ASIC IF OFFERING INTERESTS IN ANOTHER PARTICIPATING ECONOMY IN ANOTHER NAME
- PART 8A.4 - NOTIFIED FOREIGN PASSPORT FUNDS
- Division 1 - Becoming a notified foreign passport fund
- SECTION 1213 NOTICE OF INTENTION TO OFFER INTERESTS IN A FOREIGN PASSPORT FUND
- SECTION 1213A ASIC MAY NOTIFY OPERATOR THAT NOTICE OF INTENTION LACKS INFORMATION REQUIRED
- SECTION 1213B REJECTING A NOTICE OF INTENTION
- SECTION 1213C NOTIFIED FOREIGN PASSPORT FUNDS - AUTHORITY TO OFFER INTERESTS IN THIS JURISDICTION
- SECTION 1213D MEANING OF CONSIDERATION PERIOD
- Division 2 - Treatment of notified foreign passport funds
- SECTION 1213E NOTIFIED FOREIGN PASSPORT FUNDS TO BE TREATED AS MANAGED INVESTMENT SCHEMES
- SECTION 1213F OPERATORS AND NOTIFIED FOREIGN PASSPORT FUNDS NOT TO BE TREATED AS COMPANIES ETC.
- SECTION 1213G OFFENCES RELATING TO THE OPERATION OF NOTIFIED FOREIGN PASSPORT FUNDS
- Division 3 - Conduct of notified foreign passport funds in this jurisdiction
- SECTION 1213H NOTIFIED FOREIGN PASSPORT FUNDS MUST NOT ISSUE DEBENTURES IN THIS JURISDICTION
- Division 4 - Providing key information in relation to notified foreign passport funds
- Subdivision A - Obligations to provide information to members in this jurisdiction
- SECTION 1213J CONSTITUTION - RIGHT TO OBTAIN A COPY
- SECTION 1213K REGISTER OF MEMBERS - RIGHT TO OBTAIN A COPY
- SECTION 1213L USE OF INFORMATION ON REGISTER OF MEMBERS
- SECTION 1213M REPORTS REQUIRED UNDER THE LAW OF THE HOME ECONOMY
- SECTION 1213N ORDER FOR COPIES OF BOOKS OF A NOTIFIED FOREIGN PASSPORT FUND
- Subdivision B - Obligations to provide information to ASIC
- SECTION 1213P REGISTER OF MEMBERS - ASIC MAY REQUIRE LODGMENT
- SECTION 1213Q DESTRUCTION OF RECORDS BY ASIC
- PART 8A.5 - REGISTER OF PASSPORT FUNDS
- SECTION 1214 REGISTER OF PASSPORT FUNDS
- PART 8A.6 - STOP ORDERS
- SECTION 1215 STOP ORDER - AUSTRALIAN PASSPORT FUNDS
- SECTION 1215A STOP ORDER - NOTIFIED FOREIGN PASSPORT FUND
- SECTION 1215B INTERIM STOP ORDERS
- SECTION 1215C REVOCATION OF STOP ORDER MADE UNDER SECTION 1215 OR 1215A
- SECTION 1215D COMPLIANCE WITH STOP ORDERS
- PART 8A.7 - DEREGISTRATION AND DENOTIFICATION
- Division 1 - Deregistration of Australian passport funds
- Subdivision A - Voluntary deregistration
- SECTION 1216 APPLICATION TO DEREGISTER
- SECTION 1216A ASIC TO DEREGISTER
- SECTION 1216B WHEN IS THERE AN EXPECTATION THAT A FUND WOULD BECOME AN AUSTRALIAN PASSPORT FUND?
- Subdivision B - Deregistration initiated by ASIC
- SECTION 1216C DEREGISTRATION - INITIATED BY ASIC
- Subdivision C - Process for deregistration
- SECTION 1216D PROCESS FOR DEREGISTRATION
- Division 2 - Denotification of notified foreign passport funds
- Subdivision A - Voluntary denotification
- SECTION 1216E APPLICATION TO BE REMOVED AS A NOTIFIED FOREIGN PASSPORT FUND
- SECTION 1216F ASIC TO REMOVE FUND AS A NOTIFIED FOREIGN PASSPORT FUND
- SECTION 1216G WHEN IS THERE AN EXPECTATION THAT A FUND WOULD BECOME A NOTIFIED FOREIGN PASSPORT FUND?
- Subdivision B - Notified foreign passport fund deregistered in the fund ' s home economy
- SECTION 1216H ASIC TO REMOVE A FUND AS A NOTIFIED FOREIGN PASSPORT FUND
- Subdivision C - Process for removal as a notified foreign passport fund
- SECTION 1216J PROCESS FOR REMOVAL AS A NOTIFIED FOREIGN PASSPORT FUND
- Division 3 - Continued application of the Corporations legislation
- SECTION 1216K ASIC ' S POWER TO CONTINUE THE APPLICATION OF THE CORPORATIONS LEGISLATION
- SECTION 1216L REGULATIONS MAY CONTINUE THE APPLICATION OF THE CORPORATIONS LEGISLATION
- PART 8A.8 - EXEMPTIONS AND MODIFICATIONS
- SECTION 1217 ASIC ' S POWER TO MAKE EXEMPTIONS AND DECLARE MODIFICATIONS ETC. IN RELATION TO THIS CHAPTER
- SECTION 1217A ASIC ' S POWER TO MAKE EXEMPTIONS AND DECLARE MODIFICATIONS ETC. IN RELATION TO THE PASSPORT RULES
- SECTION 1217B EXEMPTIONS AND MODIFICATION BY REGULATIONS
- CHAPTER 8B - CORPORATE COLLECTIVE INVESTMENT VEHICLES
- PART 8B.1 - PRELIMINARY
- SECTION 1221 OBJECTS OF THIS CHAPTER
- PART 8B.2 - REGISTRATION OF CCIVs
- Division 1 - Registering a CCIV
- Subdivision A - Requirements for registration as a CCIV
- SECTION 1222 REQUIREMENTS FOR REGISTRATION AS A CCIV
- Subdivision B - How a CCIV is registered
- SECTION 1222A APPLYING FOR REGISTRATION
- SECTION 1222B NO OTHER WAY TO REGISTER A CCIV
- SECTION 1222C REGISTRATION OF A CCIV
- SECTION 1222D CORPORATE DIRECTOR AND MEMBERS OF A CCIV
- Subdivision C - Names of CCIVs
- SECTION 1222E SPECIAL REQUIREMENTS FOR NAMING OF CCIVs
- SECTION 1222F SPECIAL REQUIREMENTS FOR ACCEPTABLE ABBREVIATIONS OF CCIV NAMES
- SECTION 1222G CARRYING ON BUSINESS USING ' CCIV ' IN NAME
- SECTION 1222H CHANGE OF NAME NOT ALLOWED WHILE SUB-FUND IN LIQUIDATION
- Subdivision D - Retail CCIVs and wholesale CCIVs
- SECTION 1222J MEANING OF RETAIL CCIV AND WHOLESALE CCIV
- SECTION 1222K RETAIL CCIV TEST
- SECTION 1222L NOTIFYING ASIC OF STATUS AS A RETAIL CCIV OR WHOLESALE CCIV
- SECTION 1222M TABLE OF PROVISIONS THAT APPLY ONLY TO RETAIL CCIVs
- Subdivision E - Listing not permitted for certain CCIVs and sub-funds
- SECTION 1222N CERTAIN CCIVs AND SUB-FUNDS MUST NOT BE LISTED
- Subdivision F - Changing company type not permitted
- SECTION 1222P PART 2B.7 DOES NOT APPLY TO A CCIV
- Division 2 - Registering a sub-fund of a CCIV
- Subdivision A - What is a sub-fund of a CCIV
- SECTION 1222Q WHAT IS A SUB-FUND OF A CCIV
- Subdivision B - How a sub-fund of a CCIV is registered
- SECTION 1222R INITIAL SUB-FUNDS TO BE REGISTERED WHEN THE CCIV IS REGISTERED
- SECTION 1222S REGISTRATION OF A SUB-FUND
- SECTION 1222T SUB-FUND IS ESTABLISHED ON REGISTRATION
- SECTION 1222U APPLICATION TO REGISTER FURTHER SUB-FUNDS
- Subdivision C - Names of sub-funds
- SECTION 1222V A SUB-FUND ' S NAME
- SECTION 1222W USING SUB-FUND NAME AND ARFN ON DOCUMENTS
- SECTION 1222X ACCEPTABLE ABBREVIATIONS OF SUB-FUND NAMES
- SECTION 1222Y SUB-FUND CHANGING ITS NAME
- SECTION 1222Z ASIC ' S POWER TO DIRECT CCIV TO CHANGE A SUB-FUND ' S NAME
- SECTION 1222ZA EFFECT OF NAME CHANGE
- Division 3 - Registers
- SECTION 1222ZB REGISTERS RELATING TO CCIVs
- PART 8B.3 - CORPORATE GOVERNANCE OF CCIVs
- Division 1 - Governance rules
- Subdivision A - How a CCIV exercises company powers
- SECTION 1223 EXECUTION OF DOCUMENTS (INCLUDING DEEDS) BY THE CCIV ITSELF
- Subdivision B - Constitution
- SECTION 1223A REPLACEABLE RULES DO NOT APPLY TO A CCIV
- SECTION 1223B REQUIREMENT FOR A CCIV TO HAVE A CONSTITUTION
- SECTION 1223C RETAIL CCIV - ASIC MAY DIRECT CCIV TO MODIFY ITS CONSTITUTION
- SECTION 1223D ADOPTION, MODIFICATION AND REPEAL OF CONSTITUTION
- SECTION 1223E EFFECT OF CONSTITUTION
- Subdivision C - Minimum content requirements for the constitution of a CCIV
- SECTION 1223F WHOLESALE CCIV - BASIC CONTENT REQUIREMENT
- SECTION 1223G RETAIL CCIV - BASIC CONTENT REQUIREMENTS
- SECTION 1223H RETAIL CCIV - ADDITIONAL CONTENT REQUIREMENT FOR REDEMPTION OF SHARES
- Division 2 - Officers and employees of the CCIV
- Subdivision A - Officers and employees generally
- SECTION 1224 A CCIV HAS A SINGLE CORPORATE DIRECTOR
- SECTION 1224A A CCIV HAS NO SECRETARY AND NO EMPLOYEES
- SECTION 1224B MEANING OF OFFICER OF A CCIV
- SECTION 1224C GENERAL DUTIES OWED BY OFFICERS
- SECTION 1224D DUTIES OWED BY DIRECTOR
- SECTION 1224E CERTAIN PROVISIONS IN CHAPTER 2D DO NOT APPLY TO CCIVs
- Subdivision B - The corporate director of a CCIV
- SECTION 1224F WHO CAN BE THE DIRECTOR OF A CCIV
- SECTION 1224G RETAIL CCIV - ADDITIONAL RULES ABOUT WHO CAN BE THE DIRECTOR
- SECTION 1224H EFFECTIVENESS OF ACTS BY CORPORATE DIRECTOR
- SECTION 1224J CORPORATE DIRECTOR MUST OPERATE THE CCIV
- SECTION 1224K CORPORATE DIRECTOR NOT REQUIRED TO DISCLOSE MATERIAL PERSONAL INTEREST
- SECTION 1224L CORPORATE DIRECTOR MAY APPOINT AN AGENT OR ENGAGE A PERSON
- SECTION 1224M RETAIL CCIV - RESPONSIBILITY OF CORPORATE DIRECTOR FOR CERTAIN ACTS OF AGENTS
- SECTION 1224N RETAIL CCIV - LIMITATION ON RIGHT OF CORPORATE DIRECTOR TO FEES AND INDEMNITIES
- SECTION 1224P RETAIL CCIV - LIMITATION ON RIGHT OF CORPORATE DIRECTOR TO ACQUIRE SHARES IN CCIV
- SECTION 1224Q EXERCISE OF POWERS WHILE SUB-FUND IS IN LIQUIDATION
- Subdivision C - Replacing the corporate director
- SECTION 1224R CHANGES ONLY TAKE EFFECT WHEN ASIC ALTERS RECORD OF REGISTRATION
- SECTION 1224S CCIV DOES NOT HAVE AN ELIGIBLE CORPORATE DIRECTOR
- SECTION 1224T RETIREMENT OF CORPORATE DIRECTOR
- SECTION 1224U REPLACEMENT OF CORPORATE DIRECTOR BY MEMBERS
- SECTION 1224V APPOINTMENT OF TEMPORARY CORPORATE DIRECTOR BY COURT
- SECTION 1224W TEMPORARY CORPORATE DIRECTOR TO INITIATE APPOINTMENT OF PERMANENT CORPORATE DIRECTOR
- SECTION 1224X TEMPORARY CORPORATE DIRECTOR FAILS TO INITIATE APPOINTMENT OF PERMANENT CORPORATE DIRECTOR
- SECTION 1224Y MEMBERS FAIL TO APPOINT PERMANENT CORPORATE DIRECTOR
- SECTION 1224Z FORMER CORPORATE DIRECTOR TO HAND OVER BOOKS AND PROVIDE REASONABLE ASSISTANCE
- SECTION 1224ZA RIGHTS, OBLIGATIONS AND LIABILITIES OF FORMER CORPORATE DIRECTOR
- SECTION 1224ZB EFFECT OF CHANGE OF CORPORATE DIRECTOR ON DOCUMENTS ETC. TO WHICH FORMER CORPORATE DIRECTOR IS PARTY
- Subdivision D - Termination payments
- SECTION 1224ZC MEMBER APPROVAL NOT NEEDED FOR BENEFIT SPECIFIED IN CONSTITUTION
- SECTION 1224ZD MODIFIED MEMBER APPROVAL FOR CCIVs
- SECTION 1224ZE BENEFITS PAID TO CORPORATE DIRECTOR NOT COVERED BY EXEMPTIONS
- Division 3 - Officers, employees and auditors of the corporate director
- Subdivision A - Officers and auditors of the corporate director
- SECTION 1225 RETAIL CCIV - DUTIES OWED BY OFFICERS OF CORPORATE DIRECTOR
- SECTION 1225A RESPONSIBILITY OF SECRETARY OF CORPORATE DIRECTOR FOR CERTAIN CONTRAVENTIONS BY CCIV
- SECTION 1225B RESPONSIBILITY OF SECRETARY OF CORPORATE DIRECTOR FOR CERTAIN CONTRAVENTIONS BY CORPORATE DIRECTOR
- SECTION 1225C EXTENDED OBLIGATION OF DIRECTORS OF CORPORATE DIRECTOR
- SECTION 1225D RIGHT OF ACCESS TO CCIV BOOKS
- SECTION 1225E EXTENDED OPERATION OF SECTIONS 199A AND 199B (ABOUT INDEMNITIES AND INSURANCE)
- Subdivision B - Employees of the corporate director
- SECTION 1225F RETAIL CCIV - DUTIES OWED BY EMPLOYEES OF CORPORATE DIRECTOR
- Division 4 - Compliance plan for retail CCIVs
- Subdivision A - Documenting the compliance plan
- SECTION 1226 REQUIREMENT FOR COMPLIANCE PLAN
- SECTION 1226A CONTENTS OF THE COMPLIANCE PLAN
- SECTION 1226B COMPLIANCE PLAN MAY INCORPORATE PROVISIONS FROM ANOTHER CCIV ' s PLAN
- SECTION 1226C ASIC MAY REQUIRE FURTHER INFORMATION ABOUT COMPLIANCE PLAN
- SECTION 1226D CHANGING THE COMPLIANCE PLAN
- SECTION 1226E ASIC MAY REQUIRE CONSOLIDATION OF COMPLIANCE PLAN TO BE LODGED
- Subdivision B - Auditing the compliance plan
- SECTION 1226F ENGAGING AUDITOR
- SECTION 1226G AUDIT AND AUDIT REPORT
- SECTION 1226H CONTRAVENTIONS BY AUDITOR
- SECTION 1226J REMOVAL AND RESIGNATION OF AUDITORS
- SECTION 1226K ACTION ON CHANGE OF AUDITOR OF COMPLIANCE PLAN
- Division 5 - Member protection
- Subdivision A - Related party transactions by retail CCIVs to be approved at sub-fund level
- SECTION 1227 APPLICATION OF CHAPTER 2E TO RETAIL CCIVs
- SECTION 1227A NEED FOR MEMBER APPROVAL FOR FINANCIAL BENEFIT
- SECTION 1227B EXCEPTIONS NOT AVAILABLE FOR A RETAIL CCIV
- SECTION 1227C REQUIREMENTS FOR EXPLANATORY STATEMENT TO MEMBERS
- SECTION 1227D MODIFIED REFERENCES
- SECTION 1227E RELATED PARTIES OF A CCIV
- Subdivision B - Rights and remedies of members of a CCIV
- SECTION 1227F GROUNDS FOR COURT ORDER
- SECTION 1227G ORDERS THE COURT CAN MAKE
- SECTION 1227H APPLYING FOR AND GRANTING LEAVE
- SECTION 1227J VARYING AND CANCELLING CLASS RIGHTS
- SECTION 1227K CERTAIN ACTIONS TAKEN TO VARY RIGHTS ETC.
- SECTION 1227L COMPANY MUST LODGE DOCUMENTS AND RESOLUTIONS WITH ASIC
- Subdivision C - Civil liability of corporate director to members
- SECTION 1227M CIVIL LIABILITY OF CORPORATE DIRECTOR TO MEMBERS
- Division 6 - Meetings
- Subdivision A - Directors ' meetings
- SECTION 1228 RESOLUTIONS OF CCIVs
- Subdivision B - Meetings of members of CCIVs or sub-funds
- SECTION 1228A MEETINGS OF MEMBERS OF CCIVs
- SECTION 1228B MEETINGS OF MEMBERS OF SUB-FUNDS
- SECTION 1228C AUDITORS OF SCHEME COMPLIANCE PLANS
- SECTION 1228D COPY OF THE REGISTER OF MEMBERS - SUB-FUNDS
- SECTION 1228E MEMBERS ' RESOLUTIONS
- SECTION 1228F VOTING AT MEETINGS OF MEMBERS
- SECTION 1228G CORPORATE DIRECTOR AND ASSOCIATES CANNOT VOTE IF INTERESTED IN RESOLUTION
- SECTION 1228H HOW TO WORK OUT THE VALUE OF A SHARE
- Division 7 - Corporate contraventions
- Subdivision A - General provisions relating to establishing civil and criminal liability under Commonwealth laws
- SECTION 1229 APPLICATION OF THIS SUBDIVISION
- SECTION 1229A OTHER RULES FOR CORPORATE CONTRAVENTIONS DO NOT APPLY
- SECTION 1229B GENERAL RULE FOR ATTRIBUTING CONDUCT AND STATE OF MIND TO A CCIV
- SECTION 1229C EXCEPTIONS ETC. SPECIFIC TO THIS ACT
- Subdivision B - Consequences of contraventions of Commonwealth laws
- SECTION 1229D CORPORATE DIRECTOR GENERALLY TAKEN TO COMMIT OFFENCES COMMITTED BY CCIV
- SECTION 1229E CORPORATE DIRECTOR GENERALLY LIABLE FOR CIVIL PENALTIES FOR WHICH THE CCIV WOULD BE LIABLE
- Subdivision C - Consequences of contraventions of State and Territory laws
- SECTION 1229F COMPENSATION ORDERS - STATE AND TERRITORY LAWS
- SECTION 1229G TIME LIMIT FOR APPLICATION FOR COMPENSATION ORDER
- SECTION 1229H CIVIL EVIDENCE AND PROCEDURE RULES FOR COMPENSATION ORDERS
- PART 8B.4 - CORPORATE FINANCE, FINANCIAL REPORTING AND SUSTAINABILITY REPORTING FOR CCIVs
- Division 1 - Shares
- Subdivision A - Issuing and converting shares in a CCIV
- SECTION 1230 SHARES CAN ONLY BE ISSUED IN RESPECT OF SUB-FUNDS
- SECTION 1230A MINIMUM OF ONE CLASS OF SHARES PER SUB-FUND
- SECTION 1230B POWER TO ISSUE REDEEMABLE SHARES
- SECTION 1230C CONVERSION OF SHARES
- Subdivision B - Redemption of shares
- SECTION 1230D REDEMPTIONS TO WHICH THIS SUBDIVISION APPLIES
- SECTION 1230E REDEEMED SHARES TO BE CANCELLED
- SECTION 1230F REQUIREMENTS FOR REDEMPTIONS BY ALL CCIVs
- SECTION 1230G FURTHER REQUIREMENTS FOR REDEMPTIONS BY RETAIL CCIVs
- SECTION 1230H WHEN A SUB-FUND IS LIQUID
- SECTION 1230J REDEMPTION OFFERS FOR NON-LIQUID SUB-FUNDS OF RETAIL CCIVs
- SECTION 1230K SATISFYING REDEMPTION REQUESTS FOR NON-LIQUID SUB-FUNDS OF RETAIL CCIVs
- Subdivision C - Partly-paid shares
- SECTION 1230L SECTION 254N DOES NOT APPLY TO A CCIV
- Subdivision D - Dividends
- SECTION 1230M CIRCUMSTANCES IN WHICH A DIVIDEND MAY BE PAID
- SECTION 1230N DIVIDEND RIGHTS
- Subdivision E - Notice requirements
- SECTION 1230P PART 2H.6 DOES NOT APPLY TO A CCIV
- Subdivision F - Cross-investment between sub-funds of a CCIV
- SECTION 1230Q CROSS-INVESTMENT BETWEEN SUB-FUNDS IS PERMITTED
- SECTION 1230R REQUIREMENTS OR RESTRICTIONS FOR CROSS-INVESTMENT
- SECTION 1230S CONSEQUENCES FOR FAILING TO COMPLY WITH REQUIREMENTS OR RESTRICTIONS FOR CROSS-INVESTMENT
- SECTION 1230T REQUIREMENTS OR RESTRICTIONS ON MEMBERSHIP RIGHTS FOR SHARES ACQUIRED FROM CROSS-INVESTMENT
- SECTION 1230U CROSS-INVESTMENT BETWEEN SUB-FUNDS IS NOT A SHARE BUY-BACK
- SECTION 1230V GENERAL DUTIES STILL APPLY FOR CROSS-INVESTMENT BETWEEN SUB-FUNDS
- Division 2 - Transactions affecting share capital
- Subdivision A - Reductions in share capital and share buy-backs
- SECTION 1231 PURPOSE
- SECTION 1231A CCIV MAY MAKE REDUCTION NOT OTHERWISE AUTHORISED
- SECTION 1231B CONSEQUENCES OF MAKING AN UNAUTHORISED REDUCTION
- SECTION 1231C A CCIV ' s POWER TO BUY BACK ITS OWN SHARES
- SECTION 1231D AUTHORISED REDUCTIONS - SHARE REDEMPTIONS
- SECTION 1231E Authorised reductions - regulations
- SECTION 1231F Authorised reductions - Court orders
- SECTION 1231G AUTHORISED REDUCTIONS - RETURN OF FINANCIAL PRODUCT
- SECTION 1231H OTHER SHARE CAPITAL REDUCTIONS
- Subdivision B - Self-acquisition and control of shares
- SECTION 1231J DIRECTLY ACQUIRING OWN SHARES
- SECTION 1231K TAKING SECURITY OVER OWN SHARES
- Subdivision C - Financial assistance
- SECTION 1231L PART 2J.3 DOES NOT APPLY TO A CCIV
- Subdivision D - Interaction with other duties
- SECTION 1231M OTHER DUTIES STILL APPLY
- Division 3 - Debentures
- SECTION 1231N DEBENTURES CAN ONLY BE ISSUED IN RESPECT OF SUB-FUNDS
- SECTION 1231P MODIFIED OPERATION OF SECTION 283AA
- Division 4 - Financial reports, sustainability reports and audit of CCIVs
- Subdivision A - Application of Chapter 2M to CCIVs and their sub-funds
- SECTION 1232 APPLICATION OF CHAPTER 2M TO CCIVs
- Subdivision B - Financial records (all CCIVs)
- SECTION 1232A OBLIGATION TO KEEP FINANCIAL RECORDS FOR SUB-FUNDS
- SECTION 1232B ACCESS TO FINANCIAL RECORDS OF CCIVs AND SUB-FUNDS
- Subdivision C - Financial and sustainability reporting (retail CCIVs only)
- SECTION 1232C ANNUAL FINANCIAL REPORTS, SUSTAINABILITY REPORTS AND DIRECTORS ' REPORTS FOR SUB-FUNDS - GENERAL RULES
- SECTION 1232D ANNUAL FINANCIAL REPORTS, SUSTAINABILITY REPORTS AND DIRECTORS ' REPORTS FOR SUB-FUNDS - SPECIAL RULES FOR FINANCIAL REPORTS AND SUSTAINABILITY REPORTS
- SECTION 1232E ANNUAL FINANCIAL REPORTS AND DIRECTORS ' REPORTS FOR SUB-FUNDS - SPECIAL RULES FOR DIRECTORS ' REPORTS
- SECTION 1232F HALF-YEAR FINANCIAL REPORTS AND DIRECTORS ' REPORTS FOR SUB-FUNDS WITH ED SECURITIES ON ISSUE
- SECTION 1232G AUDIT AND AUDITOR ' S REPORT FOR SUB-FUNDS
- Subdivision D - Annual financial reporting to members (retail CCIVs only)
- SECTION 1232H ANNUAL FINANCIAL AND SUSTAINABILITY REPORTING TO MEMBERS OF SUB-FUNDS
- SECTION 1232J DEADLINE FOR REPORTING TO MEMBERS OF SUB-FUNDS
- SECTION 1232K CONSIDERATION OF REPORTS AT AGM
- SECTION 1232L ADDITIONAL REPORTING BY CCIVs THAT ARE DEBENTURE ISSUERS
- Subdivision E - Lodging reports with ASIC (retail CCIVs only)
- SECTION 1232M RELODGEMENT IF FINANCIAL REPORTS, SUSTAINABILITY REPORTS OR DIRECTORS ' REPORTS RELATING TO SUB-FUND AMENDED AFTER LODGEMENT
- Subdivision F - Appointment and removal of auditors (retail CCIVs only)
- SECTION 1232N CONFLICT OF INTEREST SITUATION
- SECTION 1232P AUDITOR INDEPENDENCE - SPECIFIC REQUIREMENTS
- SECTION 1232Q PEOPLE WHO ARE REGARDED AS OFFICERS OF A CCIV
- SECTION 1232R APPOINTMENT, REMOVAL AND FEES OF AUDITORS FOR CCIVs
- SECTION 1232S EFFECT OF WINDING UP OF SUB-FUND ON OFFICE OF AUDITOR
- Subdivision G - Sanctions for contravention of Chapter 2M
- SECTION 1232T EXTENDED LIABILITY OF DIRECTORS OF THE CORPORATE DIRECTOR FOR CONTRAVENTIONS OF CHAPTER 2M
- Division 5 - Updating ASIC information about CCIVs
- SECTION 1232U SOLVENCY RESOLUTIONS
- PART 8B.5 - OPERATING A CCIV
- Division 1 - Preliminary
- SECTION 1233 MEANING OF PROPERTY
- SECTION 1233A REFERENCES TO LIABILITIES OF A CCIV
- Division 2 - Requirement to operate sub-funds as separate businesses
- SECTION 1233B SUB-FUNDS TO BE OPERATED AS SEPARATE BUSINESSES
- Division 3 - Requirement for assets and liabilities to be allocated between sub-funds
- Subdivision A - The CCIV ' s allocation register
- SECTION 1233C CORPORATE DIRECTOR TO KEEP ALLOCATION REGISTER
- SECTION 1233D REQUIREMENT TO ENTER ASSETS ON THE ALLOCATION REGISTER
- SECTION 1233E REQUIREMENT TO ENTER LIABILITIES ON THE ALLOCATION REGISTER
- SECTION 1233F LIQUIDATOR MAY REQUIRE CORPORATE DIRECTOR TO RECORD DEBT, CLAIM OR PROPERTY IN ALLOCATION REGISTER
- SECTION 1233G REQUIREMENT TO RETAIN RECORDS OF ALLOCATIONS FOR 7 YEARS
- Subdivision B - What are the assets of a particular sub-fund
- SECTION 1233H MEANING OF ASSETS - SUB-FUND OF A CCIV
- SECTION 1233J WHEN AN ALLOCATION DETERMINATION IS REQUIRED
- SECTION 1233K WHEN PROPERTY MUST BE CONVERTED INTO MONEY ETC.
- Subdivision C - What are the liabilities of a particular sub-fund
- SECTION 1233L MEANING OF LIABILITIES - SUB-FUND OF A CCIV
- SECTION 1233M WHEN AN ALLOCATION DETERMINATION IS REQUIRED
- SECTION 1233N VARIATIONS OF PROPORTIONAL ALLOCATION OF LIABILITIES
- SECTION 1233P CREDITOR MAY REQUIRE CORPORATE DIRECTOR TO PROVIDE INFORMATION ABOUT ALLOCATION
- Subdivision D - Orders the Court can make
- SECTION 1233Q ORDERS THE COURT CAN MAKE IN RELATION TO ASSETS AND LIABILITIES OF SUB-FUNDS
- Division 4 - Purposes for which sub-fund assets may be applied
- SECTION 1234 UNALLOCATED MONEY AND PROPERTY MAY NOT BE APPLIED FOR ANY PURPOSE
- SECTION 1234A REQUIREMENT FOR SEGREGATED APPLICATION OF ASSETS OF SUB-FUNDS
- SECTION 1234B PURPOSES FOR WHICH SUB-FUND ASSETS MAY BE APPLIED
- SECTION 1234C PROPERTY THAT IS REQUIRED TO BE CONVERTED TO BE APPLIED ONLY FOR THAT PURPOSE
- SECTION 1234D REQUIREMENT FOR SECURITY INTERESTS TO BE SEGREGATED
- SECTION 1234E COURT ORDERS
- SECTION 1234F CONSEQUENCES OF NON-COMPLIANT APPLICATION OF ASSETS
- Division 5 - How CCIV assets must be held
- SECTION 1234G WHO MAY HOLD THE ASSETS OF A CCIV
- SECTION 1234H PERSON OTHER THAN CCIV HOLDS MONEY OR PROPERTY ON TRUST
- SECTION 1234J HOW CCIV MONEY AND PROPERTY MUST BE HELD
- SECTION 1234K REGULATIONS MAY CREATE EXCEPTIONS
- PART 8B.6 - EXTERNAL ADMINISTRATION AND DEREGISTRATION
- Division 1 - Preliminary
- SECTION 1235 CONSTRUING TERMS AND EXPRESSIONS AFFECTED BY SUBSTITUTED REFERENCES
- Division 2 - Arrangements and reconstructions of sub-funds
- SECTION 1235A OBJECT OF THIS DIVISION
- SECTION 1235B COMPROMISES ETC. NOT TO BE MADE BETWEEN 2 OR MORE SUB-FUNDS
- SECTION 1235C APPLYING ARRANGEMENTS AND RECONSTRUCTIONS PROVISIONS TO SUB-FUNDS
- SECTION 1235D PERSONS NOT TO BE APPOINTED TO ADMINISTER COMPROMISE OR ARRANGEMENT
- SECTION 1235E PROVISIONS FOR FACILITATING RECONSTRUCTION AND AMALGAMATION OF SUB-FUNDS WITHIN A CCIV
- SECTION 1235F COURT MAY MAKE ORDER IN RELATION TO ASSETS AND LIABILITIES OF SUB-FUNDS
- Division 3 - Receivers, and other controllers, of property of sub funds
- Subdivision A - Preliminary
- SECTION 1236 OBJECT OF THIS DIVISION
- SECTION 1236A MEANING OF PROPERTY AND RECEIVER - SUB-FUND OF A CCIV
- Subdivision B - Appointment of controllers
- SECTION 1236B APPOINTMENT OF A CONTROLLER OF PROPERTY OF A SUB-FUND OF A CCIV
- SECTION 1236C PERSONS NOT TO ACT AS RECEIVERS
- SECTION 1236D NOTIFYING OF APPOINTMENT OR CESSATION OF CONTROLLER
- Subdivision C - Application of Part 5.2 to control of property of sub-funds
- SECTION 1236E APPLYING PART 5.2 ETC. TO SUB-FUNDS
- Subdivision D - Modified duties and powers of receivers etc.
- SECTION 1236F LIABILITY OF CONTROLLER
- SECTION 1236G POWERS OF RECEIVER
- SECTION 1236H CONTROLLER MAY REQUIRE REPORTS RELATING TO OTHER SUB-FUNDS IF NECESSARY
- SECTION 1236J CONTROLLER MAY INSPECT BOOKS OF CCIV
- Subdivision E - Other modifications
- SECTION 1236K APPLICATION OF SUB-FUND PROPERTY TO MEET CERTAIN PRIORITY PAYMENTS
- SECTION 1236L TRANSFER OF BOOKS TO ASIC ETC.
- Division 4 - Administration and restructuring
- SECTION 1236M PART 5.3A DOES NOT APPLY TO A CCIV
- SECTION 1236N PART 5.3B DOES NOT APPLY TO A CCIV
- Division 5 - Winding up of sub funds
- Subdivision A - Preliminary
- SECTION 1237 OBJECT OF THIS DIVISION
- SECTION 1237A NO WINDING UP OF A CCIV
- Subdivision B - Application of winding up provisions to winding up of sub-funds
- SECTION 1237B APPLYING WINDING UP PROVISIONS TO SUB-FUNDS
- SECTION 1237C REFERENCES TO DEBTS ETC. OF A SUB-FUND
- Subdivision C - Winding up of a sub-fund in insolvency
- SECTION 1237D WHEN A SUB-FUND IS PRESUMED TO BE INSOLVENT
- SECTION 1237E STATUTORY DEMAND - CREDITOR MAY SERVE DEMAND ON CCIV
- SECTION 1237F STATUTORY DEMAND - CCIV MAY APPLY TO SET ASIDE DEMAND
- SECTION 1237G STATUTORY DEMAND - DETERMINING APPLICATION TO SET ASIDE WHERE THERE IS A DISPUTE OR OFFSETTING CLAIM
- SECTION 1237H STATUTORY DEMAND - DETERMINING APPLICATION TO SET ASIDE WHERE THERE IS A DISPUTE ABOUT THE SUB-FUND
- SECTION 1237J SUBSTITUTION OF SUB-FUND WHERE STATUTORY DEMAND NOT RELIED ON
- SECTION 1237K DECLARATION OF SOLVENCY
- Subdivision CA - Voluntary winding up
- SECTION 1237KA DECLARATION OF RELEVANT RELATIONSHIPS
- Subdivision D - Modified duties and powers of liquidator of a sub-fund
- SECTION 1237L DISQUALIFICATION OF LIQUIDATOR
- SECTION 1237M NOTIFYING OF APPOINTMENT, RESIGNATION OR REMOVAL OF LIQUIDATOR
- SECTION 1237N DUTIES AND POWERS OF LIQUIDATOR
- SECTION 1237P RETENTION AND DESTRUCTION OF BOOKS
- Subdivision E - Modified duties and powers of officers of corporate director and CCIV
- SECTION 1237Q OFFICERS OF CORPORATE DIRECTOR TO HELP LIQUIDATOR
- SECTION 1237R CORPORATE DIRECTOR MAY RETAIN CERTAIN BOOKS
- SECTION 1237S CORPORATE DIRECTOR MAY ACCESS CERTAIN BOOKS
- SECTION 1237T CORPORATE DIRECTOR MAY DIRECT ASIC NOT TO DESTROY BOOKS
- SECTION 1237U MANDATORY EXAMINATION
- SECTION 1237V COURT MAY MAKE ORDER IMPOSING LIABILITY ON UNLICENSED PERSON OPERATING CCIV
- Subdivision F - Proof and ranking of claims
- SECTION 1237W LIQUIDATOR MUST BE SATISFIED DEBT OR CLAIM IS A LIABILITY OF THE SUB-FUND
- SECTION 1237X DETERMINATION OF DEBTS AND CLAIMS THAT RELATE TO THE BUSINESS OF 2 OR MORE SUB-FUNDS AND ARE OF UNCERTAIN VALUE
- SECTION 1237Y APPLICATION OF SUB-FUND PROPERTY
- Subdivision G - Powers of Courts
- SECTION 1237Z WARRANT IN RELATION TO BOOKS
- Subdivision H - Recovering property
- SECTION 1237ZA PRESUMPTIONS TO BE MADE IN RECOVERY PROCEEDINGS
- SECTION 1237ZB DIRECTORS OF THE CORPORATE DIRECTOR
- SECTION 1237ZC VESTING OF PPSA SECURITY INTERESTS IF COLLATERAL NOT REGISTERED WITHIN TIME
- Division 6 - Recovering property of sub funds
- SECTION 1238 DUTIES OWED BY DIRECTORS OF CORPORATE DIRECTOR OF A CCIV
- SECTION 1238A APPLYING PROPERTY RECOVERY PROVISIONS TO CCIVs
- SECTION 1238B REFERENCES TO INCURRING DEBTS
- SECTION 1238C WHEN DEBTS ARISE IN RELATION TO REDEEMABLE SHARES
- Division 7 - External administration offences
- SECTION 1238D APPLYING EXTERNAL ADMINISTRATION OFFENCES TO CCIVs
- SECTION 1238E INTERPRETATION OF CEASED TO CARRY ON BUSINESS
- SECTION 1238F FRAUDS BY OFFICERS
- Division 8 - Miscellaneous
- SECTION 1238G APPLYING EXTERNAL ADMINISTRATION MISCELLANEOUS PROVISIONS TO SUB-FUNDS
- Division 9 - Deregistration and transfer of registration
- Subdivision A - Deregistration
- SECTION 1239 DEREGISTRATION OF A SUB-FUND - VOLUNTARY
- SECTION 1239A DEREGISTRATION OF A SUB-FUND - ASIC INITIATED
- SECTION 1239B PROCESS FOR ASIC INITIATED DEREGISTRATION OF A SUB-FUND
- SECTION 1239C DEREGISTRATION OF A SUB-FUND - FOLLOWING AMALGAMATION OR WINDING UP
- SECTION 1239D EFFECT OF DEREGISTRATION OF A SUB-FUND
- SECTION 1239E THE COMMONWEALTH ' S AND ASIC ' S POWER TO FULFIL OUTSTANDING OBLIGATIONS IN RELATION TO DEREGISTERED SUB-FUND
- SECTION 1239F CLAIMS AGAINST INSURERS IN RELATION TO DEREGISTERED SUB-FUND
- SECTION 1239G REINSTATEMENT OF A SUB-FUND
- SECTION 1239H CCIV REINSTATED FOLLOWING REINSTATEMENT OF A SUB-FUND
- SECTION 1239J NOTICES RELATING TO REINSTATEMENT OF A SUB-FUND
- SECTION 1239K DEREGISTRATION OF A CCIV
- SECTION 1239L BOOKS OF THE CCIV TO BE KEPT BY FORMER CORPORATE DIRECTOR
- SECTION 1239M A CCIV MAY NOT BE REINSTATED UNDER SECTION 601AH
- Subdivision B - Transfer of registration
- SECTION 1239N REGISTRATION OF CCIV CANNOT BE TRANSFERRED
- PART 8B.7 - CONTROL, FINANCIAL SERVICES AND DISCLOSURE
- Division 1 - Takeovers, compulsory acquisitions and buy-outs
- SECTION 1240 MEANING OF SECURITIES
- SECTION 1240A TAKEOVERS - PROHIBITION ON ACQUISITIONS OF SHARES IN A LISTED CCIV
- SECTION 1240B TAKEOVERS - DIRECTORS OF THE CORPORATE DIRECTOR OF A LISTED CCIV
- SECTION 1240C TAKEOVERS - BIDDER ' S STATEMENT CONTENT
- SECTION 1240D TAKEOVERS PANEL - DECLARATION OF UNACCEPTABLE CIRCUMSTANCES MAY ONLY BE MADE IN RELATION TO A LISTED CCIV
- SECTION 1240E COMPULSORY ACQUISITION - ONLY AVAILABLE FOR SECURITIES IN A LISTED CCIV
- Division 2 - Continuous disclosure
- SECTION 1240F CONTINUOUS DISCLOSURE - CCIVs
- Division 3 - Fundraising
- SECTION 1240G FUNDRAISING RULES DO NOT APPLY TO CCIVs
- SECTION 1240H OFFERING SECURITIES OF A CCIV OR SUB-FUND THAT DOES NOT EXIST
- Division 4 - Financial services and markets
- SECTION 1241 APPLICATION OF CHAPTER 7 TO CCIVs
- SECTION 1241A FOR CHAPTER 7, TREAT THE CORPORATE DIRECTOR AS PROVIDING FINANCIAL SERVICES ETC. BEING PROVIDED BY THE CCIV
- SECTION 1241B CERTAIN LICENSING CONCEPTS DO NOT APPLY TO CCIVs
- SECTION 1241C EXTRA KINDS OF FINANCIAL SERVICES RELATING TO CCIVs
- SECTION 1241D CCIV BUY-BACK OR REDEMPTION FACILITY DOES NOT MAKE A MARKET
- SECTION 1241E CERTAIN CONDUCT RELATING TO CCIVs IS NOT PROVIDING A CUSTODIAL OR DEPOSITORY SERVICE
- SECTION 1241F AUSTRALIAN FINANCIAL SERVICES LICENCES
- SECTION 1241G IMMEDIATE SUSPENSIONS OR CANCELLATIONS OF LICENCES
- SECTION 1241H RESTRICTION ON USE OF CERTAIN WORDS OR EXPRESSIONS
- SECTION 1241J AGREEMENTS WITH CERTAIN UNLICENSED PERSONS
- SECTION 1241K TREAT THE CCIV AS A PROFESSIONAL INVESTOR
- SECTION 1241L FINANCIAL SERVICES DISCLOSURE DOES NOT APPLY TO OPERATING THE BUSINESS AND CONDUCTING THE AFFAIRS OF CCIVs
- SECTION 1241M FINANCIAL RECORDS OF THE CORPORATE DIRECTOR OF A CCIV
- SECTION 1241N PROHIBITION ON HAWKING OF SECURITIES IN A CCIV
- SECTION 1241P MODIFICATIONS OF PART 7.8A
- SECTION 1241Q PART 7.9 APPLIES TO THE ISSUE OR SALE OF SECURITIES IN A CCIV
- SECTION 1241R PRODUCT DISCLOSURE STATEMENTS - WHEN A SECURITY IN A CCIV IS OF THE SAME KIND AS ANOTHER PRODUCT
- SECTION 1241S PRODUCT DISCLOSURE STATEMENTS - SITUATIONS WHEN NOT REQUIRED FOR CCIVs