Corporations Regulations 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

PART 7.6 - LICENSING OF PROVIDERS OF FINANCIAL SERVICES  

REGULATION 7.6.02A   OBLIGATION TO NOTIFY ASIC OF CERTAIN MATTERS  

7.6.02A(1)    
For paragraph 912D(3)(c) of the Act, the following Commonwealth legislation is specified:

(a)    Australian National Registry of Emissions Units Act 2011 ;

(aa)    Banking Act 1959 ;

(ab)    Carbon Credits (Carbon Farming Initiative) Act 2011 ;

(ac) (Repealed)

(b)    Financial Sector (Collection of Data) Act 2001 ;

(c)    Financial Sector (Shareholdings) Act 1998 ;

(d)    Financial Sector (Transfer and Restructure) Act 1999 ;

(e)    Insurance Acquisitions and Takeovers Act 1991 ;

(f)    Insurance Act 1973 ;

(g)    Insurance Contracts Act 1984 ;

(h)    Life Insurance Act 1995 ;

(i)    Retirement Savings Accounts Act 1997 ;

(j)    Superannuation Industry (Supervision) Act 1993 .

Certain breaches not required to be notified

7.6.02A(2)    

For the purposes of paragraph 912D(4)(b) of the Act:

(a)    

the following civil penalty provisions of the Act are prescribed:

(i) subsection 798H(1) ;

(ii) subsection 901E(1) ;

(iia) subsection 921BA(5) in so far as it relates to subsection 921BA(4) ;

(iib) subsection 921BB(4) ;

(iic) subsection 921E(3) ;

(iii) subsection 922M(5) ;

(iv) subsection 941A(3) ;

(v) subsection 941B(4) ;

(vi) subsection 962G(4) ;

(vii) subsection 962S(5) ;

(viii) subsection 962S(8) ;

(ix) subsection 962U(3) ;

(x) subsection 962V(3) ;

(xi) subsection 981B(3) ;

(xii) subsection 981C(2) ;

(xiii) subsection 1012A(5) ;

(xiv) subsection 1012B(6) ;

(xv) subsection 1012C(11) ;

(xvi) subsection 1017BA(4B) ;

(xvii) subsection 1017BB(5AA) ;

(xviii) subsection 1021E(8) ;

(xix) subsection 1021G(3) ;

(xx) section 1101AC ; and

(b)    all civil penalty provisions of Commonwealth legislation that is specified in subregulation (1) are prescribed.