Corporations Act 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

PART 7.1 - PRELIMINARY  

Division 1 - Object of Chapter and outline of Chapter  

SECTION 760B   760B   OUTLINE OF CHAPTER  


An outline of this Chapter is set out in the table below.


  Part-by-Part outline of Chapter 7
Part... Covers...
1   7.1 definitions of key concepts and of commonly occurring expressions
2   7.2 licensing of financial markets
other matters relating to financial markets
2A 7.2A supervision of financial markets
3   7.3 licensing of clearing and settlement facilities
other matters relating to clearing and settlement facilities
4   7.4 limitation on ownership of certain licensees
individuals who are disqualified from being involved in certain licensees
5   7.5 compensation regimes for financial markets
5A 7.5A regulation of derivative transactions and derivative trade repositories
6   7.6 licensing of providers of financial services
other related matters (e.g. restrictions on use of terminology; agreements with unlicensed persons relating to provision of financial services)
7   7.7 disclosure requirements for financial services licensees and their authorised representatives
disclosure requirements for certain people who are not required to be licensed
7A 7.7A best interests obligations
charging ongoing fees to clients
ban on conflicted remuneration and other remuneration
8   7.8 other conduct requirements for financial services licensees (e.g. dealing with client money and property; financial records, statements and audit)
special provisions relating to insurance
special provisions relating to margin lending facilities
8A 7.8A design and distribution requirements relating to financial products
9   7.9 financial product disclosure requirements
other requirements relating to issue, sale and purchase of financial products
9A 7.9A intervention powers in relation to financial products
10 7.10 market misconduct and other prohibited conduct relating to financial products and services
10A 7.10A authorisation and regulation of an external dispute resolution scheme for financial complaints
additional provisions relating to superannuation complaints
11 7.11 title to, and transfer of, certain securities and other financial products
12 7.12 qualified privilege in certain situations
other miscellaneous matters


 

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