Corporations Regulations 2001
View history note
Hide history note[ CCH Note: Pursuant to the Corporations Amendment Regulations 2001 (No 4) (SR 2001 No 319) effective 11 March 2002, Chapter 7 (Securities) comprising reg 7.1.01 - 7.15.01 and Chapter 8 (The futures industry) comprising reg 8.1.01 - 8.7.03 are replaced by a new Chapter 7 (Financial services and markets) comprising reg 7.1.01 - 7.12.01. As the subject matter of the new Chapter 7 relates to the new financial services reform regime, " inserted " has been used in the history notes for each provision, and all references to the former provisions have been removed.]
For subsection 822A(2) of the Act, the following matters are matters in respect of which a licensed CS facility must have written procedures:
(a) arrangements to ensure the integrity and security of systems (including computer systems);
(b) identifying and monitoring risks that are relevant to the licensed CS facility;
(c) the development of rules and procedures to address those risks;
(d) exchange of appropriate information with:
(i) other clearing and settlement facilities; and
(ii) financial markets; and
relating to participants and their activities that are relevant to the licensed CS facility;
(iii) ASIC and the Reserve Bank of Australia;
(e) the provision of information about the procedures of the licensed CS facility, including rights, obligations and risks relating to the facility;
(f) arrangements for supervising the licensed CS facility, including the monitoring of compliance by participants and issuers with the operating rules of the licensed CS facility.
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