Document ID: chunk:federal_register_of_legislation:F2024C01107:body:0:p5
Version: federal_register_of_legislation:F2024C01107
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to the recipient personally;
(b)       leaving it at or by sending it by courier or post to the address of the recipient last notified to ASIC;
(c)        sending it by facsimile to the recipient's facsimile number last notified to ASIC;
(d)       a circular or bulletin addressed to a class of persons and delivered or communicated by any means permitted under this Rule;
(e)        specific email by any method which identifies a person or person's title as addressee and no notice of non-delivery has been received;
(f)        broadcast email by any method which identifies the addressee and which, having regard to all the relevant circumstances at the time, was as reliable as appropriate for the purposes for which the information was communicated.

Part 1.4 Interpretation

1.4.1 References to time
In these Rules a reference to time is to the time in Sydney, Australia.

1.4.2 Words and expressions defined in the Corporations Act
Words and expressions defined in the Corporations Act will, unless otherwise defined or specified in these Rules or the contrary intention appears, have the same meaning in these Rules.

1.4.3 Definitions
In these Rules:

Ad Hoc Risk-Based Return means a return containing the information in Form 1 in Schedule 1C to these Rules.
Annual Audited Risk-Based Return means a return containing the information in Form 3 in Schedule 1C to these Rules, except for the section Credit Facilities & Overdraft.

Application Monies means, in relation to Financial Instruments, monies that have been received by the person offering the Financial Instruments from a person applying for the Financial Instruments.

Approved Clearing Facility means ASX Clear Pty Limited (ACN 001 314 503) and ASX Clear (Futures) Pty Limited (ACN 050 615 864).

Approved Deposit Taking Institution means:

(a)        an authorised deposit taking institution under section 5 of the Banking Act 1959 (Cth);

(b)       a banking institution which has its activities formally regulated in accordance with the standards of the Basel Committee on Banking Supervision; or

(c)        an institution which has been given a risk weighting by the Australian Prudential Regulation Authority equivalent to an authorised deposit taking institution referred to in paragraph (a).

Approved Institution means:

(a)        any of the following institutions whose net assets are greater than $30 million at the date of its last published audited balance sheet:

(i)         a life insurance company or general insurance company; or

(ii)       an investment company, trust or other similar institution whose ordinary business is to buy and sell Financial Instruments;

(b)       any body corporate or partnership whose ordinary business is to buy and sell Financial Instruments and which is regulated by a Recognised Regulator specified in Table A5.3.1;

(c)        a Fund Manager and an underlying client that has placed money with, or