Document ID: chunk:federal_register_of_legislation:C2019A00017:clause:1_1317e:p4
Version: federal_register_of_legislation:C2019A00017
Segment Type: clause
Provision Reference: sch 1 cl 1317E (pt 4/4)
Character Range: 89134–92724

product dashboard publicly available                                        financial services
subsection 1017BB(5AA)                                                 trustee of registrable superannuation entities—obligation to make information relating to investment of assets publicly available        financial services
subsection 1020A(5)                                                    offers etc. relating to certain managed investment schemes not to be made in certain circumstances                                       financial services
subsection 1021E(8)                                                    preparer of defective disclosure document or statement giving the document or statement (whether or not known to be defective)           financial services
subsection 1021G(3)                                                    financial services licensee failing to ensure authorised representative gives etc. disclosure documents or statements as required        financial services
section 1041A                                                          market manipulation                                                                                                                      financial services
subsection 1041B(1)                                                    false trading and market rigging—creating a false or misleading appearance of active trading etc.                                        financial services
subsection 1041C(1)                                                    false trading and market rigging—artificially maintaining etc. market price                                                              financial services
section 1041D                                                          dissemination of information about illegal transactions                                                                                  financial services
subsections 1043A(1) and (2)                                           insider trading                                                                                                                          financial services
subsections 1211B(1) and (2)                                           contravening the Passport Rules                                                                                                          uncategorised
subsection 1309(12)                                                    false information                                                                                                                        uncategorised
subclause 29(6) of Schedule 4                                          disclosure for proposed demutualisation                                                                                                  corporation/scheme

Note 1: Once a declaration has been made, ASIC can seek a pecuniary penalty order (section 1317G) or (in the case of a corporation/scheme civil penalty provision and certain other civil penalty provisions) a disqualification order (section 206C).
Note 2: The descriptions of matters in column 2 are indicative only.
Note 3: Section 908DD contains some matters relevant for making declarations of contravention for subsections 908DA(1) and (2) and 908DB(1) and (2) (about manipulating financial benchmarks).

Attempt and involvement in contravention treated in same way as actual contravention
 (4) A person who:
 (a) attempts to contravene a civil penalty provision; or
 (b) is involved in a contravention of a civil penalty provision;
is taken to have contravened the provision.