Document ID: chunk:federal_register_of_legislation:C2025C00185:section:1317e:p6
Version: federal_register_of_legislation:C2025C00185
Segment Type: section
Provision Reference: s 1317E (pt 6/7)
Character Range: 5629358–5640697

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
section 1101AC                                                                                                                                                       failure to comply with an enforceable code provision                                                                                                                                                            financial services
a provision of a regulation made under section 1101AD that includes the words "civil penalty" and one or more amounts in penalty units at the foot of the provision  failure to comply with a civil penalty provision of a mandatory code of conduct                                                                                                                                 financial services
subsections 1211B(1) and (2)                                                                                                                                         contravening the Passport Rules                                                                                                                                                                                 uncategorised
subsection 1224D(1)                                                                                                                                                  duties owed by director of a CCIV                                                                                                                                                                               corporation/scheme
subsection 1224D(2)                                                                                                                                                  duties owed by director of a retail CCIV                                                                                                                                                                        corporation/scheme
subsection 1224D(4)                                                                                                                                                  duties owed by director of a wholesale CCIV                                                                                                                                                                     corporation/scheme
subsection 1224P(2)                                                                                                                                                  acquisition of share in CCIV by corporate director of retail CCIV                                                                                                                                               corporation/scheme
subsection 1225(1)                                                                                                                                                   duties owed by officers of corporate director of retail CCIV                                                                                                                                                    corporation/scheme
subsection 1225F(1)                                                                                                                                                  duties owed by employees of corporate director of retail CCIV                                                                                                                                                   corporation/scheme
subsection 1230F(5)                                                                                                                                                  share redemption requirements for CCIVs                                                                                                                                                                         corporation/scheme
subsection 1230S(4)                                                                                                                                                  cross‑investment restrictions or requirements for CCIVs                                                                                                                                                         corporation/scheme
subsection 1231B(4)                                                                                                                                                  unauthorised reduction of share capital by a CCIV                                                                                                                                                               corporation/scheme
subsection 1231J(5)                                                                                                                                                  directly acquiring own shares                                                                                                                                                                                   corporation/scheme
subsections 1234J(1), (2) and (3)                                                                                                                                    holding of sub‑fund assets of a CCIV                                                                                                                                                                            corporation/scheme
subsection 1272C(5)                                                                                                                                                  requirement to have a director identification number                                                                                                                                                            financial services
subsection 1272D(4)                                                                                                                                                  requirement to apply for a director identification number                                                                                                                                                       financial services
subsection 1272G(4)                                                                                                                                                  applying for additional director identification numbers                                                                                                                                                         financial services
subsection 1272H(2)                                                                                                                                                  misrepresenting a director identification number                                                                                                                                                                financial services
subsections 1308(4) and (5)                                                                                                                                          false or misleading documents                                                                                                                                                                                   uncategorised
subsection 1309(12)                                                                                                                                                  false information                                                                                                                                                                                               uncategorised
subsection 1317AAE(1)                                                                                                                                                breach of confidentiality of identity of whistleblower                                                                                                                                                          uncategorised
subsections 1317AC(1), (2) and (3)                                                                                                                                   victimisation or threatened victimisation of whistleblower                                                                                                                                                      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.