Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:201:p15
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 201 (pt 15/26)
Character Range: 1642973–1645933

with its obligations under subsection 794D(5) of the Act if it complies with those obligations as soon as practicable after the FSR commencement.

Division 4—Assistance to ASIC

10.2.12  Obligations of securities exchange: disciplinary action
 (1) This regulation applies if:
 (a) a securities exchange was required, before the FSR commencement, to lodge written particulars under subsection 776(2) of the old Corporations Act of disciplinary action it had taken; and
 (b) the securities exchange had not complied with the requirement before the FSR commencement; and
 (c) the period for compliance had not expired before the FSR commencement.
 (2) On and after the FSR commencement, the requirement is taken to be a requirement under paragraph 792B(2)(b) of the Act.
 (3) The market licensee to which subregulation (2) relates is taken to have complied with its obligations under paragraph 792B(2)(b) of the Act if it complies with those obligations as soon as practicable after the FSR commencement.

10.2.13  Obligations of securities exchange: particulars of contravention
 (1) This regulation applies if:
 (a) a securities exchange was required, before the FSR commencement, to lodge a statement under subsection 776(2A) of the old Corporations Act in relation to a contravention of the securities exchange's business rules or listing rules; and
 (b) the securities exchange had not complied with the requirement before the FSR commencement; and
 (c) the period for compliance had not expired before the FSR commencement.
 (2) On and after the FSR commencement, the requirement is taken to be a requirement under paragraph 792B(2)(c) of the Act.
 (3) The market licensee to which subregulation (2) relates is taken to have complied with its obligations under paragraph 792B(2)(c) of the Act if it complies with those obligations as soon as practicable after the FSR commencement.

10.2.14  Obligations of securities exchange: information about listed disclosing entity
 (1) This regulation applies if:
 (a) a securities exchange was required, before the FSR commencement, to give ASIC a document under subsection 776(2B) of the old Corporations Act containing information about a listed disclosing entity; and
 (b) the securities exchange had not complied with the requirement before the FSR commencement; and
 (c) the period for compliance had not expired before the FSR commencement.
 (2) On and after the FSR commencement, the requirement is taken to be a requirement under subsection 792C(1) of the Act.
 (3) The market licensee to which subregulation (2) relates is taken to have complied with its obligations under subsection 792C(1) of the Act if it complies with those obligations as soon as practicable after the FSR commencement.

10.2.15  Obligations of securities clearing house: disciplinary action
 (1) This regulation applies if:
 (a) the securities clearing house was required under section 779E of the old Corporations Act, before the FSR