Document ID: chunk:federal_register_of_legislation:F2019C00686:body:0:p2
Version: federal_register_of_legislation:F2019C00686
Segment Type: other
Provision Reference: 
Character Range: 2826–5831

investment scheme or interests in a notified foreign passport fund by way of transfer;

               where the securities or interests are covered by an exempt category.

       (4) In this section, securities or interests are covered by an exempt category if they are covered by at least one of the following categories:

       Category 1: Share or interest purchase plans

       The securities or interests were issued without disclosure to investors under Part 6D.2 of the Act or without a Product Disclosure Statement for the interest being prepared because the offer or issue of the securities or interests was covered by:

           (a) ASIC Corporations (Share and Interest Purchase Plans) Instrument 2019/547;
           (b) ASIC Class Order [CO 09/425] (as in force as at the day immediately before the day the class order was repealed);
           (c) an individual instrument made by ASIC which provided relief from Part 6D.2 or Part 7.9 of the Act with respect to a share purchase plan, interest purchase plan or a like plan in terms similar to those legislative instruments.

       Category 2: Options, convertible or converting securities

       All of the following apply:

           (a) The securities or interests were issued by reason of the exercise of options or the conversion of convertible or converting notes or convertible or converting preference shares;

           (b) those options or convertible or converting securities were issued under a disclosure document under Part 6D.2 of the Act or with a Product Disclosure Statement for the options being prepared;

           (c) the exercise of the option, or the conversion, did not involve any further offer.

       Category 3: Dividend or distribution reinvestment or bonus plans

       The securities or interests were issued without disclosure to investors under Part 6D.2 of the Act or without a Product Disclosure Statement for the interest being prepared because of subsections 708(13) or 1012D(3) of the Act.

       Category 4: Compromises and arrangements

       The securities or interests were issued without disclosure to investors under Part 6D.2 of the Act or without a Product Disclosure Statement for the interest being prepared because of:

           (a) subsection 708(17) of the Act; or

           (b) ASIC Class Order [CO 07/9] (as in force as at the day immediately before the day the class order was repealed).

       Category 5: Deeds of Company Arrangement

       The securities were issued without disclosure to investors under Part 6D.2 of the Act because of subsection 708(17A) of the Act.

       Category 6: Takeovers

       The securities or interests were issued without disclosure to investors under Part 6D.2 of the Act or without a Product Disclosure Statement for the interest being prepared because of:

           (a) subsections 708(18) or 1012D(7) of the Act; or

           (b) ASIC Class Order [CO 09/68] (as in force as at the day immediately before the day the class