Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:1:p38
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 1 (pt 38/148)
Character Range: 424918–428341

Information
7.2.12 Documents
Division 5—The Australian market licence: applications (financial market in foreign country)
7.2.13 Application of Division 5
7.2.14 Information
7.2.15 Documents
Division 6—The Australian market licence: other matters
7.2.16 Potential conflict situations
Part 7.2A—Supervision of financial markets
Division 7.2A.1—Enforceable undertakings
7.2A.01 Enforceable undertakings
Division 7.2A.2—Infringement notices
7.2A.02 Purpose of Division
7.2A.03 Definitions for Division 7.2A.2
7.2A.04 When infringement notice can be given
7.2A.05 Statement of reasons must be given
7.2A.06 Contents of infringement notice
7.2A.07 Amount of penalty payable to the Commonwealth
7.2A.08 Compliance with infringement notice
7.2A.09 Extension of compliance period
7.2A.10 Effect of compliance with infringement notice
7.2A.11 Application to withdraw infringement notice
7.2A.12 Withdrawal of infringement notice by ASIC
7.2A.13 Notice of withdrawal of infringement notice
7.2A.14 Withdrawal of notice after compliance
7.2A.15 Publication of details of infringement notice
Part 7.3—Licensing of clearing and settlement facilities
Division 1—Regulation of CS facility licensees: licensees' obligations
7.3.01 Obligation to inform ASIC of certain matters: becoming director, secretary or executive officer of CS facility licensee
7.3.02 Obligation to inform ASIC of certain matters: ceasing to be director, secretary or executive officer of CS facility licensee
7.3.03 Obligation to inform ASIC of certain matters: voting power in CS facility licensee
7.3.04 Annual report of CS facility licensee
Division 2—Regulation of CS facility licensees: the facility's operating rules and procedures
7.3.05 Content of licensed CS facility's operating rules
7.3.06 Content of licensed CS facility's written procedures
Division 3—Regulation of CS facility licensees: powers of the Minister and ASIC
7.3.07 Agencies for compliance assessment
7.3.08 Agencies for compliance assessment
Division 4—The Australian CS facility licence: applications (general)
7.3.09 Application of Division 4
7.3.10 Information
7.3.11 Documents
Division 5—The Australian CS facility licence: applications (overseas clearing and settlement facility)
7.3.12 Application of Division 5
7.3.13 Information
7.3.14 Documents
Part 7.3B—Crisis resolution for CS facility licensees
Division 6—Moratorium on action during statutory management or compulsory transfer
Subdivision B—Stay on enforcement rights triggered by statutory management or compulsory transfer
7.3B.65 Prescribed kinds of arrangements—rights under which are not subject to the stay in section 843A of the Act
Part 7.4—Limits on involvement with licensees
7.4.02 Record‑keeping: market licensee
7.4.03 Record‑keeping: CS facility licensee
7.4.04 Information for widely held market body
Part 7.5—Compensation regimes for financial markets
Division 1—Preliminary
7.5.01 Definitions for Part 7.5
7.5.01A Modification of Act: compensation regimes
7.5.02 Meaning of becoming insolvent
7.5.03 Meaning of dealer
7.5.04 Meaning of excluded person
7.5.06 Meaning of sale and purchase of securities
7.5.07 Meaning of securities business: general
7.5.08 Meaning of securities business: Subdivision 4.9
7.5.09 Meaning of security
7.5.10 Meaning of transfer of securities
7.5.13 Effect of contravention of Part 7.5
Division 2—When there must be a compensation regime
7.5.14 Application for Australian market