Document ID: chunk:federal_register_of_legislation:F2025C00020:reg:5:p1
Version: federal_register_of_legislation:F2025C00020
Segment Type: reg
Provision Reference: reg 5 (pt 1/3)
Character Range: 22025–24816

5  Performance of ASIC functions

Matters with hourly fee rate
 (1) For section 5 of the Act, the fee set out in subregulation (3) is prescribed for the performance by a member of ASIC, or an ASIC staff member, of the following functions under subsection 798C(2) of the Corporations Act:
 (a) reviewing and providing consent to an application for waiver of an operating rule relating to a clearing and settlement facility operated by a market licensee or an associate of the market licensee in respect of the securities of the market licensee;
 (b) undertaking an inquiry about compliance with any operating rule of the clearing and settlement facility mentioned in paragraph (a) which relates to securities of the market licensee;
 (c) taking action to ensure compliance with the operating rules of the clearing and settlement facility mentioned in paragraph (a) following an inquiry under paragraph (b);
 (d) an inquiry about compliance with an arrangement of the kind mentioned in subsection 798C(2) of the Corporations Act;
 (e) taking action to ensure compliance with the arrangement following an inquiry under paragraph (d).
Note 1: These functions are mentioned in paragraph (k) of the definition of chargeable matter in subsection 4(1) of the Act. Expressions that are defined in the Corporations Act have the same meanings in these Regulations: see subsection 4(2) of the Act.
Note 2: The fees in this subregulation are subject to limits imposed by section 6 of the Act.
Note 3: Paragraph 7(1)(k) of the Act identifies the person liable to pay the fee and the time at which the liability to pay the fee is incurred.
 (2) For section 5 of the Act, the fee set out in subregulation (3) is prescribed for the performance by a member of ASIC, or an ASIC staff member, of the following functions in accordance with listing rules mentioned in subsection 798C(4) of the Corporations Act:
 (a) processing and considering the admission of a licensee to a market's official list;
 (b) processing and considering an application for waiver of a listing rule applying to the market licensee;
 (c) processing and considering the quotation of additional securities of the market licensee;
 (d) processing and considering a transaction involving a related party of the market licensee within the meaning of section 228 of the Corporations Act;
 (e) processing and considering an application for requotation of securities of the market licensee;
 (f) processing and considering a transaction relating to the proposed change of the nature or scale of activities of the market licensee;
 (g) processing and considering a transaction relating to a proposed merger or acquisition involving the market licensee;
 (h) conducting an inquiry about compliance by the market licensee with a listing rule;
 (i)