Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:1:p37
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 1 (pt 37/148)
Character Range: 421948–425253

clients: price of non‑cash payment financial products
7.1.24 Retail clients and wholesale clients: value of non‑cash payment products
7.1.25 Retail clients and wholesale clients: life risk insurance and other risk‑based financial products
7.1.26 Superannuation‑sourced money
7.1.27 Retail clients and wholesale clients: effect of wholesale status
7.1.28 Retail clients and wholesale clients: assets and income
Division 3—When does a person provide a financial service?
7.1.28AA Provision of financial product advice about default funds
7.1.28A Circumstances in which a person is taken to be provided a traditional trustee company service
7.1.29 Circumstances in which a person is taken not to provide a financial service
7.1.30 Information and advice about voting
7.1.31 Passing on prepared documents
7.1.32 Remuneration packages
7.1.33A Allocation of funds available for investment
7.1.33B General advice
7.1.33D Investment‑linked life insurance products
7.1.33E Advice about the existence of a custodial or depository service
7.1.33F School banking
7.1.33G Certain general advice that does not attract remuneration etc.
7.1.33H Certain general advice given by a financial product issuer
Division 4—Dealings in financial products
7.1.34 Conduct that does not constitute dealing in a financial product
7.1.35 Conduct that does not constitute dealing in a financial product
7.1.35A Conduct that does not constitute dealing in a financial product—lawyers acting on instructions
7.1.35B Conduct that does not constitute dealing in a financial product—issuing carbon units, Australian carbon credit units or eligible international emissions units
7.1.35C Conduct that does not constitute dealing in a financial product—carbon units, Australian carbon credit units or eligible international emissions units
Division 5—Custodial or depository services
7.1.40 Conduct that does not constitute the provision of a custodial or depository service
Division 6—Operating a financial market
7.1.50 Operating a financial market
Part 7.2—Licensing of financial markets
Division 1—Market licensees' obligations
7.2.01 Obligation to inform ASIC of certain matters: contraventions of licence or Act
7.2.02 Obligation to inform ASIC of certain matters: becoming director, secretary or executive officer of market licensee
7.2.03 Obligation to inform ASIC of certain matters: ceasing to be director, secretary or executive officer of market licensee
7.2.04 Obligation to inform ASIC of certain matters: voting power in market licensee
7.2.05 Giving ASIC information about a listed disclosing entity
7.2.06 Annual report of market licensee
Division 2—The market's operating rules and procedures
7.2.07 Content of licensed market's operating rules
7.2.08 Content of licensed market's written procedures
Division 3—Powers of the Minister and ASIC
7.2.09 Agencies for compliance assessment
Division 4—The Australian market licence: applications (general)
7.2.10 Application of Division 4
7.2.11 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