Document ID: chunk:federal_register_of_legislation:F2019L00084:schedule:1:p1
Version: federal_register_of_legislation:F2019L00084
Segment Type: schedule
Provision Reference: sch 1 (pt 1/4)
Character Range: 2268–5082

Schedule 1—Australian passport funds

Proposed fund

    1. The value of the assets of the fund, the number of issued shares or interests and the date of the most recent valuation.

Single entity and group limits

    2. If the fund has exceeded the limit in relation to more than one entity, the earliest date on which a limit was exceeded.

    3. How the fund complies with the single entity limits and the group entity limits in sections 30 and 31 of the Passport Rules.

    4. Any plan in place to bring the portfolio allocation within the limit.

Application of certain limits to index funds and benchmarks

    5. When the fund commenced exceeding the limit in subsection 33(2) of the Passport Rules.

    6. By how much the limit is exceeded.

    7. Any plan in place to bring the portfolio allocation within the limit.

Portfolio allocation limit—financial asset regulated CIS

    8. When the fund commenced exceeding the limit in subsection 34(1) of the Passport Rules.

    9. Any plan in place to bring the portfolio allocation within the limit in subsection 34(1) of the Passport Rules.

    10. When the fund commenced exceeding the limit in subsection 34(2) of the Passport Rules.

    11. Any plan in place to bring the portfolio allocation within the limit in subsection 34(2) of the Passport Rules.

Limit on unquoted transferable securities

    12. When the fund commenced exceeding the limit in section 35 of the Passport Rules.

    13. Any plan in place to bring the portfolio allocation within the limit.

Limit on investments conferring significant management influence

    14. When the fund commenced exceeding the limit in subsection 36(1) of the Passport Rules.

    15. By how much the limit is exceeded.

    16. Any plan in place to bring the portfolio allocation within the limit.

Limit on share of transferable securities or money market instruments on issue

    17. When the fund commenced exceeding the limit in section 37 of the Passport Rules.

    18. By how much the limit is exceeded.

    19. Any plan in place to bring the portfolio allocation within the limit.

Limit on depository receipts over gold

    20. When the fund commenced exceeding the limit in section 38 of the Passport Rules.

    21. Any plan in place to bring the portfolio allocation within the limit.

Derivatives and securities lending arrangements — global exposure limit

    22. When the fund commenced exceeding the limit in section 39 of the Passport Rules.

    23. Any plan in place to bring the portfolio allocation within the limit.

Securities lending limit

    24. When the fund commenced exceeding the 50% limit in section 41 of the Passport Rules.

    25. Any plan in place to bring the portfolio allocation within the limit.

Relief

    26. Whether an exemption or