Document ID: chunk:federal_register_of_legislation:C2025C00185:section:1073d:p2
Version: federal_register_of_legislation:C2025C00185
Segment Type: section
Provision Reference: s 1073D (pt 2/2)
Character Range: 4755029–4756233

market on which the securities are sold; and
 (c) a person who operates a licensed CS facility through which the securities are transferred; and
 (d) a company with which the transfer is lodged for registration; and
 (e) an associate of a person who is involved in the transfer.
The regulations may specify the circumstances in which a person will be taken to be an associate of another person for the purposes of the regulations.

Offences
 (6) Without limiting subsection (2), the regulations may provide for offences in relation to:
 (a) the use, or purported use, of a stamp of a person who:
 (i) carries on a financial services business; or
 (ii) operates a financial market; or
 (iii) operates a clearing and settlement facility; or
 (b) the execution of a document, or the transmission of an electronic message or other electronic communication, that may be used as a sufficient transfer under this Division; or
 (c) the lodgment of a transfer document or title document for a security with the issuer of the security; or
 (d) the use of identifying codes in relation to transfers of securities.

Jurisdiction
 (7) The regulations may apply to conduct engaged in in this jurisdiction or elsewhere.