Document ID: chunk:federal_register_of_legislation:F2023C00564:reg:9
Version: federal_register_of_legislation:F2023C00564
Segment Type: reg
Provision Reference: reg 9
Character Range: 52957–54211

9                                                      Arrangement, by a financial supply facilitator, of the provision, acquisition (within the meaning of Division 40) or disposal of an interest in a security, including the following:
                                                       (a) order placement and trade execution;
                                                       (b) clearance and settlement of trades;
                                                       (c) management of the issue of securities, including rights and bonus issues;
                                                       (d) arranging flotations and privatisations;
                                                       (e) arranging mergers and acquisitions;
                                                       (f) arranging takeover bids;
                                                       (g) performing a settlement, including issue of drafts and encashment;
                                                       (h) other securities transactions, including lodgement, withdrawal and exchange control;
                                                       (i) underwriting, except a matter that is described in the table in subsection 40‑5.09(3)