Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:201:p8
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 201 (pt 8/26)
Character Range: 1625781–1628497

only to the extent that:
 (a) the person suspected of the contravention or impending contravention of the market's operating rules or the Act is a participant in the market who is in this jurisdiction; or
 (b) the contravention or impending contravention may significantly affect:
 (i) a participant in the market who is in this jurisdiction; or
 (ii) a client, of a participant in the market, whom the market licensee believes to be in this jurisdiction.
 (4) In spite of subregulation (3), paragraph 792B(2)(c) of the Act has effect only to the extent of requiring inclusion in the notice to ASIC of information that, under the regulatory regime applying to financial markets in the foreign country in which the market licensee's principal place of business is located, it is permissible for the market licensee to include in the notice.
 (5) Subregulation (4) is subject to the conditions that:
 (a) the market licensee gives notice of the contravention or impending contravention to a body responsible for the regulation of financial markets in the foreign country in which the market licensee's principal place of business is located as soon as practicable after suspecting the commission of the contravention, or the likelihood of the impending contravention; and
 (b) the notice to that body includes the information mentioned in subparagraphs 792B(2)(c)(i), (ii) and (iii) of the Act; and
 (c) the market licensee informs ASIC of the following:
 (i) the giving of the notice mentioned in paragraph (a);
 (ii) the name and address of the regulatory body to whom it was given;
 (iii) when the notice was given; and
 (d) arrangements exist for that body to give notice to ASIC about the contravention or impending contravention that includes the information that it is not permissible for the market licensee to include in the notice it gives to ASIC under subregulation (4).

9.12.03A  Exemption from provisions of Chapter 7—compliance with ASIC exemptions
 (1) For paragraph 1368(a) of the Act, Division 2 of Part 7.7A of the Act does not have effect in relation to a person to whom one of the following exemptions made by ASIC is stated to apply:
 (a) ASIC Class Order [CO 05/736];
 (b) ASIC Class Order [CO 05/1122];
 (c) ASIC Class Order [CO 08/01];
 (d) ASIC Class Order [CO 11/1227].
 (2) The Division does not have effect subject to the condition that the person complies with the conditions set out in the exemption which applies to the person.

9.12.04  Exemption from provisions of Chapter 7—carbon unit auctions
 (1) For paragraph 1368(a) of the Act, section 791A of the Act does not have effect in relation to a person if:
 (a) the person is engaged, by the Clean Energy Regulator, to assist in the