Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:201:p16
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 201 (pt 16/26)
Character Range: 1645655–1648561

obligations as soon as practicable after the FSR commencement.

10.2.15  Obligations of securities clearing house: disciplinary action
 (1) This regulation applies if:
 (a) the securities clearing house was required under section 779E of the old Corporations Act, before the FSR commencement, to lodge written particulars relating to disciplinary action; and
 (b) the securities clearing house had not complied with the requirement before the FSR commencement; and
 (c) the period for compliance had not expired before the FSR commencement.
 (2) On and after the FSR commencement, the requirement is taken to be a requirement under paragraph 821B(2)(b) of the Act.

10.2.16  Obligations of futures body: disciplinary action
 (1) This regulation applies if:
 (a) a futures body was required, before the FSR commencement, to lodge written particulars under subsection 1139(2) of the old Corporations Act of disciplinary action it had taken; and
 (b) the futures body had not complied with the requirement before the FSR commencement; and
 (c) the period for compliance had not expired before the FSR commencement.
 (2) On and after the FSR commencement, the requirement is taken to be a requirement under:
 (a) if the futures body has become a market licensee after the FSR commencement—paragraph 792B(2)(b) of the Act; or
 (b) if the futures body has become a CS facility licensee after the FSR commencement—paragraph 821B(2)(b) of the Act.
 (3) The market licensee or CS facility licensee to which subregulation (2) relates is taken to have complied with its obligations under subsection 792C(1) of the Act if it complies with those obligations as soon as practicable after the FSR commencement.

10.2.17  Obligations of futures body: particulars of contravention
 (1) This regulation applies if:
 (a) a futures body was required, before the FSR commencement, to lodge a statement under subsection 1139(2A) of the old Corporations Act in relation to a contravention of the futures exchange's business rules or listing rules; and
 (b) the futures body had not complied with the requirement before the FSR commencement; and
 (c) the period for compliance had not expired before the FSR commencement.
 (2) On and after the FSR commencement, the requirement is taken to be a requirement under paragraph 792B(2)(c) of the Act.
 (3) The market licensee to which subregulation (2) relates is taken to have complied with its obligations under paragraph 792B(2)(c) of the Act if it complies with those obligations as soon as practicable after the FSR commencement.

10.2.18  Obligations of clearing house for futures exchange: information about listed disclosing entity
 (1) This regulation applies if:
 (a) a clearing house for a futures exchange was required, before the FSR commencement, to give ASIC particulars of action under subsection 1139(3) of the old Corporations Act; and
 (b) the clearing house had not