Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:201:p17
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 201 (pt 17/26)
Character Range: 1648317–1651132

(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 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, subsection 1139(4) of the old Corporations Act, as in force immediately before the FSR commencement, continues to have effect in relation to the clearing house in its capacity as a market licensee.

Division 5—Special reports

10.2.19  Special report by securities exchange about compliance with ongoing requirements
 (1) This regulation applies if:
 (a) a securities exchange was required, before the FSR commencement, to give ASIC a special report under subsection 769D(1) of the old Corporations Act; and
 (b) the securities exchange 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 subsection 794B(1) of the Act.

10.2.20  Special report by securities exchange about compliance with ongoing requirements: ASIC requirements
 (1) This regulation applies if:
 (a) a securities exchange was required, before the FSR commencement, to give ASIC a special report under subsection 769D(1) of the old Corporations Act; and
 (b) ASIC had not complied with its obligations to the Minister under section 769D of the old Corporations Act before the FSR commencement; and
 (c) the period for compliance had not expired before the FSR commencement.
 (2) On and after the FSR commencement, ASIC's obligations to the Minister are taken to be obligations under subsection 794B(1) of the Act.

Division 5A—Transactions by holder of financial services licence or a representative of the holder of such a licence

10.2.20A  References to financial service licensee
 (1) For section 1444 of the Act, a reference in section 1043K of the Act to a financial services licensee includes a reference to a regulated principal mentioned in item 1, 3 or 8 of the table in section 1430 of the Act.
 (2) Subregulation (1) ceases to apply in relation to a regulated principal at the end of the transition period in relation to the regulated principal.

Division 5B—Obligation to pay money into account

10.2.20B  Financial products quoted on Australian Stock Exchange Limited
 (1) For section 1444 of the Act, this regulation applies in relation to a person that is:
 (a) a regulated principal mentioned in item 1 of the table in section 1430 of the Act (including a person to whom Part 7.6 of the old Corporations Act applies); and