Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:1:p39
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 1 (pt 39/148)
Character Range: 428054–431360

securities business: general
7.5.08 Meaning of securities business: Subdivision 4.9
7.5.09 Meaning of security
7.5.10 Meaning of transfer of securities
7.5.13 Effect of contravention of Part 7.5
Division 2—When there must be a compensation regime
7.5.14 Application for Australian market licence: information about compensation arrangements
Division 3—Approved compensation arrangements
7.5.15 Application for approval of compensation arrangements after grant of Australian market licence: information about compensation arrangements
7.5.16 Notification of payment of levies
7.5.17 Amount of compensation
Division 4—NGF Compensation regime
Subdivision 4.1—Preliminary
7.5.18 Application of Division 4
7.5.18A Caps on compensation
Subdivision 4.2—Third party clearing arrangements
7.5.19 Clearing arrangements
Subdivision 4.3—Contract guarantees
7.5.24 Claim by selling client in respect of default by selling dealer: ASTC‑regulated transfer
7.5.25 Claim by selling client in respect of default by selling dealer: transaction other than ASTC‑regulated transfer
7.5.26 Claim by buying client in respect of default by buying dealer: ASTC‑regulated transfer
7.5.27 Claim by buying client in respect of default by buying dealer: transaction other than ASTC‑regulated transfer
7.5.28 Cash settlement of claim: ASTC‑regulated transfer
7.5.29 Cash settlement of claim: transfer other than ASTC‑regulated transfer
7.5.30 Making of claims
Subdivision 4.7—Unauthorised transfer
7.5.53 Application of Subdivision 4.7
7.5.54 Claim by transferor
7.5.55 Claim by transferee or sub‑transferee
7.5.56 How and when claim may be made
7.5.57 How claim is to be satisfied
7.5.58 Discretionary further compensation to transferor
7.5.59 Nexus with Australia
Subdivision 4.8—Contraventions of ASTC certificate cancellation provisions
7.5.60 Claim in respect of contravention of ASTC certificate cancellation provisions
7.5.61 How and when claim may be made
7.5.62 How claim is to be satisfied
7.5.63 Discretionary further compensation
Subdivision 4.9—Claims in respect of insolvent participants
7.5.64 Claim in respect of property entrusted to, or received by, dealer before dealer became insolvent
7.5.65 Cash settlement of claims if property unobtainable
7.5.66 Ordering of alternative claims and prevention of double recovery
7.5.67 No claim in respect of money lent to dealer
7.5.68 Nexus with Australia
7.5.69 No claim in certain other cases
7.5.70 Making of claims
Subdivision 4.10—General
7.5.72 Power of SEGC to allow and settle claim
7.5.72A Participant‑related limits of compensation
7.5.72B Claimant‑related limits of compensation
7.5.73 Application of Fund in respect of certain claims
7.5.74 Discretion to pay amounts not received etc because of failure to transfer securities
7.5.75 Reduction in compensation
7.5.76 Claimant may be required to exercise right of set‑off
7.5.77 Effect of set‑off on claim
7.5.78 Claimant entitled to costs and disbursements
7.5.79 Interest
7.5.80 SEGC to notify claimant if claim disallowed
7.5.81 Arbitration of amount of cash settlement of certain claims
7.5.82 Instalment payments
7.5.83 Notification of payment of levies
7.5.84 Notification of payment of levies
Subdivision 4.11—Other provisions relating to compensation
7.5.85 Prescribed body corporate with arrangements covering