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Australian Securities and Investments Commission Regulations 2001

Statutory Rules No. 192, 2001
made under the

Australian Securities and Investments Commission Act 2001 and the Corporations Act 2001

Compilation No. 55

Compilation date: 22 November 2024

                Includes amendments: F2024L01411

About this compilation

This compilation

This is a compilation of the Australian Securities and Investments Commission Regulations 2001 that shows the text of the law as amended and in force on 22 November 2024 (the compilation date).

The notes at the end of this compilation (the endnotes) include information about amending laws and the amendment history of provisions of the compiled law.

Uncommenced amendments

The effect of uncommenced amendments is not shown in the text of the compiled law. Any uncommenced amendments affecting the law are accessible on the Register (www.legislation.gov.au). The details of amendments made up to, but not commenced at, the compilation date are underlined in the endnotes. For more information on any uncommenced amendments, see the Register for the compiled law.

Application, saving and transitional provisions for provisions and amendments

If the operation of a provision or amendment of the compiled law is affected by an application, saving or transitional provision that is not included in this compilation, details are included in the endnotes.

Editorial changes

For more information about any editorial changes made in this compilation, see the endnotes.

Modifications

If the compiled law is modified by another law, the compiled law operates as modified but the modification does not amend the text of the law. Accordingly, this compilation does not show the text of the compiled law as modified. For more information on any modifications, see the Register for the compiled law.

Self‑repealing provisions

If a provision of the compiled law has been repealed in accordance with a provision of the law, details are included in the endnotes.

Contents
Part 1—Preliminary
1 Name of Regulations
2 Definitions
2A Territorial application of Act
2AC Professional accounting bodies
2B Financial products: credit facility
2BA Declared financial product
2BB Specific things that are not financial products—Australian carbon credit units and eligible international emissions units
2BC Specific things that are not financial products—certain tradeable water rights
2BD Specific things that are not financial products—guarantees issued by the NHFIC
2C Meaning of financial service—off‑market offers for financial products
2D Circumstances in which a person is taken to be provided a traditional trustee company service
2DA Prescribed amount—acquiring financial services as a consumer
2E Prescribed requirements for definition of assert a right to payment
2F Prescribed requirements for warning statements
Part 2—General
3A Professional standards schemes
3B Deferred sales for add‑on insurance products—when consumer enters into a commitment
3 Prescribed agencies (Act s 18(2)(d))
4 Form of notice requiring assistance and appearance for