Document ID: chunk:federal_register_of_legislation:F2024C01109:front:0:p2
Version: federal_register_of_legislation:F2024C01109
Segment Type: other
Provision Reference: 
Character Range: 6031–8894

each Chapter, Part or Rule.

1.1.5 Entities that must comply with these Rules
The following entities must comply with these Rules:
(a)        Market operators;
(b)       Market Participants; and
(c)        Other Regulated Entities,
as specified in each Rule.

1.1.5A Penalties for a contravention of these Rules
The maximum pecuniary penalty payable for a contravention of a provision of these Rules is an amount determined by the Court under section 1317G of the Corporations Act.

1.1.6 Conduct by officers, Employees or agents
In these Rules, conduct engaged in on behalf of a person:
(a)        by an officer, Employee, or other agent of the person, and whether or not within the scope of the actual or apparent authority of the officer, Employee, or other agent; or
(b)       by any other person at the direction or with the consent or agreement (whether express or implied) of an officer, Employee, or other agent of the person, and whether or not the giving of the direction, consent or agreement is within the scope of the actual or apparent authority of the officer, Employee, or other agent,
is deemed to have been engaged in by the person.

1.1.7 State of mind of a person
(1) If for the purposes of these Rules in respect of conduct engaged in by a person, it is necessary to establish the state of mind of the person, it is sufficient to show that an officer, Employee, or other agent of the person, being an officer, Employee, or other agent by whom the conduct was engaged in and whether or not the conduct was within the scope of the actual or apparent authority of that officer, Employee, or other agent, had that state of mind.
(2) In subrule (1), a reference to the state of mind of a person includes a reference to the knowledge, intention, opinion, belief or purpose of the person and the person's reasons for the person's intention, opinion, belief or purpose.

1.1.8 Application for review by Administrative Review Tribunal of certain decisions made under these Rules

     (1) Subject to this Rule, applications may be made to the Tribunal for review of a decision made by ASIC under:
        (a)        subrule 1.2.1(1); or
        (b)       subrule 1.2.1(3); or
        (c)        paragraph 2.2.1(2)(b); or
        (d)       paragraph 2.4.1(2)(f); or
        (e)        subrule 4.1.1(1); or
        (f)        subparagraph 4.1.1(1)(g)(vi); or
        (g)       subrule 4.1.1(2); or
        (h)       rule 4.3.3; or
        (i)         subrule 8.1.1(3); or
        (j)         subrule 8.1.4(3).

     (2) An application made under subrule (1) may only be made by:
        (a)     in relation to paragraphs (a) and (b);

           (i)    the Market Participant that made the application for a waiver of a Rule under Rule 1.2.1;
        (b)     in relation to paragraphs (c) and (d);

           (i)    the Market Participant in respect of