Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:1:p113
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 1 (pt 113/148)
Character Range: 615732–618500

market licensee must keep the following records:
 (a) a list of names and contact details of the directors, secretaries and executive officers of the market licensee;
 (b) a list of names and contact details of individuals who hold more than 15% of the voting power in the market licensee, prepared in accordance with the information given under regulation 7.4.04.
 (2) The market licensee must keep the records for at least 5 years.

7.4.03  Record‑keeping: CS facility licensee
 (1) For paragraph 854A(1)(b) of the Act, a CS facility licensee must keep the following records:
 (a) a list of names and contact details of the directors, secretaries and executive officers of the CS facility licensee;
 (b) a list of names and contact details of individuals who hold more than 15% of the voting power in the CS facility licensee, prepared in accordance with the information given under regulation 7.4.04.
 (2) The CS facility licensee must keep the records for at least 5 years.

7.4.04  Information for widely held market body
 (1) This regulation applies to a person who has:
 (a) a substantial holding in a widely held market body; and
 (b) voting power in the widely held market body.
 (2) For paragraph 854A(1)(d) of the Act, the person must give that information to the widely held market body.
 (3) However, subregulation (2) does not require the person to give information that the person has already given to the widely held market body in accordance with Chapter 6C of the Act.
 (4) The person must give the information by the time described in subsection 671B(6) of the Act.

Part 7.5—Compensation regimes for financial markets

Division 1—Preliminary

7.5.01  Definitions for Part 7.5
  In this Part:
becoming insolvent has the meaning given by regulation 7.5.02.
claim means a claim against the SEGC.
dealer has the meaning given by regulation 7.5.03.
discharge, in relation to an obligation, means:
 (a) in the case of a purchase obligation—discharge the whole of the obligation; or
 (b) in any other case—discharge the whole or a part of the obligation.
excluded person has the meaning given by regulation 7.5.04.
obligations:
 (a) in relation to a participant of a participating market licensee, in relation to a person, includes obligations arising under:
 (i) a law; or
 (ii) the participating market licensee's operating rules; or
 (iv) an agreement between;
 (A) in any case—the participant and the person; or
 (B) if the participant is a partner in a participant of the participating market licensee—the last‑mentioned participant and the person; and
 (b) in relation to a participant of the licensed CS facility operated by ACH, in relation to a person, includes obligations arising under:
 (i) a law; or
 (ii) the operating rules of ACH; or
 (iv)