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Contents

Long Title

Part I PRELIMINARY

Part II MARKETS

Division 1 — Establishment of Markets

Subdivision 1 Approved exchange and recognised market operator

Subdivision 2 Exempt market operator

Division 2 — Regulation of Approved Exchanges

Subdivision 1 Obligations of approved exchanges

Subdivision 2 Rules of approved exchanges

Subdivision 3 Matters requiring approval of Authority

Subdivision 4 Powers of Authority

Subdivision 5 Immunity

Division 3 — Regulation of Recognised Market Operators

Division 4 — General Powers of Authority

Division 5 — Voluntary Transfer of Business of Approved Exchange or Recognised Market Operator

Part IIA TRADE REPOSITORIES

Division 1 — Licensing of Trade Repositories

Division 2 — Regulation of Licensed Trade Repositories

Subdivision 1 Obligations of licensed trade repositories

Subdivision 2 Rules of licensed trade repositories

Subdivision 3 Matters requiring approval of Authority

Subdivision 4 Powers of Authority

Subdivision 5 Immunity

Division 3 — Regulation of Licensed Foreign Trade Repositories

Division 4 — General Powers of Authority

Division 5 — Voluntary Transfer of Business of Licensed Trade Repository or Licensed Foreign Trade Repository

Part III CLEARING FACILITIES

Division 1 — Establishment of Clearing Facilities

Division 2 — Regulation of Approved Clearing Houses

Subdivision 1 Obligations of approved clearing houses

Subdivision 2 Rules of approved clearing houses

Subdivision 3 Matters requiring approval of Authority

Subdivision 4 Immunity

Division 3 — Regulation of Recognised Clearing Houses

Division 4 — Insolvency

Division 5 — General Powers of Authority

Division 6 — Voluntary Transfer of Business of Approved Clearing House or Recognised Clearing House

Part IIIA APPROVED HOLDING COMPANIES

Division 1 — Establishment of Approved Holding Companies

Division 2 — Regulation of Approved Holding Companies

Division 3 — Voluntary Transfer of Business of Approved Holding Company

Part IV HOLDERS OF CAPITAL MARKETS SERVICES LICENCE AND REPRESENTATIVES

Division 1 — Capital Markets Services Licence

Division 1A — Voluntary Transfer of Business of Holder of Capital Markets Services Licence

Division 2 — Representatives

Division 3 — General

Part V BOOKS, CUSTOMER ASSETS AND AUDIT

Division 1 — Books

Division 2 — Customer Assets

Division 3 — Audit

Part VI CONDUCT OF BUSINESS

Division 1 — General

Part VIA REPORTING OF DERIVATIVES CONTRACTS

Part VIB CLEARING OF DERIVATIVES CONTRACTS

Part VII DISCLOSURE OF INTERESTS

Division 1 — Disclosure of Interest in Corporation

Subdivision 1 Disclosure by directors and chief executive officer of corporation

Subdivision 2 Disclosure by substantial shareholders in corporation

Subdivision 3 Disclosure by corporation

Division 2 — Disclosure of Interest in Business Trust and Interest in Trustee-Manager of Business Trust

Subdivision 1 Disclosure by substantial unitholders of business trust

Subdivision 2 Disclosure by directors and chief executive officer of trustee-manager of business trust

Subdivision 3 Disclosure by holders of voting shares in trustee-manager

Subdivision 4 Disclosure by trustee-manager

Division 3 — Disclosure of Interests in Real Estate Investment Trust and Interests in Shares of Responsible Person

Subdivision 1 Disclosure by substantial unitholders of real estate investment trust

Subdivision 2 Disclosure by directors and chief executive officer of responsible person

Subdivision 3 Disclosure by holders of voting shares in responsible person

Subdivision 4 Disclosure by responsible person

Division 4 — Civil Penalty

Part VIII SECURITIES INDUSTRY COUNCIL AND TAKE-OVER OFFERS

Part IX SUPERVISION AND INVESTIGATION

Division 1 — Supervisory Powers

Subdivision 1 Powers of Authority to require disclosure of information about securities and futures contracts

Subdivision 2 Inspection powers of Authority

Subdivision 3 Inspection powers of foreign regulatory authority

Division 2 — Power of Minister to Appoint Inspector for Investigating Dealings in Securities, etc.

Division 3 — Investigative Powers of Authority

Subdivision 1 General

Subdivision 2 Examination of persons

Subdivision 3 Powers to obtain information

Division 4 — Transfer of Evidence

Part X ASSISTANCE TO FOREIGN REGULATORY AUTHORITIES

Part XI INVESTOR COMPENSATION SCHEME

Part XII MARKET CONDUCT

Division 1 — Prohibited Conduct — Securities

Division 2 — Prohibited Conduct — Futures Contracts, Leveraged Foreign Exchange Trading

Division 3 — Insider Trading

Division 4 — Civil Liability

Division 5 — Attributed Liability

Subdivision 1 Corporations

Subdivision 2 Partnerships and limited liability partnerships

Subdivision 3 Officers, partners, etc., of entities

Subdivision 4 General

Division 6 — Miscellaneous

Part XIII OFFERS OF INVESTMENTS

Division 1 — Shares and Debentures

Subdivision 1 Interpretation

Subdivision 2 Prospectus requirements

Subdivision 3 Debentures

Subdivision 4 Exemptions

Division 1A — Business Trusts

Subdivision 1 Interpretation

Subdivision 2 Prospectus requirements

Subdivision 2A Recognised business trusts

Subdivision 3 Exemptions

Subdivision 4 Debentures

Division 2 — Collective Investment Schemes

Subdivision 1 Interpretation

Subdivision 2 Authorisation and recognition

Subdivision 2A Voluntary transfer of business of approved trustee

Subdivision 3 Prospectus requirements

Subdivision 4 Exemptions

Division 3 — Securities Hawking

Part XIV APPEALS

Part XV MISCELLANEOUS

FIRST SCHEDULE Market

SECOND SCHEDULE Regulated Activities

THIRD SCHEDULE Specified Persons

FOURTH SCHEDULE Specified Provisions

Legislative Source Key

Legislative History

Comparative Table

 
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314.  [Repealed by Act 1/2005]