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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

Part III CLEARING FACILITIES

Division 1 — Establishment of Clearing Facilities

Division 2 — Designation of Persons Operating Clearing Facilities

Division 3 — Regulation of Designated Clearing Houses

Subdivision (1) — Obligations of designated clearing houses

Subdivision (2) — Rules of designated clearing houses

Subdivision (3) — Matters requiring approval of Authority

Subdivision (4) — Powers of Authority

Subdivision (5) — Immunity

Division 4 — Insolvency

Division 5 — General Powers of Authority

Part IIIA APPROVED HOLDING COMPANIES

Division 1 — Establishment of Approved Holding Companies

Division 2 — Regulation of Approved Holding Companies

Part IV CAPITAL MARKETS SERVICES LICENCE AND REPRESENTATIVE’S LICENCE

Division 1 — Licensing

Division 2 — Exemptions

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

Division 2 — Securities

Division 3 — Futures Contracts and Leveraged Foreign Exchange Trading

Part VII DISCLOSURE OF INTERESTS

Division 1 — Registers of Interests in Securities

Division 2 — Disclosure by Substantial Shareholders

Division 3 — Disclosure by Substantial Unitholders

Part VIII SECURITIES INDUSTRY COUNCIL AND TAKE-OVER OFFERS

Part IX SUPERVISION AND INVESTIGATION

Division 1 — Supervisory Powers of Authority

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

Subdivision (2) — Inspection powers of 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

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

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 (3) — Exemptions

Subdivision (4) — Debentures

Division 2 — Collective Investment Schemes

Subdivision (1) — Interpretation

Subdivision (2) — Authorisation and recognition

Subdivision (3) — Prospectus requirements

Subdivision (4) — Exemptions

Division 3 — Securities Hawking

Part XIV APPEALS

Part XV MISCELLANEOUS

FIRST SCHEDULE

SECOND SCHEDULE Regulated Activities

THIRD SCHEDULE Specified Persons

FOURTH SCHEDULE Specified Provisions

Legislative Source Key

Legislative History

Comparative Table

 
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On 20/12/2014, you requested the version as published on or before 20/12/2014.
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Power of securities exchange or futures exchange to require production of evidence
190.
—(1)  A securities exchange or futures exchange may require any person to produce and deliver any contract note, document or statement of evidence necessary to support any claim made, or necessary for the purpose either of exercising its rights against a member of a securities exchange or futures exchange or the directors of that member or any other person concerned, or of enabling criminal proceedings to be taken against any person in respect of a defalcation.
(2)  Where a person who is required under subsection (1) to produce or deliver any contract note, document or statement of evidence fails to do so, the securities exchange or futures exchange may disallow any claim by him under this Part.
[SIA, s. 91; FTA, s. 49M]