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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 19/05/2013, you requested for the version in force on 19/05/2013 incorporating all amendments published on or before 19/05/2013. The closest version currently available is that of 01/04/2006.
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Size, durability and legibility of records delivered to Authority
318.
—(1)  For the purposes of securing that the records furnished to or lodged with the Authority under this Act are of a standard size, durable and easily legible, the Authority may prescribe such requirements (whether as to size, weight, quality or colour of paper, size, type or colour of lettering, or otherwise) as it considers appropriate; and different requirements may be so prescribed for different documents or classes of documents.
(2)  Where the Authority is of the opinion that any record (whether an original or copy thereof) delivered to the Authority does not comply with such requirements prescribed under this section, the Authority may serve on any person by whom under that provision the record was required to be delivered (or if there are 2 or more such persons, may serve on any of them) a notice —
(a)
stating its opinion to that effect; and
(b)
indicating the requirements so prescribed with which the record has failed to comply.
(3)  Where the Authority serves a notice under subsection (2) with respect to a record delivered under this Act, then, for the purposes of any provision of this Act which enables a penalty to be imposed in respect of any omission to deliver to the Authority such record (and, in particular, for the purposes of any such provision whereby a penalty may be imposed by reference to each day during which the omission continues) —
(a)
any duty imposed by that provision to deliver the record to the Authority shall be treated as not having been discharged; but
(b)
no account shall be taken of any days falling within the period referred to in subsection (4).
(4)  The period referred to in subsection (3)(b) is the period beginning on the day on which the record was delivered to the Authority as mentioned in subsection (2) and ending on the 14th day after the date of service of the notice under subsection (2).
(5)  For the purposes of this section, any reference to delivering a record shall be construed as including a reference to sending, forwarding, producing, furnishing, lodging or (in the case of a notice) giving the record.
[Companies, s. 15]