1

7.1

definitions of key concepts and of commonly occurring expressions

2

7.2

licensing of financial markets

other matters relating to financial markets

2A

7.2A

supervision of financial markets

3

7.3

licensing of clearing and settlement facilities

other matters relating to clearing and settlement facilities

4

7.4

limitation on ownership of certain licensees

individuals who are disqualified from being involved in certain licensees

5

7.5

compensation regimes for financial markets

5A

7.5A

regulation of derivative transactions and derivative trade repositories

6

7.6

licensing of providers of financial services

other related matters (e.g. restrictions on use of terminology; agreements with unlicensed persons relating to provision of financial services)

7

7.7

disclosure requirements for financial services licensees and their authorised representatives

disclosure requirements for certain people who are not required to be licensed

7A

7.7A

best interests obligations

charging ongoing fees to clients

ban on conflicted remuneration and other remuneration

8

7.8

other conduct requirements for financial services licensees (e.g. dealing with client money and property; financial records, statements and audit)

special provisions relating to insurance

special provisions relating to margin lending facilities

8A

7.8A

design and distribution requirements relating to financial products

9

7.9

financial product disclosure requirements

other requirements relating to issue, sale and purchase of financial products

9A

7.9A

intervention powers in relation to financial products

10

7.10

market misconduct and other prohibited conduct relating to financial products and services

10A

7.10A

authorisation and regulation of an external dispute resolution scheme for financial complaints

additional provisions relating to superannuation complaints

11

7.11

title to, and transfer of, certain securities and other financial products

12

7.12

qualified privilege in certain situations

other miscellaneous matters