Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.12

Obligations of securities exchange: disciplinary action

             (1)  This regulation applies if:

                     (a)  a securities exchange was required, before the FSR commencement, to lodge written particulars under subsection 776(2) of the old Corporations Act of disciplinary action it had taken; and

                     (b)  the securities exchange had not complied with the requirement before the FSR commencement; and

                     (c)  the period for compliance had not expired before the FSR commencement.

             (2)  On and after the FSR commencement, the requirement is taken to be a requirement under paragraph 792B(2)(b) of the Act.

             (3)  The market licensee to which subregulation (2) relates is taken to have complied with its obligations under paragraph 792B(2)(b) of the Act if it complies with those obligations as soon as practicable after the FSR commencement.



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