Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.15

Obligations of securities clearing house: disciplinary action

             (1)  This regulation applies if:

                     (a)  the securities clearing house was required under section 779E of the old Corporations Act, before the FSR commencement, to lodge written particulars relating to disciplinary action; and

                     (b)  the securities clearing house 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 821B(2)(b) of the Act.



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