Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 7.2.11

Information

                   For paragraph 795A(1)(a) of the Act, the following information is required as part of an application by the body corporate for an Australian market licence:

                     (a)  the body corporate's name, address and contact details;

                     (b)  the name, address and contact details of any person who will act on behalf of the body corporate in relation to the application;

                     (c)  details of the body corporate's major shareholders and organisation, including:

                              (i)  the name, address and contact details of each director; and

                             (ii)  the name, address and contact details of each secretary; and

                            (iii)  the name, address and contact details of each executive officer of the body corporate; and

                            (iv)  whether any director, secretary or executive officer is, or has been, disqualified from managing a corporation under a law of this jurisdiction or another jurisdiction;

                     (d)  a description of the body corporate's business or functions, other than the operation of the proposed market;

                     (e)  details of the financial products to be traded on the proposed market;

                      (f)  whether the proposed market will involve the provision of a financial product to a person as a retail client;

                     (g)  details of the clearing and settlement arrangements that have been made, or are proposed, for the proposed market;

                     (h)  details of the technological resources that will be used in the operation of the market, including details of:

                              (i)  the purpose of the resources; and

                             (ii)  how the resources are to be supplied, managed, maintained and upgraded; and

                            (iii)  how the security of information technology systems is to be protected;

                      (i)  details of the arrangements for dealing with conflicts between the body corporate's commercial interests and its obligations to supervise and monitor the market;

                      (j)  details of the arrangements for the supervision of employees of the body corporate who have duties and responsibilities of a kind that supervision of the employees is necessary to protect the integrity of the operation of the proposed market;

                     (k)  if the ACCC has made a decision in relation to the market that the body corporate will operate--details of the decision.



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