Commonwealth Consolidated Regulations Commonwealth Consolidated Regulations(1) For the purposes of subsections 1234K(1) and (2) of the Act, subsections 1234J(1) to (3) of the Act do not apply in relation to the class of assets of a sub - fund of a CCIV that consists of assets that:
(a) are of any of the following kinds (the prescribed assets ):
(i) Australian or foreign currency;
(ii) rights to Australian or foreign currency that is held in a deposit - taking facility made available by an ADI (within the meaning of the Banking Act 1959 );
(iii) rights to Australian or foreign currency that is held in a deposit - taking facility made available by a body corporate that is authorised to carry on a banking business (within the meaning of that Act) in a foreign country;
(b) are held in accordance with the requirements mentioned in subregulation (2).
(2) For the purposes of subregulation (1), the following requirements apply in relation to the holding, by a person, of assets of a sub - fund of a CCIV that are prescribed assets:
(a) a requirement that the person holds the prescribed assets separately from any money or property of the person;
(b) a requirement that there are adequate safeguards in place for the protection of the prescribed assets, including if the assets of another sub - fund of the CCIV or the assets of another entity are subject to external administration;
(c) a requirement that the person do all things necessary to ensure that not holding the prescribed assets in accordance with subsections 1234J(1) to (3) of the Act does not restrict the CCIV's capacity to exercise any rights in respect of the prescribed assets;
(d) a requirement that the person do all things necessary to ensure that a reconciliation of the prescribed assets occurs:
(ii) if it is ordinary and reasonable, in commercial practice, to reconcile assets of the same class less frequently--as frequently as reconciliation of assets of that class would occur in accordance with that practice ;
(e) if there is a discrepancy in the reconciliation of the prescribed assets--a requirement that the person do all things necessary to rectify the discrepancy within the period of 2 business days starting after the day the person identifies, or becomes aware of, the discrepancy;
(f) a requirement that the person:
(i) keep adequate records of the prescribed assets; and
(ii) provide reasonable assistance to the corporate director of the CCIV.
Note: For the purposes of paragraph (e), one of the ways a discrepancy may be rectified is through the provision of additional property by the CCIV at the request of the person holding the property.
Compilation No. 195
Compilation date: 1 March 2024
Includes amendments: F2024L00199
Registered: 6 March 2024
This compilation is in 7 volumes
Volume 1: regulations 1.0.01- 6D.5.03
Volume 2: regulations 7.1.04- 7.6.08E
Volume 3: regulations 7.7.01- 8B.5.20
Volume 4: regulations 9.1.01- 12.9.03
Volume 5: Schedules 1, 2 and 2A
Volume 6: Schedules 3-13
Volume 7: Endnotes
Each volume has its own contents
About this compilation
This compilation
This is a compilation of the Corporations Regulations 2001 that shows the text of the law as amended and in force on 1 March 2024 (the compilation date ).
The notes at the end of this compilation (the endnotes ) include information about amending laws and the amendment history of provisions of the compiled law.
Uncommenced amendments
The effect of uncommenced amendments is not shown in the text of the compiled law. Any uncommenced amendments affecting the law are accessible on the Register (www.legislation.gov.au). The details of amendments made up to, but not commenced at, the compilation date are underlined in the endnotes. For more information on any uncommenced amendments, see the Register for the compiled law.
Application, saving and transitional provisions for provisions and amendments
If the operation of a provision or amendment of the compiled law is affected by an application, saving or transitional provision that is not included in this compilation, details are included in the endnotes.
Editorial changes
For more information about any editorial changes made in this compilation, see the endnotes.
Modifications
If the compiled law is modified by another law, the compiled law operates as modified but the modification does not amend the text of the law. Accordingly, this compilation does not show the text of the compiled law as modified. For more information on any modifications, see the Register for the compiled law.
Self - repealing provisions
If a provision of the compiled law has been repealed in accordance with a provision of the law, details are included in the endnotes.
Part 9.1--Registers and registration of documents
9.1.01 Prescribed registers
Part 9.2--Registration of auditors
9.2.01 Practical experience in auditing (Act s 1280(2))
9.2.02 Prescribed universities and institutions (Act ss 1280(2A))
9.2.03 Prescribed courses (Act s 1280(2A))
Division 2A--Conditions on registration
9.2.08 Kinds of conditions (Act s 1289A)
Part 9.2A--Authorised audit companies
9.2A.01 Application for registration as authorised audit company (Act s 1299A)
9.2A.03 Annual statements by authorised audit company (Act s 1299G)
Part 9.4A--Register and index
9.4A.01 Definitions for Part 9.4A
9.4A.02 Register and index must be kept up to date: subsection 1306(4A) of the Act
Part 9.4AB--Infringement notices
9.4AB.01 Prescribed offences (Act s 1317DAN)
9.4AB.02 Prescribed civil penalty provisions (Act s 1317DAN)
Part 9.5--Delegation of powers and functions under the Act
9.5.01 Prescribed functions (Law s 1345A(1))
Part 9.7--Unclaimed property
9.7.01 Entitlement to unclaimed property
Part 9.10--Fees imposed by the Corporations (Fees) Act 2001 and the Corporations (Review Fees) Act 2003
9.10.01 Penalty for failure to pay review fee on time--prescribed penalty (Act s 1364)
Part 9.12--Matters relating to regulations
9.12.01 Exemptions from Chapter 7
9.12.02 Exemption from provisions of Chapter 7--CLS Bank
9.12.03 Partial exemption of foreign - based market licensees from certain notification obligations
9.12.03A Exemption from provisions of Chapter 7--compliance with ASIC exemptions
9.12.04 Exemption from provisions of Chapter 7--carbon unit auctions
9.12.05 Exemption from provisions of Chapter 7--gas trading exchange
Chapter 10--Repeals, transitional matters and application provisions
Part 10.2--Transitional arrangements relating to Financial Services Reform legislation
10.2.01 Application of Part 10.2
10.2.02 Definitions
10.2.02A References to transition periods
10.2.02B References to the application of Division 2 of Part 7.9 of the Act
Division 1A--Treatment of proposed markets that have not started to operate by the FSR commencement
10.2.02C Proposed markets
Division 2--Transitional arrangements relating to business rules or listing rules
Subdivision 2.1--Business rules
10.2.03 Amendment of business rules of securities exchange before FSR commencement
10.2.04 Amendment of SCH business rules before FSR commencement
10.2.05 Amendment of SEGC business rules before FSR commencement
10.2.06 Amendment of business rules of futures body before FSR commencement
Subdivision 2.2--Listing rules
10.2.07 Amendment of listing rules of securities exchange before FSR commencement
Division 3--Status of directions and notices
10.2.08 Direction to securities exchange to comply with ongoing requirements
10.2.09 Notice to securities exchange of need to prohibit trading
10.2.10 Notice to securities exchange prohibiting trading
10.2.11 Direction to futures exchange--orderly market
Division 4--Assistance to ASIC
10.2.12 Obligations of securities exchange: disciplinary action
10.2.13 Obligations of securities exchange: particulars of contravention
10.2.14 Obligations of securities exchange: information about listed disclosing entity
10.2.15 Obligations of securities clearing house: disciplinary action
10.2.16 Obligations of futures body: disciplinary action
10.2.17 Obligations of futures body: particulars of contravention
10.2.18 Obligations of clearing house for futures exchange: information about listed disclosing entity
10.2.19 Special report by securities exchange about compliance with ongoing requirements
10.2.20 Special report by securities exchange about compliance with ongoing requirements: ASIC requirements
Division 5A--Transactions by holder of financial services licence or a representative of the holder of such a licence
10.2.20A References to financial service licensee
Division 5B--Obligation to pay money into account
10.2.20B Financial products quoted on Australian Stock Exchange Limited
10.2.21 Status of arrangements for self - listing
10.2.22 Status of exemption relating to self - listing
Division 7--Decisions about membership of futures exchange
10.2.23 Status of notice to applicant
10.2.24 Status of notice to ASIC
Division 8--National Guarantee Fund
10.2.25 Status of claim against the National Guarantee Fund
10.2.26 Entitlement to make claim against the National Guarantee Fund
10.2.27 Status of future claim against the National Guarantee Fund
10.2.27A Expenditure of excess funds from National Guarantee Fund
Division 9--Claims against fidelity funds
10.2.28 Status of claim against fidelity fund
10.2.29 Entitlement to make claim against fidelity fund
10.2.29A Status of incomplete claim against fidelity fund
10.2.30 Status of future claim against fidelity fund
Division 10--Status of netting markets
10.2.32 Netting market approval granted before the FSR commencement
Division 11--Status of listed securities
10.2.33 Securities of exempt stock markets
10.2.34 Preservation of nomination of body corporate as SEGC
Division 13--Regulated principals
10.2.35 Definitions
10.2.35A Streamlined licensing procedure for certain regulated principals
10.2.36 Persons who are not covered by section 1433 of the Act
10.2.37 Variation of conditions on financial services licence
10.2.38 Persons taken to be regulated principals: giving of incidental advice and previously exempt persons
10.2.39 Reference to offer covered by Australian financial services licence: section 911A of the Act
10.2.40 Reference to financial services licensee: section 911A of the Act
10.2.40A Need for an Australian financial services licence
10.2.41 Reference to second principal: section 911B of the Act
10.2.42 Reference to financial services licensee: section 916D of the Act
10.2.43 Status of insurance agent: section 1436A of the Act
10.2.44A Obligation to cite licence number in documents
10.2.46 When Australian financial services licence may be granted
10.2.46A When Australian financial services licence may be varied
10.2.47A Modification of pre - FSR authority
Division 14--Financial services disclosure
10.2.48 Obligation to give Financial Services Guide for service arranged before application of Part 7.7 of the Act
10.2.48A Obligation to give a Financial Services Guide for a custodial and depository service
10.2.49 Obligation to give Financial Services Guide in relation to existing clients
10.2.50 Content of Financial Services Guide for an authorised representative that is a regulated principal or a representative of a regulated principal
10.2.50A Treatment of arrangements under which a person can instruct another person to acquire a financial product
Division 15--Other provisions relating to conduct etc
10.2.51 Sale offers that need disclosure
10.2.52 Offers that do not need disclosure: small scale offerings
10.2.52A Offers that do not need disclosure
10.2.53 Money other than loans: financial services licensee who formerly held dealer's licence
10.2.54 Money other than loans: financial services licensee who formerly held futures broker's licence
10.2.55 Money other than loans: financial services licensee who was formerly a registered insurance broker
10.2.56 Money other than loans: financial services licensee who ceases to be licensed
10.2.57 Loan money: financial services licensee who formerly held dealer's licence
10.2.58 Other property of clients: financial services licensee who formerly held dealer's licence
10.2.59 Other property of clients: financial services licensee who formerly held futures broker's licence
10.2.60 Special provisions relating to insurance: financial services licensee who was formerly a registered insurance broker
10.2.61 Obligation to report: financial services licensee who formerly held a futures broker's licence
10.2.62 Reporting in relation to dealings in derivatives: financial services licensee who formerly held a dealer's licence
10.2.63 Financial statements of financial services licensee: general
10.2.64 Financial statements of financial services licensees who were certain regulated principals
10.2.65 Auditors: certain financial services licensee who formerly held dealer's licence
10.2.66 Auditors: certain financial services licensees who held a futures broker's licence
10.2.67 Auditor's report in certain matters: financial services licensee who formerly held a dealer's licence
10.2.68 Auditor's report on certain matters: financial services licensee who formerly held a futures broker's licence
10.2.69 Auditor's report on certain matters: financial services licensee who was formerly a registered insurance broker
10.2.70 Priority to clients' orders: financial services licensee who held a dealers licence
10.2.71 Sequencing of instructions to deal through licensed markets: financial services licensee who formerly held a futures brokers licence
10.2.72 Records relating to instructions to deal through licensed markets: financial services licensee who held a futures brokers licence
10.2.73 Dealing with non - licensees: financial services licensee who held a dealers licence
10.2.73A Advertising for financial products
Division 16--Product disclosure provisions for existing products during transition period
10.2.74 Financial products in the same class
10.2.75 References to financial services licensee
10.2.76 References to retail client
10.2.77 References to issue of product
10.2.78 References to Product Disclosure Statement: offer previously accepted
10.2.79 References to Product Disclosure Statement: managed investment products
10.2.80 Lodgment of Product Disclosure Statement after lodgment of notice
10.2.82 Money received for financial product before the product is issued: general
10.2.83 Money received for financial product before the product is issued: requirement before application of subsection 37(2) of Insurance (Agents and Brokers) Act 1984
10.2.84 Confirmation of transactions
10.2.85 Dispute resolution requirements: financial products
10.2.86 Dispute resolution requirements: regulated principals
10.2.87A Meaning of financial product advice : exempt document or statement
Division 17--Arrangements relating to enforcement of matters by ASIC
10.2.88 Definition
10.2.89 Financial services law
10.2.90 ASIC may have regard to prior conduct and events
10.2.91 Power to act in relation to relevant old legislation
Division 18--Specific kinds of documents in existence before FSR commencement
10.2.92 Banning orders made before FSR commencement
10.2.93 Banning orders made under relevant old legislation after FSR commencement
10.2.94 Banning orders made under the Act after FSR commencement
10.2.94A Prohibitions under paragraphs 827(1)(d) and 1192(1)(d) of the old Corporations Act made before FSR commencement
10.2.94B Prohibitions under paragraphs 827(1)(d) and 1192(1)(d) of the old Corporations Act made after FSR commencement
10.2.96 Registers in existence before FSR commencement
10.2.97 Registers created after FSR commencement
10.2.98 Registers, documents and things kept before FSR commencement
10.2.98A Licenses, registration, etc in force before FSR commencement
Division 19--Extension of limitation periods
10.2.99 Application of items 111 and 121 of the Financial Services Reform (Consequential Provisions) Act 2001 to amendments of the Australian Securities and Investments Commission Act 2001
Division 20--Rules for dealing with liability during transition period
10.2.100 Application of Division 20
10.2.101 Definitions for Division 20
10.2.102 Liability of responsible person: general rules
10.2.103 Conduct by a person who operates as representative and principal
10.2.104 Operation of regulations 10.2.102 and 10.2.103
Division 21--Title and transfer
10.2.105 Loss or destruction of certificates
10.2.106 Instrument of transfer
10.2.107 Trustee etc may be registered as owner of shares
10.2.108 Registration of transfer at request of transferor
10.2.109 Notice of refusal to register transfer
10.2.110 Duties of company with respect to issue of certificates: allotment of shares or debentures or making interests available
10.2.111 Duties of company with respect to issue of certificates: transfer of shares, debentures or interests
10.2.112 Notices relating to non - beneficial and beneficial ownership of shares
10.2.113 What is a sufficient transfer of marketable securities or marketable rights: general
10.2.114 Sufficient transfer by authorised trustee corporation
10.2.115 Determination of who holds quoted securities for the purposes of a meeting: determination made before FSR commencement
Division 22--Transitional matters under relevant old legislation: Financial Transaction Reports Act 1988
10.2.117 Exempt cash transaction
Division 23--Transitional matters under relevant old legislation: Income Tax Assessment Act 1936
10.2.118 Offshore banking units
Division 24--Transitional matters under relevant old legislation: Insurance Act 1973
10.2.119 Insurers carrying on class of insurance business
Division 24A--Transitional matters under relevant old legislation: Insurance (Agents and Brokers) Act 1984
10.2.119A Debts of broker in relation to premiums etc
10.2.119B Disqualifications made before FSR commencement
10.2.119C Disqualifications made after FSR commencement
Division 25--Transitional matters under relevant old legislation: Marine Insurance Act 1909
10.2.120 Marine policy effected through broker
Division 25A--Transitional matters under relevant old legislation: Retirement Savings Accounts Regulations 1997
10.2.120A Continuation of RSA Regulations during transition period
Division 25B--Transitional matters under relevant old legislation: Superannuation Industry (Supervision) Regulations 1994
10.2.120B Continuation of SIS Regulations during transition period
Division 27--Transitional matters under the Act (other than Chapter 7)
10.2.122 Solvency and insolvency
10.2.123 Managed investment products held by 100 or more persons
10.2.124 When a managed investment scheme must be registered
10.2.125 Responsible entity to be a public company and hold an Australian financial services licence
10.2.126 Duties of officers of responsible entity
10.2.128 Situations not giving rise to relevant interests
10.2.129 Bidder's statement content
10.2.130 Continuous disclosure: other disclosing entities
10.2.131 Sale offers that need disclosure: securities issued before FSR commencement
10.2.132 Offers that do not need disclosure: offer to sophisticated investor through licensed dealer
10.2.133 Prospectus content: general disclosure test
10.2.134 Prospectus content--specific disclosures
10.2.135 Registers
Division 27A--Transitional matters under other legislation
10.2.135A References to authorised foreign exchange dealers
Division 28--Retail clients and wholesale clients
10.2.136 Securities before the FSR commencement
10.2.137 Incomplete financial services
10.2.138 Professional investors
Division 29--Effect on definitions in old Corporations Act of transition to licensed markets and licensed CS facilities
10.2.139 Approved foreign bank
10.2.140 Eligible exchange - traded options
10.2.143 Non - broker
Division 30--Effect on certain conduct of transition to licensed markets and licensed CS facilities
10.2.147 Own account dealings and transactions: futures contracts
10.2.148 Conditions of dealers licence
10.2.149 Persons who are not clients
10.2.150 Dealings and transactions on a dealer's own account
10.2.151 Dealer to give priority to clients' orders
10.2.152 Dealers' financial records
10.2.153 Auditor to report to ASIC on certain matters
10.2.154 Qualified privilege for auditor
10.2.155 Court may freeze certain bank accounts of dealers and former dealers
10.2.156 Interpretation--registers
10.2.157 Conditions of futures broker's licence: membership of futures organisation
10.2.158 Futures organisation to be informed about conditions of futures brokers licence
10.2.159 Licensee to notify breach of licence condition
10.2.160 Register of Futures Licensees
10.2.162 Segregation of client money and property
10.2.163 Accounts to be kept by futures brokers
10.2.164 Property in custody of futures broker
10.2.165 Auditor to report to ASIC in certain cases
10.2.167 Power of Court to restrain dealings with futures broker's bank accounts
10.2.168 Power of Court to restrain dealings with futures broker's bank accounts
10.2.169 Sequence of transmission and execution of orders
10.2.170 Dealings by employees of futures brokers and futures advisers
Division 31--Effect on fundraising of transition to licensed markets and licensed CS facilities
10.2.171 Sale offers that need disclosure
10.2.172 Prospectus content--specific disclosures
10.2.173 Issuing or transferring the securities under a disclosure document
10.2.174 Choices open to person making an offer if disclosure document condition not met or disclosure document defective
10.2.175 Restrictions on advertising and publicity
Division 32--Effect on product disclosure of transition to licensed markets and licensed CS facilities
10.2.176 Offers that do not need disclosure
10.2.177 Prospectus content--general disclosure test
10.2.178 Prospectus content--specific disclosures
10.2.179 Futures broker to give certain information to prospective client
Division 33--Effect on Corporations Regulations 2001 of transition of financial service providers and transition to licensed markets and licensed CS facilities
10.2.180 Licence conditions--investment advice to retail investors
10.2.181 Exemption from licensing--certain dealings
10.2.182 Exemption from licensing--managed investment schemes
10.2.184 Exempt securities and interests
10.2.185 Transactions in prescribed circumstances
10.2.187 Charging brokerage on principal transactions
10.2.188 Exemption from subsection 844(2) of old Corporations Act
10.2.189 Exemption: Part 8.3 of old Corporations Act--certain futures contracts
10.2.190 Exemption of certain transactions from subsection 1206(1) of old Corporations Act
10.2.191 Exemption of certain transactions from subsection 1207(1) of the old Corporations Act
10.2.192 Which futures broker to comply with subsection 1207(1) of old Corporations Act in relation to certain transactions
10.2.193 Exemption of certain transactions from paragraphs 1207(1)(g) and (h) of old Corporations Act
Division 34--Effect on certain instruments of transition of financial service providers and transition to licensed markets and licensed CS facilities
10.2.194 References to certain matters
Division 35--Streamlined licensing
10.2.195 Suspension or cancellation of streamlined licence
Division 36--Insurance multi - agents
10.2.196 Application by holder of qualified licence
Division 37--Hawking of managed investment products
10.2.197 Hawking interest in managed investment scheme
10.2.198 Hawking financial product--other arrangements
Division 38--Security bonds issued before FSR commencement
Division 39--Disclosure documents
10.2.200 Disclosure documents--cooling - off period
Division 41--Requirements if Product Disclosure Statement is not in existence
10.2.202 Documents equivalent to Product Disclosure Statement
Division 42--Dealing with money received for financial product before the product is issued
10.2.203 Payment of money into account
Division 43--Arrangements related to deposits with stock exchanges
10.2.204 Withdrawals from trust account
Division 44--Superannuation to which arrangements apply under the Family Law Act 1975
10.2.205 Application of amendments
Division 45--Arrangements relating to certain reporting periods
10.2.206 Fund information for retail clients for financial products that have an investment component: superannuation
10.2.207 Periodic statements for retail clients for financial products that have an investment component
Division 46--Arrangements relating to passbook accounts
10.2.209 Confirmation of transactions
Division 47--Agreements with unlicensed persons relating to the provision of financial services
Division 48--Arrangements for Lloyd's
Division 49--Hawking of certain financial products
10.2.212 Hawking of managed investment products
Division 50--Warrants or options to acquire issued securities
10.2.213 Warrants or options to acquire issued securities
Division 52--Winding up of fidelity funds if market ceases to operate
10.2.215 Winding up of fidelity funds if market ceases to operate
Part 10.5--Transitional provisions relating to the Corporate Law Economic Reform Program (Audit Reform and Corporate Disclosure) Act 2004
10.5.01 Adoption of auditing standards made by accounting profession before commencement (Act ss 1455(1) and (3))
Part 10.15--Transitional provisions relating to the Corporations Amendment (Financial Market Supervision) Act 2010
10.15.01 Application of Part 10.15
10.15.02 Amendments not to apply to certain operators of licensed markets
10.15.03 Transfer of documents
10.15.04 Notifications, consents, waivers, etc
10.15.05 Notification given by participant to operator of licensed market
10.15.06 Registers
Part 10.18--Transitional provisions relating to Corporations Amendment (Further Future of Financial Advice Measures) Act 2012
Part 10.19--Transitional matters relating to MySuper measures
10.19.01 Changes to product disclosure statements and periodic statements
Part 10.21--Application provisions relating to the Corporations Amendment (Central Clearing and Single - Sided Reporting) Regulation 2015
10.21.01 First application of 7.5A.73--existing phase 3 reporting entities
Part 10.22--Application provisions related to the Corporations Amendment (Financial Services Information Lodgement Periods) Regulation 2015
10.22.01 Application of amendment of paragraph 7.6.04(1)(c)
10.22.02 Application of modification of subsections 916F(1) and (3)
Part 10.23--Application provisions relating to the Corporations Amendment (Remuneration Disclosures) Regulation 2016
10.23.01 Application--remuneration disclosures
Part 10.24--Application provisions relating to the Financial Services Legislation Amendment (Wholesale Margining) Regulation 2016
10.24.01 Application of regulations 7.8.01A and 7.8.06B
Part 10.25--Transition to Part 3 of the Insolvency Practice Schedule (Corporations)
10.25.01 Transition to Part 3 of the Insolvency Practice Schedule (Corporations)
10.25.02 Application of certain amendments relating to the enactment of the Insolvency Practice Schedule (Corporations)
Part 10.25--Application provisions relating to the Treasury Laws Amendment (Fair and Sustainable Superannuation) Regulations 2017
10.25.01 Application of amendment of subregulation 7.9.04(1)
Part 10.26--Application provisions related to the Corporations Amendment (Client Money) Regulations 2017
10.26.01 Application of regulation 7.8.02A
Part 10.27--Transitional provisions relating to the Treasury Laws Amendment (Putting Consumers First--Establishment of the Australian Financial Complaints Authority) Regulations 2018
10.27.01 Membership of the AFCA scheme
10.27.02 Membership of existing external dispute resolution schemes
10.27.03 Written reasons for internal review decisions
10.27.04 Disclosing information about the AFCA scheme
Part 10.28--Application provisions related to the Corporations Amendment (Client Money Reporting Rules Enforcement Powers) Regulations 2018
10.28.01 Application--client money reporting rules enforcement powers
Part 10.29--Application and transitional provisions relating to the Treasury Laws Amendment (Protecting Your Superannuation Package) Regulations 2019
10.29.01 Definitions
10.29.02 Transitional provisions relating to regulation 7.9.44B
10.29.03 Application of amendments relating to product disclosure statements
10.29.04 Application of amendments relating to periodic statements
Part 10.30--Application provisions relating to the Corporations Amendment (Proprietary Company Thresholds) Regulations 2019
10.30.01 Application of amendments--changes to proprietary company thresholds
Part 10.31--Application provisions relating to the Treasury Laws Amendment (Strengthening Corporate and Financial Sector Penalties) Regulations 2019
10.31.01 Application--offences
Part 10.32--Application provisions relating to the Treasury Laws Amendment (AFCA Cooperation) Regulations 2019
10.32.01 Application--obligation to cooperate with AFCA
Part 10.33--Application provisions relating to the Treasury Laws Amendment (Ending Grandfathered Conflicted Remuneration) Regulations 2019
10.33.01 Application of end of grandfathering arrangements
10.33.02 Application of record keeping requirements for rebate scheme
Part 10.34--Application provisions related to the Corporations Amendment (National Guarantee Fund Payments) Regulations 2019
10.34.01 Application--claims for compensation payable out of the NGF
Part 10.35--Application provisions relating to the Corporations Amendment (Portfolio Holdings Disclosure) Regulations 2021
10.35.01 Application of amendments relating to portfolio holdings disclosure
Part 10.37--Application provisions relating to the Treasury Laws Amendment (Financial Services Improved Consumer Protection) (Funeral Expenses Facilities) Regulations 2019
10.37.01 Application of amendment relating to funeral expenses policies
Part 10.38--Application provisions relating to the Corporations Amendment (Litigation Funding) Regulations 2020
10.38.01 Application of amendments relating to litigation funding
Part 10.39--Application provisions for the Financial Sector Reform (Hayne Royal Commission Response) (Hawking of Financial Products) Regulations 2021
10.39.01 Right of return and refund for hawked financial products
Part 10.40--Application provisions relating to the Financial Sector Reform (Hayne Royal Commission Response) (Regulation of Superannuation) Regulations 2020
10.40.01 Definitions
10.40.02 Transitional provision relating to non - public offer funds
Part 10.41--Application provisions relating to the Financial Sector Reform (Hayne Royal Commission Response--Breach Reporting and Remediation) Regulations 2021
10.41.01 Provisions relating to continued application of section 912D of the Act
Part 10.42--Application provisions relating to the Financial Sector Reform (Hayne Royal Commission Response) (2021 Measures No. 1) Regulations 2021
10.42.01 Application of claims handling and settling services reforms
Part 10.43--Application provisions relating to simplified liquidation process under the Corporations Amendment (Corporate Insolvency Reforms) Regulations 2020
10.43.01 Application of amendments relating to the simplified liquidation process
Part 10.45--Application provisions relating to the Corporations Amendment (Statutory Minimum) Regulations 2021
10.45.01 Application of amendment of paragraph 5.4.01AAA(1)(b)
Part 10.47--Application provisions relating to the Corporations Amendment (Litigation Funding) Regulations 2021
10.47.01 Application of amendments relating to licence conditions in relation to a litigation funding scheme mentioned in subregulation 7.1.04N(3)
Part 10.48--Application provisions relating to the Corporations Amendment (Litigation Funding) Regulations 2022
10.48.01 Application of amendments relating to litigation funding
Part 10.49--Application provisions relating to Schedule 1 to the Treasury Laws Amendment (Modernising Business Communications and Other Measures) Regulations 2022
10.49.01 Application of amendment to Form 509H (creditor's statutory demand for payment of debt)
Part 10.50--Application provisions relating to the Treasury Laws Amendment (Financial Reporting and Auditing of Registrable Superannuation Entities) Regulations 2023
10.50.01 Application of amendments relating to financial reporting and auditing of registrable superannuation entities
Part 10.51--Application provisions relating to the Treasury Laws Amendment (Precontractual Disclosure and Other Measures) Regulations 2023
10.51.01 Application--decisions approving or refusing to approve domestic qualifications
Chapter 12--Financial sector reform
12.1.01 Definitions for Chapter 12
12.1.02 Application of this Chapter to previous governing Codes etc
12.1.03 Interpretation of applied provisions
Part 12.2--Transitional matters--general
12.2.08 Lodgment of certain documents with ASIC
12.2.10 Certain appointments of auditors continue
Part 12.4--Notice of meetings of certain bodies corporate
12.4.02 Modification of certain provisions of Act
12.4.03 Members etc may elect to be notified of meetings
12.4.04 Notice of meetings to be published
12.4.05 Copies of notices to be displayed
12.4.06 Members may request notice of meetings at any time
12.4.07 Records to be kept about notices
Part 12.5--Determinations and declarations in relation to certain instruments
12.5.01 Definition for Part 12.5
12.5.02 Application, variation, revocation and modification
12.5.03 Effect of determinations and declarations
12.5.04 Publication of determinations and declarations
12.5.05 When determinations and declarations take effect
12.5.06 Inspection and purchase of copies of instruments
Part 12.6--Financial reporting by certain bodies corporate
12.06.01A Annual financial reporting
12.6.02 Modification of certain provisions of Act
12.6.03 Members etc may elect to receive reports
12.6.04 Copies of reports to be available to members
12.6.05 Records to be kept about notices
12.7.01 Definitions for Part 12.7
Division 2--Continued application of certain provisions
12.7.03 Continuation of certain provisions of previous governing Codes
12.7.04 Continuation of ASIC transitional standards
12.7.05 Exemption from, and modification of, certain provisions
12.7.06 Certain provisions of the Friendly Societies Code cease to apply to FSR licensee
Part 12.8--Shares in certain bodies corporate
12.8.02 Application of Part 12.8
12.8.03 Meaning of member share
12.8.06 Registers of members
12.8.06A Member shares--liability to pay calls
12.8.07 Disclosure in annual returns
12.8.08 Member shares--numbering and certificates
12.8.09 Member shares--unclaimed property
Division 3--Certain shares in transferring building societies and credit unions
12.8.10 Definitions for Division 3
12.8.11 Transferring building societies may issue shares equivalent to membership shares
12.8.12 Transferring credit unions may issue shares equivalent to withdrawable shares
Part 12.9--Winding up and deregistration of certain transferring financial institutions
12.9.01 Application of Part 12.9
12.9.03 Deregistration
