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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION ACT 2001 - SECT 31

Notice to produce books about securities

(1) ASIC may give to:

(a)
a securities exchange; or

(b)
a member of the board of a securities exchange; or

(c)
a person who is or has been (either alone or together with any other person or persons) a dealer, an investment adviser or a securities representative of a person; or

(d)
a nominee controlled by a person of a kind referred to in paragraph (c) or jointly controlled by 2 or more persons at least one of whom is such a person; or

(e)
an eligible person in relation to a person of a kind referred to in paragraph (a), (b), (c) or (d); or

(f)
any other person who, in ASIC's opinion, has been a party to a dealing in securities;

a written notice requiring the production to a specified member or staff member, at a specified place and time, of specified books relating to:

(g)
the business or affairs of a securities exchange; or

(h)
a dealing in securities; or

(j)
advice given, or an analysis or report issued or published, about securities; or

(k)
the character or financial position of, or a business carried on by, a person of a kind referred to in paragraph (c) or (d); or

(m)
an audit of, or a report of an auditor about, a dealing in securities or accounts or records of a dealer or investment adviser.

(2) A reference in subsection (1) to a dealing in securities, or to a business carried on by a person, includes a reference to a dealing in securities by a person as a trustee, or to a business carried on by a person as a trustee, as the case may be.


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