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AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION ACT 2001 - SECT 32

Notice to produce books about futures contracts

(1) ASIC may give to:

(a)
a futures exchange; or

(b)
a clearing house for a futures market; or

(c)
a futures association; or

(d)
a member of the board of a body corporate that is a futures exchange, a clearing house for a futures market, or a futures association; or

(e)
a person who is or has been (either alone or together with any other person or persons) a futures broker, a futures adviser or a futures representative of a person; or

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

(g)
an eligible person in relation to a person of a kind referred to in a preceding paragraph; or

(h)
any other person who, in ASIC's opinion, has been a party to a dealing in a futures contract;

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

(j)
the business or affairs of a futures exchange, of a clearing house for a futures market, or of a futures association; or

(k)
a dealing in a futures contract; or

(m)
advice given, or an analysis or report issued or published, about futures contracts; or

(n)
the character or financial position of, or a business carried on by, a person referred to in paragraph (e) or (f); or

(p)
an audit of, or a report of an auditor about, a dealing in a futures contract or accounts or records of a futures broker or futures adviser.

(2) A reference in subsection (1) to a dealing in a futures contract, or to a business carried on by a person, includes a reference to a dealing in a futures contract 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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