matters (1) Where, in relation to a dealer who is a member of a securities
exchange, the securities exchange becomes aware of a prescribed matter, the
securities exchange must, as soon as practicable after becoming aware of the
matter, lodge a written report on the matter and send a copy of the report to
the dealer.
(2) In this section:
"prescribed matter", in relation to a dealer, means a matter that, in the
opinion of the securities exchange concerned:
- (a)
- has adversely affected, is adversely affecting or may adversely affect the
ability of the dealer to meet the dealer's obligations as a dealer; or
- (b)
- constitutes or may constitute a contravention of section 856, 866,
867, 868, 869, 870, 871, 872 or 873, or Part 7.7 or of a condition of a
licence held by the dealer.
Commonwealth Numbered Acts