Commonwealth Numbered Acts

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SECURITIES INDUSTRY ACT 1980


TABLE OF PROVISIONS

   1.      Short title.  
   2.      Commencement  
   3.      Object  
   4.      Interpretation  
   5.      Relevant interests in securities  
   6.      Associated persons  
   7.      Interpretation  
   8.      Power of Commission to require production of books  
   9.      Power of magistrate to issue warrant to seize books  
   10.     Offences  
   11.     Privilege  
   12.     Disclosure to Commission  
   13.     Investigation of certain matters  
   14.     Power of Court to make certain orders  
   15.     Interpretation  
   16.     Investigations  
   17.     Conduct of investigations  
   18.     Powers of Commission and inspectors appointed under corresponding laws  
   19.     Powers of inspectors  
   20.     Investigation deemed to be a proceeding  
   21.     Record of examination  
   22.     Record to accompany report  
   23.     Admissibility of record of examination in evidence in proceedings against person examined  
   24.     Admissibility in other proceedings of questions and answers at an examination  
   25.     Weight of evidence  
   26.     Credibility of person who answered questions  
   27.     Determination of objection to admissibility of question and answer  
   28.     Delegation by inspector  
   29.     Reports of investigations  
   30.     Report of inspector  
   31.     Commission's powers in respect of books  
   32.     Privileged communications  
   33.     Expenses of investigation  
   34.     Concealing, &c., of books relating to securities  
   35.     Power of Commission to make certain orders  
   36.     Certain powers not to be delegated  
   37.     Establishment, &c., of stock markets  
   38.     Power of Ministerial Council to approve stock exchange  
   39.     Commission to be notified of amendments to rules  
   40.      Power of Commission to prohibit trading in particular securities  
   41.     Stock exchanges to provide assistance to Commission  
   42.     Power of Court to order observance or enforcement of business rules or listing rules of stock exchange  
   43.     Dealers licence  
   44.     Dealer's representatives  
   45.     Investment advisers  
   46.     Investment representatives  
   47.     Application for grant of licence  
   48.     Grant of dealers licence or investment advisers licence  
   49.     Grant of representatives licence  
   50.     Change of principals of representative  
   51.     Conditions to which licence is subject  
   52.     Holder of licence to notify Commission of breach of condition or restriction applicable to licence  
   53.     Furnishing of information and statements to Commission  
   54.     Register of licence holders  
   55.     Notification of change in particulars  
   56.     Annual statement to be lodged with Commission  
   57.     Time for lodging annual statement  
   58.     Commission may extend period for lodging statement  
   59.     Revocation and suspension of licences  
   60.     Further provisions relating to revocation and suspension of licences  
   61.     Holder of licence to be deemed not to be holder while licence suspended  
   62.     Opportunity for hearing  
   63.     Certain representation prohibited  
   64.     Issue of contract notes  
   65.     Certain persons to disclose certain interests in securities  
   66.     Dealings as principal  
   67.     Use by dealer of clients' moneys  
   68.     Short selling  
   69.     Interpretation  
   70.     Application of Part  
   71.     Accounts to be kept by dealers  
   72.     Security documents in custody of dealer  
   73.     Dealers' trust accounts  
   74.     Purposes for which money may be withdrawn from a trust account  
   75.     Appointment of auditor by dealer  
   76.     Removal and resignation of auditors  
   77.     Fees and expenses of auditors  
   78.     Dealers' accounts  
   79.     Auditor to report to Commission in certain cases  
   80.     Certain matters to be reported to Commission  
   81.     Defamation  
   82.     Right of stock exchange to impose obligations, &c., on members not affected by this Part  
   83.     Power of Court to restrain dealings with dealer's bank accounts  
   84.     Duty of banker to make full disclosure  
   85.     Power of Court to make further orders and give directions  
   86.     Power of Court to make order relating to payment of moneys  
   87.     Interpretation  
   88.     Application of Part  
   89.     Register to be maintained  
   90.     Place where Register kept  
   91.     Defences  
   92.     Power of Commission to require production of Register  
   93.     Power of Commission to require certain information to be supplied to Commission  
   94.     Power of Commission to supply copy of Register  
   95.     Deposits to be lodged by sole traders and member firms  
   96.     Deposit to be proportion of certain balances  
   97.     Deposits to be invested by stock exchange  
   98.     Accounts of deposits  
   99.     Claims, &c., not affected by this Part  
   100.    Establishment of fidelity funds  
   101.    Moneys constituting fidelity fund  
   102.    Fund to be kept in separate bank account  
   103.    Payments out of fund  
   104.    Accounts of fund  
   105.    Management sub-committee  
   106.    Contributions to fund  
   107.    Provisions where fund exceeds $2,000,000  
   108.    Levy in addition to annual contributions  
   109.    Power of stock exchange to make advances to fund  
   110.    Investment of fund  
   111.    Application of fund  
   112.    Claims against the fund  
   113.    Rights of innocent partner in relation to fund  
   114.    Notice calling for claims against fund  
   115.    Power of committee to settle claims  
   116.    Form of order of Court establishing claim  
   117.    Power of committee to require production of securities, &c.  
   118.    Subrogation of stock exchange to rights, &c., of claimant on payment from fund  
   119.    Payment of claims only from fund  
   120.    Provision where fund insufficient to meet claims or where claims exceed total amount payable  
   121.    Power of stock exchange to enter into contracts of insurance or indemnity  
   122.    Application of insurance moneys  
   123.    Stock market manipulation  
   124.    False trading and market rigging transactions  
   125.    False or misleading statements, &c.  
   126.    Fraudulently inducing persons to deal in securities  
   127.    Dissemination of information about illegal transactions  
   128.    Prohibition of dealings in securities by insiders  
   129.    Penalties  
   130.    Compensation for loss, &c.  
   131.    Dealer to give priority to clients' orders  
   132.    Dealings by employees of holders of licences  
   133.     
   134.    Appeal  
   135.    False or misleading statements  
   136.    Preservation and disposal of records, &c.  
   137.    Concealing, &c., of books relating to securities  
   138.    Falsification of records  
   139.    Precautions against falsification of records  
   140.    Obstructing or hindering Commission, &c.  
   141.    General penalty provisions  
   142.    Continuing offences  
   143.    Offences by bodies corporate  
   144.    Certain persons to assist in prosecutions  
   145.    Reciprocity in relation to offences  
   146.    Offences committed partly in and partly out of the Territory  
   147.    Power of Court to prohibit payment or transfer of moneys, securities or other property  
   148.    Power of Commission to intervene in proceedings  
   149.    Injunctions  
   150.    Regulations  
   151.     Rules of court  


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