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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