A T O home
Legal Database
Search   
for 
 
Access the database 
Browse database
Searches  
View last document
Quick access 
View legislation
View a document
Email Cross Reference Material Previous/Next Section Contents Previous/Next Result
Printable version
Printable
version

CORPORATIONS ACT 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS    View history reference

PART 7.1 - PRELIMINARY    View history reference

Division 1 - Object of Chapter and outline of Chapter    View history reference

SECTION 760B  

760B  OUTLINE OF CHAPTER  

 View history reference
An outline of this Chapter is set out in the table below.
Part-by-Part outline of Chapter 7
 Part...Covers...
1 7.1definitions of key concepts and of commonly occurring expressions
2 7.2licensing of financial markets
  other matters relating to financial markets
2A7.2Asupervision of financial markets
3 7.3licensing of clearing and settlement facilities
  other matters relating to clearing and settlement facilities
4 7.4limitation on ownership of certain licensees
  individuals who are disqualified from being involved in certain licensees
5 7.5compensation regimes for financial markets
5A7.5Aregulation of derivative transactions and derivative trade repositories
6 7.6licensing of providers of financial services
  other related matters (e.g. restrictions on use of terminology; agreements with unlicensed persons relating to provision of financial services)
7 7.7disclosure requirements for financial services licensees and their authorised representatives
  disclosure requirements for certain people who are not required to be licensed
7A7.7Abest interests obligations
  charging ongoing fees to clients
  ban on conflicted remuneration and other remuneration
8 7.8other conduct requirements for financial services licensees (e.g. dealing with client money and property; financial records, statements and audit)
  special provisions relating to insurance
  special provisions relating to margin lending facilities
9 7.9financial product disclosure requirements
  other requirements relating to issue, sale and purchase of financial products
107.10market misconduct and other prohibited conduct relating to financial products and services
117.11title to, and transfer of, certain securities and other financial products
127.12qualified privilege in certain situations
  other miscellaneous matters


 



This information is provided by CCH Australia Limited. View the disclaimer and notice of copyright.
Top of page
More information on page