Securities and Futures (Markets) Regulations 2005
Table of Contents
Enacting Formula
Part I PRELIMINARY
1 Citation and commencement
2 Definitions
3 Forms
4 Fees
5 Keeping of books and other information
Part II APPROVAL, RECOGNITION AND EXEMPTION
6 Application for approval, recognition or exemption
7 Criteria for deciding whether an applicant should be an approved exchange or recognised market operator
8 Application for change in status
Part III REGULATION OF APPROVED EXCHANGES
Division 1 Obligations and matters relating to approved exchanges
9 Obligation to notify Authority of certain matters
10 Obligation to submit periodic reports
11 Exceptions to obligation to maintain confidentiality
12 Business continuity plan
13 Provision of information to investors
14 Transmission and storage of user information
15 Determination of position and trading limits
16 Requirements to register trading personnel
17 Amounts to be paid out of fidelity funds
Division 2 Rules of approved exchanges
18 Content of rules of approved exchanges
19 Amendment of business rules and listing rules
Division 3 Matters requiring approval of Authority
20 Application and criteria for approval to acquire substantial shareholding
21 Application for approval of chairman, chief executive officer, director and key persons
22 Criteria for approval of chairman, chief executive officer, director and key persons
Part IV REGULATION OF RECOGNISED MARKET OPERATORS
23 Obligation to notify Authority of certain matters
24 Obligation to submit periodic reports
25 Business continuity plan
26 Provision of information to investors
27 Transmission and storage of user information
28 Supervision of participants
Part V MISCELLANEOUS
29 Criteria to determine failure to discharge duties or functions by officers
30 Offences
Part VI REVOCATION
31 Revocation
FIRST SCHEDULE Fees
SECOND SCHEDULE Recognised Market Operators