Securities and Futures (Offers of Investments) (Collective Investment Schemes) Regulations 2005
Table of Contents
Enacting Formula
Part I PRELIMINARY
1 Citation and commencement
2 Definitions
3 Forms
4 Fees
Part II AUTHORISATION AND RECOGNITION REQUIREMENTS
Division 1 Approval Criteria for Trustees
5 Approval criteria for trustees
Division 2 Requirements for Approved Trustees
5A Forms for approved trustees
6 Annual fees for approved trustees
7 Operational requirements for approved trustees
Division 3 Trust Deed Requirements
8 Covenants to be included in trust deeds
9 Other particulars to be included in trust deeds
10 Penalty for breach of covenant
Division 4 Application for Authorisation and Recognition of Collective Investment Schemes
10A Forms for authorisation and recognition, etc.
10B Criteria for recognition
Part III PROSPECTUS AND ADVERTISEMENT REQUIREMENTS
Division 1 Form and Content
11 Contents of prospectus
12 Information that may be omitted from preliminary document
13 Contents of profile statement
13A Form and content requirements of product highlights sheet
14 Supplementary document and replacement document
15 (Deleted)
16 General requirements for documents lodged with Authority
17 Form or medium of document
18 Authorisation to be submitted
19 Making false statement an offence
Division 2 Advertising requirements
Subdivision 1 Requirements for advertisements or publications for the purposes of sections 300(3C), 303(3) and 305B(8) of Act
19A Requirements of advertisement or publication
19B Approval of advertisement or publication
19C Exemption from regulation 19A(1)
Subdivision 1A Requirements for advertisements or publications for the purposes of section 300 (3C) of Act
20 Application of this Subdivision
21 Requirements of advertisement or publication
22 (Deleted)
23 Contents of advertisement where units in collective investment scheme are already offered
24 Contents of advertisement where units in collective investment scheme are not yet offered
25 Past performance of collective investment scheme
26 Comparison of past performance of collective investment scheme with that of another collective investment scheme or an index
27 Comparison of past performance of collective investment scheme with that of another form of investment
28 Performance of manager or submanager
29 Future performance of collective investment scheme
Subdivision 2 Requirements for advertisements or publications for the purposes of section 300 (4) of Act
30 Requirements of advertisement or publication for purposes of section 300(4) of Act
31 Report about units in collective investment scheme published and delivered to institutional investors
Part IV NOTIFICATION OF OFFERS OF UNITS IN RESTRICTED SCHEMES
32 Extent to which Subdivisions (2) and (3) in Division 2 of Part XIII of Act apply to restricted schemes
Part IVA PRESCRIBED MANNER OF NOTICE UNDER SECTION 295A
32A Prescribed manner of notice
Part V EXEMPTIONS
33 Determination of closely related offer for small offer and private placement
34 Contents of offer information statement under section 305B of Act
35 Exemption from requirement for expert’s consent under section 249(1) of Act
35A Exemption from Division 2 of Part XIII of Act
36 Exemption from section 304A(1) of Act
36A Exemption from section 305A(1), (2) and (3) of Act
37 Exemption for offer to existing participants
Part VI EXTRA-TERRITORIAL APPLICATION OF DIVISION 2 OF PART XIII OF ACT
38 Non-applicability of section 339 (2) of Act under certain circumstances
Part VII REVOCATION, TRANSITIONAL AND SAVINGS
39 Revocation
40 Prospectus, etc., lodged in compliance with Regulations in force immediately before date of commencement of these Regulations
41 (Deleted)
FIRST SCHEDULE Fees
SECOND SCHEDULE REQUIREMENTS RELATING TO THE PURCHASE OF UNITS FROM PARTICIPANTS IN A COLLECTIVE INVESTMENT SCHEME BY THE MANAGER fOr THE SCHEME IN THE CIRCUMSTANCES SET OUT IN REGULATION 8 (4) (d)
THIRD SCHEDULE Requirements for Preparation of A Prospectus (under Section 296 (1) of the Act) for An Offer of Units in A Collective Investment Scheme
FOURTH SCHEDULE Information That May be Omitted from A Preliminary Document
FIFTH SCHEDULE Illustration
SIXTH SCHEDULE Modified Provisions for Restricted Schemes
SEVENTH SCHEDULE Particulars to be included in an offer information statement under SECTION 305B of the Act in respect of a real estate investment trust
EIGHTH SCHEDULE
NINTH SCHEDULE Advertisement or publication