Commonwealth Numbered Regulations

FUTURES INDUSTRY REGULATIONS 1986

TABLE OF PROVISIONS

   1.      Citation  
   2.      Interpretation  
   3.      Compliance with forms  
   4.      General requirements for forms, &c.  
   5.      Annexures accompanying forms  
   6.      Particulars of forms  
   7.      Manner of signing documents  
   8.      Time for lodging documents  
   9.      Address of registered office, principal place of business, &c.  
   10.     Application for licences may be in sealed envelopes  
   11.     Recognised futures exchanges-prescribed bodies corporate  
   12.     Evidence of authority under sub-section 13 (4) of the Act  
   13.     Notice relating to disclosure of information to Commission  
   14.     Notice of requirement by inspector  
   15.     Allowances and expenses payable to person required to attend for examination  
   16.     Authentication of record of interview at examination  
   17.     Application for licence  
   18.     Application for variation of licence  
   19.     Additional matters for inclusion in Register of Licence Holders  
   20.     Notice of change in particulars of licensee  
   21.     Annual statement required to be lodged by licensee  
   22.     Period within which holder of representative's licence shall lodge statement  
   23.     Agreement to waive operation of paragraph 83 (2) (b) of the Act in relation to issue of contract notes  
   24.     Risk disclosure statement to be given to clients of futures broker  
   25.     Auditor's return where auditor is firm carrying on business under unregistered business name  
   26.     Information and matters prescribed for purposes of futures brokers' accounts  
   27.     Rate of interest for claims against fidelity fund  
   28.     Notice calling for claims against fidelity fund  
   29.     Notice of disallowance of claims against fidelity fund  
   30.     Period for which broker is required to retain records of instructions  
   31.     Futures brokers and futures advisers that are banks-credit to employees to deal in futures contracts  
   32.     Period for which Commission is required to retain documents  
   33.     Prescribed offences, penalties and penalty notices  
   34.     Exemption of clearing houses from Part IV, sections 83, 84, 85 and Part VI of the Act  
   35.     Exemption of certain transactions by a futures broker on behalf of a member of a clearing house from certain provisions of the Act  
   36.     Exemption of Comex Clearing Association, New York, from provisions of the Act concerning clearing houses  
           SCHEDULE 1
           SCHEDULE 2
           SCHEDULE 3
           SCHEDULE 4