Australian Securities and Investments Commission Amendment Regulations 2004 (No. 3) (Cth)

Australian Securities and Investments Commission Amendment Regulations 2004 (No. 3)1

Statutory Rules 2004 No. 3972

I, PHILIP MICHAEL JEFFERY, Governor-General of the Commonwealth of Australia, acting with the advice of the Federal Executive Council, make the following Regulations under the Australian Securities and Investments Commission Act 2001.

Dated 16 December 2004

P. M. JEFFERY

Governor-General

By His Excellency’s Command

CHRIS PEARCE

Parliamentary Secretary to the Treasurer

Contents

1Name of Regulations

These Regulations are the Australian Securities and Investments Commission Amendment Regulations 2004 (No. 3).

2Commencement

These Regulations commence as follows:

1. (a)

   on the date of their notification in the Gazette — regulations 1 to 3 and Schedule 1;

2. (b)

   on 1 January 2005 — Schedule 2.

3Amendment of Australian Securities and Investments Commission Regulations 2001

Schedules 1 and 2 amend the Australian Securities and Investments Commission Regulations 2001.

Schedule 1Amendments commencing on gazettal

(regulation 3)

[1]Schedule 3, Part 1

substitute

Part 1Australian bodies corporate

Item	Body Corporate
1	ASX Settlement and Transfer Corporation Pty Limited
2	Austraclear Limited
3	Australian Clearing House Pty Limited
4	Australian Stock Exchange Limited
5	Australia Pacific Exchange Limited
6	Bendigo Stock Exchange Ltd
7	Golden Circle Limited
8	ICAP Brokers Pty Limited
9	IMB Ltd
10	SFE Clearing Corporation Pty Ltd
11	Stock Exchange of Newcastle Limited
12	Sydney Futures Exchange Limited
13	Yieldbroker Pty Limited

[2]Schedule 3, Part 2, item 22

substitute

22 Chicago Mercantile Exchange Inc (also known as ‘CME’) United States of America

[3]Schedule 3, Part 2, after item 27

insert

27A	EBS Service Company Limited	Switzerland
27B	Eurex Frankfurt AG	Germany

[4]Schedule 3, Part 2, after item 31

insert

31A ICAP Europe Limited United Kingdom

[5]Schedule 3, Part 2, after item 50

insert

50A New York Mercantile Exchange Inc (also known as ‘NYMEX’) United States of America

[6]Schedule 3, Part 2, after item 59

insert

59A Reuters Transaction Services Limited United Kingdom

Schedule 2Amendments commencing on 1 January 2005

(regulation 3)

[1]After Part 5

insert

Part 6Financial Reporting Panel

48Form for written summons (Act s 239CE)

For a written summons under subsection 239CE (1) of the Act, Form 4 is prescribed.

[2]Schedule 1, after Form 3

insert

Form 4Summons to witness

(regulation 48)

Australian Securities and Investments Commission Regulations 2001

Australian Securities and Investments Commission

SUMMONS TO WITNESS

Note Under subsection 239CE (1) of the Australian Securities and Investments Commission Act 2001 (the Act), a member of the Financial Reporting Panel (the Panel) may, by written summons in the prescribed form given to a person mentioned in subsection 239CE (2) of the Act:

(a) require the person to appear before the Panel at Panel proceedings to give evidence, to produce specified documents or to do both; and

(b) require the person to attend from day to day unless excused, or released from further attendance, by a member.

Under section 239CJ of the Act, failure to comply with a requirement made under subsection 239CE (1) of the Act is an offence. Under section 239CL of the Act, the Court can order a person to comply with a requirement made under subsection 239CE (1) of the Act.

In the matter of 1

To 2

at 3

on 4

you are summoned under subsection 239CE (1) of the Australian Securities and Investments Commission Act 2001 to appear before the Financial Reporting Panel

at 5

and to attend from day to day until the proceedings are completed or you are excused, or released from further attendance, by a member of the Financial Reporting Panel.

You are required to produce the following document(s) at the

proceedings 6.

You are7/are not7 required to give oral evidence at the proceedings.

If you are unable to attend, give evidence or produce a document on a particular day you must give the Financial Reporting Panel written notice, including the reason you are unable to attend, give evidence or produce the document.

Dated

Signature of member of the Financial Reporting Panel issuing summons

1insert description of proceedings

2insert full name and address of the person to be summoned to appear

3insert time of day

4insert date

5insert full details of the address of the place where the hearing is to be held

6insert description of the document(s) that are to be produced at the hearing

7strike out or delete if inapplicable

Notes

1. These Regulations amend Statutory Rules 2001 No. 192, as amended by 2001 No. 317; 2002 Nos. 39 and 124; 2003 No. 107; 2004 Nos. 102 and 210.

2. Notified in the Commonwealth of Australia Gazette on 23 December 2004.