Australian Securities and Investments Commission Class Order [CO 02/608] (Cth)

ASIC Class Order [CO 02/608]

Warrants: relief from PDS requirements for secondary sales

This instrument is made under subsection 1020F(1) of the Corporations Act 2001.

This compilation was prepared on 11 November 2015 taking into account amendments up to ASIC Corporations (Amendment) Instrument 2015/963 that commenced on 10 November 2015. See the table at the end of this class order.

Prepared by the Australian Securities and Investments Commission.

Australian Securities and Investments Commission
Corporations Act 2001 — Subsection 1020F(1) — Declaration

Under subsection 1020F(1) of the Corporations Act 2001 (the “Act”) the Australian Securities and Investments Commission hereby declares, for the avoidance of doubt, that Part 7.9 of the Act applies to ASX traded warrants and Chi-X traded warrants as if item 3 in the table in subsection 761E(3) of the Act were omitted.

Interpretation

In this instrument:

ASX operating rules means the operating rules of the licensed market operated by ASX Limited.

ASX traded warrant means a warrant (within the meaning of rule [7100] of the ASX operating rules) that has been admitted to trading status (within the meaning of rule [7100] of the ASX operating rules).

Chi-X operating rules means the operating rules of the licensed market operated by Chi-X Australia Pty Ltd.

Chi-X traded warrant means a warrant (within the meaning of rule 1.1 of the Chi-X operating rules) that has been admitted to quotation (within the meaning of rule 1.1 of the Chi-X operating rules).

Notes to ASIC Class Order [CO 02/608]

Note 1

ASIC Class Order [CO 02/608] (in force under s1020F(1) of the Corporations Act 2001) as shown in this compilation comprises that class order amended as indicated in the tables below.

Table of Instruments

Instrument number	Date of making or FRLI registration	Date of commencement	Application, saving or transitional provisions
[CO 02/608]	20/5/2002 (see F2006B11721)	20/5/2002
[CO 02/1297]	22/11/2002 (see F2006B11722)	22/11/2002	-
[CO 04/188]	11/3/2004 (see F2006B11720)	11/3/2004	-
2015/963	9/11/2015 (see F2015L01767)	10/11/2015	-

Table of Amendments

ad. = added or inserted     am. = amended     rep. = repealed     rs. = repealed and substituted

Provision affected

How affected

First para................

am. 2015/963

Interpretation..........

rs. [CO 02/1297]

am. [CO 04/188]

rs. 2015/963