Corporations Regulations 1990

Legislation au C2004L00919 Regulations Not in force Legislative Instrument

Legislation content

Corporations Regulations 1990

Statutory Rules 1990 No. 455 as amended

made under the

Corporations Act 1989

This compilation was prepared on 8 August 2001
taking into account amendments up to SR 2001 No. 193

[Note:  This Statutory Rule was repealed by SR 2001 No. 193.
For savings provisions see Corporations Act 2001, s. 1380]

Prepared by the Office of Legislative Drafting,
Attorney-General’s Department, Canberra

Contents

Page

Chapter 1 Introductory

Part 1.0 Miscellaneous

 1.0.01 Name of Regulations [see Note 1] 

 1.0.02 Interpretation 

 1.0.03 Approved and prescribed forms 

 1.0.04 Directions and instructions in forms 

 1.0.05 Documents and information required by forms 

 1.0.06 Annexures accompanying forms 

 1.0.07 General requirements for documents 

 1.0.08 Information to accompany financial documents lodged for financial years             

 1.0.09 Information to accompany financial documents etc lodged for half-years             

 1.0.10 Continuous disclosure notices 

 1.0.11 Certain documents to be signed by personal representatives etc             

 1.0.12 Form of notice of resolution 

 1.0.13 Time for lodging documents 

 1.0.14 Address of registered office or place of business 

 1.0.15 Affidavits and statements in writing 

 1.0.16 Certification and verification of certain documents 

 1.0.17 Documents signed or sworn in accordance with the rules 

 1.0.18 Prescribed provisions (Corporations Law s 53) 

 1.0.19 Corresponding law 

 1.0.20 Copies of orders to be lodged 

 1.0.21 Identification of lodged orders 

 1.0.22 Modification of Securities Industry Act 1980

Part 1.1 Prescribed amounts

 1.1.01 Prescribed amounts 

Part 1.2 Interpretation

Division 1 Share ratio contracts

Subdivision A Preliminary

 1.2.01 What is a share ratio contract? 

Subdivision B Application of Chapters 6D and 7 of the Corporations Law to share ratio contracts

 1.2.02 Relevant agreements — paragraph 92A (1) (b) of the Corporations Law             

 1.2.03 Application of Chapter 7 of the Corporations Law 

 1.2.04 Application of Division 2A of Part 7.11 of the Corporations Law to share ratio contracts             

 1.2.05 Application of certain provisions of Chapter 7 of the Corporations Law to share ratio contracts             

 1.2.06 Application of Chapters 6D and 7 of the Corporations Law 

 1.2.07 Restrictions on dealers in share ratio contracts 

 1.2.08 Restrictions on securities licensees in providing investment advice in relation to share ratio contracts             

Subdivision C Application of Chapter 8 of the Corporations Law to share ratio contracts

 1.2.09 Application of Part 8.3 for certain purposes 

 1.2.10 Application of Chapter 8 of the Corporations Law 

Subdivision D Miscellaneous

 1.2.11 Subsection 93 (7) of the Corporations Law not to apply in certain circumstances             

Division 2 Deliverable bond futures contracts

Subdivision A Preliminary

 1.2.12 What is a deliverable bond futures contract? 

Subdivision B Application of Chapters 6D and 7 of the Corporations Law to deliverable bond futures contracts

 1.2.13 Prescribed Chapter 8 agreement 

 1.2.14 Application of Chapters 6D and 7 of the Corporations Law 

Subdivision C Application of Chapter 8 of the Corporations Law to deliverable bond futures contracts

 1.2.15 Application of Chapter 8 of the Corporations Law 

Subdivision D Modifications of the Corporations Law applying in relation to deliverable bond futures contracts

 1.2.16 Modification of section 9 of the Corporations Law 

Division 3 Futures options over deliverable bond futures contracts

Subdivision A

Overview

The Corporations Regulations 1990, as amended, are made under the Corporations Act 1989 and provide detailed rules for the administration of the Act, covering a wide range of areas including company names, financial reporting, share trading, and disclosure requirements. These regulations were introduced to ensure that the broad provisions of the Corporations Act 1989 are effectively implemented through specific procedural and administrative rules. They were enacted by the Parliament of Australia and are designed to fill in the detailed requirements necessary for the practical application of the Act. The regulations address gaps in the Act by providing clear guidelines on matters such as the form and content of documents, the manner in which financial reports should be presented, and the specific obligations of companies and their officers in various corporate activities.

Scope and Application

The Corporations Regulations 1990, as amended, serve to provide detailed procedural and administrative rules for the implementation of the Corporations Act 1989, governing a wide range of activities and entities within the corporate sector in Australia. These regulations apply to corporations, managed investment schemes, and other bodies registered under the Act, including those that engage in securities trading, financial reporting, and administrative processes such as winding up and administration. They cover aspects such as the lodgment of financial documents, the certification and verification of documents, the administration of winding up, and the operation of various industry-specific provisions. Notably, the regulations also delineate the geographic reach, applying both nationally and in relation to corporations registered in different jurisdictions, with provisions for the transfer of registration between jurisdictions. Certain exclusions and exemptions are provided, such as for foreign companies under specific conditions, and for financial businesses operated by authorised deposit-taking institutions and friendly societies. The application of the Act and its regulations can be extended or restricted through subordinate instruments, thereby allowing for flexibility and adaptation to changing circumstances and industries. These regulations are essential for the effective functioning of the Australian corporate environment, ensuring that the broad principles set out in the Corporations Act are given concrete expression in the day-to-day operation of companies and financial entities.

Key Provisions

  • The Corporations Regulations 1990 (Cth) are a set of rules made under the Corporations Act 1989 (Cth) to provide detailed requirements for various aspects of corporate governance, financial reporting, and securities trading. The Regulations include provisions for the approval and use of specific forms, the signing and certification of documents, and the disclosure of information. For instance, Regulation 1.0.02 defines terms used within the Regulations, while Regulation 1.0.03 specifies which forms are approved for use in different contexts. Additionally, Regulation 1.0.13 outlines the documents and information required by the forms, ensuring that all necessary details are included when lodging documents with the Australian Securities and Investments Commission (ASIC).
  • The Regulations impose various obligations on companies and other entities. For example, Regulation 5C.1.01 mandates that an application for the registration of a managed investment scheme must be made in an approved form and include the name of the scheme and the name of the responsible entity. Regulation 2M.4.01 requires the responsible entity of a registered scheme to notify ASIC of the appointment of an auditor within 14 days. These obligations are designed to ensure that companies and entities comply with the Corporations Act and that relevant information is properly disclosed and recorded.
  • Breach of the Corporations Regulations can result in both civil and criminal penalties. For example, under Regulation 9.4.01, certain offences carry a penalty of up to 5 penalty units, which equates to $1,100 as of 2021. Regulation 9.4.02 sets out the penalties for contraventions of the Regulations, with the maximum penalty being 50 penalty units, or $11,000, for serious offences. Additionally, Regulation 7.3.10 specifies that certain dealings in securities by unauthorised persons are subject to penalties, including fines and imprisonment. These penalties are intended to enforce compliance with the Corporations Act and to protect investors and the integrity of the financial markets.

Legal classification tags

Area of Law
Corporate Law & Governance
Financial Sector Reform
Instrument
Regulation
Concepts
Definitions & Interpretation
Commencement Provisions
Delegated & Subordinate Legislation
Compliance Obligations
Reporting & Disclosure Obligations
Enforcement Powers
Penalties
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Sourced from the Federal Register of Legislation at 26 August 2026. For the latest information on Australian Government law please go to https://www.legislation.gov.au.