Statutory Rules
1981 No. 128
REGULATIONS UNDER THE SECURITIES INDUSTRY (FEES)
ACT 1980*
WHEREAS it is provided by sub-section (2) of section 5 of the Securities Industry (Fees) Act 1980 that the power of the Governor-General to make regulations under that Act shall be exercised only in accordance with advice that is consistent with resolutions of the Ministerial Council for Companies and Securities established under the Agreement made on 22 December 1978 between the Commonwealth and the States:
AND WHEREAS it is provided by section 16a, of the Acts Interpretation Act 1901 that a reference in an Act to the Governor-General is, unless the contrary intention appears, to be deemed to include the person for the time being administering the Government of the Commonwealth of Australia and, is, unless the contrary intention appears, to be read as referring to that person acting with the advice of the Federal Executive Council:
AND WHEREAS the making of the following Regulations, is in accordance with advice that is consistent with those resolutions:
NOW THEREFORE I, the Administrator of the Government of the Commonwealth of Australia, acting with the advice of the Federal Executive Council and. in pursuance of section 4 of the Acts Interpretation Act 1901, hereby make the following Regulations under the Securities Industry (Fees) Act 1980.
Dated this third
day of June 1981.
STANLEY BURBURY
Administrator
By His Excellency’s Command.
(sgd) John Moore
Minister of State for Business and Consumer Affairs
SECURITIES INDUSTRY (FEES) REGULATIONS
Citation
1. These Regulations may be cited as the Securities Industry (Fees) Regulations.
* Notified in the Commonwealth of Australia Gazette on 12 June 1981
SR No. 36/80 Cat. No. —Recommended retail price 20c 88/21.5.1981
Interpretation
2. In the Schedule, “the Act” means the Securities Industry Act 1980.
Prescribed fees
3. The fees payable for the purposes of sub-section 4 (1) of the Securities Industry (Fees) Act 1980 are the fees specified in the Schedule in relation to the respective matters so specified.
SCHEDULE Regulation 3
| FEES | $ |
1. | On making an application under section 38 of the Act for approval of a body corporate as a stock exchange | 500 |
2. | On giving notice under section 39 of the Act of an amendment or amendments to the business rules or listing rules of a stock exchange | 50 |
3. | On making an application under section 47 of the Act by a person other than a body corporate for a dealers licence or an investment advisers licence | 50 |
4. | On making an application under section 47 of the Act by a body corporate for a dealers licence or an investment advisers licence | 100 |
5. | On making an application under section 47 of the Act for a representatives licence | 20 |
6. | On making an application under section 50 of the Act by a dealer’s representative or an investment representative | 5 |
7. | For inspecting Register of Licence Holders under sub-section 54 (4) of the Act .. | 2 |
8. | On giving notice under section 55 of the Act of change of particulars....... | 5 |
9. | On lodging a statement under section 56 of the Act by a dealer or investment adviser (other than a body corporate) | 25 |
10. | On lodging a statement under section 56 of the Act by a body corporate..... | 50 |
11. | On lodging a statement under section 56 of the Act by a dealer’s representative or an investment representative | 10 |
12. | On lodging notice under sub-section 75 (13) of the Act, or giving notice under subsection 90 (2) or (3), of the Act | 10 |
13. | On lodging notice under sub-section 76 (7) of the Act of resignation or removal of an auditor | 5 |
14. | On lodging a profit and loss account and balance sheet under sub-section 78 (2) of the Act | 10 |
15. | On lodging any other document with the Commission................. | 10 |
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