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In forceAmended2020 Revised Edition
Contents

Part 2 · Organised Markets

34. Obligation to notify Authority of certain matters

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Amended

Last amended by an amending law of 2017.

(1)

A recognised market operator must, as soon as practicable after the occurrence of any of the following circumstances, notify the Authority of the circumstance:

(a)

any material change to the information provided by the recognised market operator in its application under section 8(1) or (2) or 12(1);

(b)

the recognised market operator becoming aware of any financial irregularity or other matter which in its opinion —

(i)

may affect its ability to discharge its financial obligations; or

(ii)

may affect the ability of a participant of the recognised market operator to meet its financial obligations to the recognised market operator;

(c)

any other matter that the Authority may —

(i)

prescribe by regulations made under section 44 for the purposes of this paragraph; or

(ii)

specify by written notice to the recognised market operator in any particular case.

(2)

A recognised market operator must notify the Authority of any matter that the Authority may prescribe by regulations made under section 44 for the purposes of this subsection, no later than such time as the Authority may prescribe by those regulations.

(3)

A recognised market operator must notify the Authority of any matter that the Authority may specify by written notice to the recognised market operator, no later than such time as the Authority may specify in that notice.

Report

Part 2A

Trade Repositories

Part 3

Clearing Facilities

Part 3A

Approved Holding Companies

Part 4

Holders of Capital Markets Services Licence and Representatives

Part 5

Books, Customer Assets and Audit

Part 6

Conduct of Business

Part 6A

Reporting of Derivatives Contracts

Part 6B

Clearing of Derivatives Contracts

Part 6C

Trading of Derivatives Contracts

Part 7

Disclosure of Interests

Part 7A

Short Selling

Part 8

Securities Industry Council and Take‑Over Offers

Part 9

Supervision and Investigation

Part 10

Assistance to Foreign Regulatory Authorities

Part 11

Investor Compensation Scheme

Part 12

Market Conduct

Part 13

Offers of Investments

Part 13A

Modification of Act for Purposes of Dual Listing Boards

Part 14

Appeals

Part 15

Miscellaneous

Schedules