ASIC Corporations (Exchange-Traded Warrants) Instrument 2016/886 (Cth)

ASIC Corporations (Exchange-Traded Warrants) Instrument 2016/886 I, Grant Moodie, delegate of the Australian Securities and Investments Commission, make the following legislative instrument.

Date 19 September 2016

Grant Moodie

Contents

Part 1—Preliminary 1 Name of legislative instrument 2 Commencement 3 Authority 4 Definitions Part 2—Exemption 5 Exchange-traded managed investment warrants Part 3—Declaration 6 Exchange-traded warrants

Part 1—Preliminary

1 Name of legislative instrument This is the ASIC Corporations (Exchange-Traded Warrants) Instrument 2016/886.

2 Commencement This instrument commences on the day after it is registered on the Federal Register of Legislation. Note: The register may be accessed at www.legislation.gov.au.

3 Authority This instrument is made under subsections 111AT(1) and 1020F(1) of the Corporations Act 2001.

4 Definitions In this instrument: Act means the Corporations Act 2001. ASX operating rules means the operating rules of the licensed market operated by ASX Limited as in force from time to time. Chi-X operating rules means the operating rules of the licensed market operated by Chi-X Australia Pty Ltd as in force from time to time. disclosing entity provisions has the meaning given by section 111AR of the Act. exchange-traded managed investment warrant means an exchange-traded warrant that is a managed investment warrant. exchange-traded warrant means: (a) 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); or (b) 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). managed investment warrant means a financial product: (a) to which the definition of derivative in subsection 761D(1) of the Act applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii) of the Act; and (b) that is transferable. Short-Form PDS has the same meaning as in Division 3A of Part 7.9 of the Act as notionally inserted by Part 3 of Schedule 10BA to the Corporations Regulations 2001. warrant issuer means: (a) in relation to a managed investment warrant that satisfies paragraph (a) of the definition of exchange-traded warrant—a warrant-issuer (within the meaning of rule [7100] of the ASX operating rules); and (b) in relation to a managed investment warrant that satisfies paragraph (b) of the definition of exchange-traded warrant—a product issuer (within the meaning of rule 1.1 of the Chi-X operating rules).