ASIC Corporations (Foreign Financial Services Providers—Foreign AFS Licensees) Instrument 2020/198 (Cth)

ASIC Corporations (Foreign Financial Services Providers—Foreign AFS Licensees) Instrument 2020/198

About this compilation

Compilation No. 1

This is a compilation of ASIC Corporations (Foreign Financial Services Providers—Foreign AFS Licensees) Instrument 2020/198 as in force on 1 September 2023. It includes any commenced amendment affecting the legislative instrument to that date.

This compilation was prepared by the Australian Securities and Investments Commission.

The notes at the end of this compilation (the endnotes) include information about amending instruments and the amendment history of each amended provision.

Contents

Part 1—Preliminary 1 Name of legislative instrument 3 Authority 4 Definitions 5 Meaning of US SEC regulated financial service provider 6 Meaning of US Federal Reserve and OCC regulated financial service provider 7 Meaning of US CFTC regulated financial services provider 8 Meaning of Singapore MAS regulated financial service provider 9 Meaning of Hong Kong SFC regulated financial service provider 10 Meaning of German BaFin regulated financial service provider 11 Meaning of Luxembourg CSSF regulated financial services provider 12 Meaning of UK regulated financial service provider 13 Meaning of Danish FSA regulated financial service provider 14 Meaning of Swedish FI regulated financial service provider 15 Meaning of French AMF regulated financial service provider 16 Meaning of French ACPR regulated financial service provider 17 Meaning of Ontario OSC regulated financial service provider Part 2—Exemption 18 Exemption from certain requirements of Chapter 7 of the Act 19 Conditions Part 3—Declaration 20 Modification of Part 7.8 Schedule 1—Meaning of home jurisdiction and wholesale financial service 1 Interpretation 2 Meaning of home jurisdiction and wholesale financial service Endnotes Endnote 1—Instrument history Endnote 2—Amendment history