CP 107 Securities lending and substantial holding disclosure

Released 3 July 2009. Comments closed 7 August 2009.

In this consultation paper, we are seeking to improve disclosure of substantial holdings that may arise from participation in securities lending or prime broking.

The paper explains how the concept of relevant interests in s608 and 609 and the substantial holding disclosure requirements in s671B of the Corporations Act 2001 (Corporations Act) apply to securities lending and prime broking.

We ask for feedback from you on whether ASIC should modify the substantial holding disclosure requirements for securities lending and prime broking to ensure that the market has useful information within the required time frames.

Download CP 107 (PDF 186 KB) | Read the report on submissions

Australian Bankers' Association
Australian Custodial Services Association
Australian Financial Markets Association
Law Council of Australia
National Australia Bank
RiskMetrics Group
Securities & Derivatives Industry Association


Last updated: 03/07/2009 12:00