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Whole Section

  • Part I Scope of Chapter

    • 301

      (1) This Chapter sets out:
      (a) the purpose of the Disciplinary Committee and Appeals Committee;
      (b) the administrative and enforcement powers of the Exchange;
      (c) the process for disciplinary proceedings and appeals proceedings; and
      (d) the powers of the Disciplinary Committee and Appeals Committee.
      (2) For the purposes of this Chapter, the following terms, unless the context requires otherwise, have the following meanings:
      Term Meaning
      "Relevant Person" means an issuer, its directors, executive officers, a sponsor or registered professional.
      "Relevant Rule" means the relevant provision(s) in the rules of Catalist.

      Amended on 7 October 20157 October 2015.

    • 302

      For the purposes of this Chapter, a Relevant Person is deemed to have contravened a Relevant Rule when a Relevant Person has:

      (1) committed an act in breach of a Relevant Rule;
      (2) omitted to do an act which resulted in a breach of a Relevant Rule;
      (3) failed to comply with a requirement imposed by the Exchange;
      (4) failed to comply with a requirement imposed or an order issued by the Disciplinary Committee or Appeals Committee;
      (5) caused another Relevant Person to commit an act in breach of a Relevant Rule;
      (6) caused another Relevant Person to omit to do an act which resulted in a breach of a Relevant Rule;
      (7) caused another Relevant Person to fail to comply with a requirement imposed by the Exchange; or
      (8) caused another Relevant Person to fail to comply with a requirement imposed or order issued by the Disciplinary Committee or the Appeals Committee.

      Amended on 7 October 20157 October 2015.