because of an offence—has the meaning given by section 1311D; and

because of a contravention of a civil penalty provision—has the meaning given by section 1317GAD.

a relinquishment order under section 1317GAB;

subsections 961K(1) and (2) (financial services licensee responsible for breach of certain best interests duties);

section 961L (financial services licensee to ensure compliance with certain best interests duties);

subsection 961Q(1) (authorised representative responsible for breach of certain best interests duties);

section 962P (charging ongoing fee after termination of ongoing fee arrangement);

subsection 962S(1) (fee recipient must give fee disclosure statement);

subsections 963E(1) and (2) (financial services licensee must not accept conflicted remuneration);

section 963F (financial services licensee must ensure representatives do not accept conflicted remuneration);

subsection 963G(1) (authorised representative must not accept conflicted remuneration);

section 963J (employer must not pay employees conflicted remuneration);

section 963K (financial product issuer or seller must not give conflicted remuneration to financial services licensee or representative);

subsection 964A(1) (platform operator must not accept volume-based shelf-space fees);

subsections 964D(1) and (2) (financial services licensee must not charge asset-based fees on borrowed amounts);

subsection 964E(1) (authorised representative must not charge asset-based fees on borrowed amounts);

section 965 (anti-avoidance of Part 7.7A provisions).

with the intention of directly or indirectly gaining an advantage for the corporation; or

with the result that the corporation directly or indirectly gained an advantage.

with the intention of directly or indirectly gaining an advantage for the corporation; or

with the result that the corporation directly or indirectly gained an advantage.

the person contravenes subsection (1); and

either:

the misleading or deceptive statement; or

the omission or new circumstance;

the person contravenes subsection (1); and

either:

the misleading or deceptive statement; or

the omission or new circumstance;

for an individual—3,000 penalty units; and

for a body corporate—15,000 penalty units.

for an individual—200 penalty units; and

for a body corporate—1,000 penalty units.

for an individual—200 penalty units; and

for a body corporate—1,000 penalty units.

for an individual—1,110 penalty units; and

for a body corporate—5,550 penalty units.

the person is required to cause a notice to be lodged under a notice provision; and

the person fails to cause the notice to be lodged in accordance with that provision.

the person fails to cause the notice to be lodged in accordance with section 922D; and

the only reason the person fails to cause the notice to be lodged in accordance with that section is because the information referred to in paragraph 922F(1)(h), (l) or (m) is not included in the notice; and

subsection 922F(3) provides that the notice does not need to include that information.

the providing entity:

gives (see subsection (5)) another person a disclosure document or statement in circumstances in which the document or statement is required by a provision of this Part to be given to the other person; or

is a financial services licensee and gives (see subsection (5)), or makes available to, another person a disclosure document or statement, being a Financial Services Guide or a Supplementary Financial Services Guide, reckless as to whether the other person will or may rely on the information in it; and

the disclosure document or statement is defective.

the representative gives (see subsection (5)) a person a disclosure document or statement, being a Statement of Advice, or information, a statement or a copy of a record required by subsection 941C(5) or (7), 941D(2), 946AA(5), 946B(3), (6) or (8) or 946C(2), in circumstances in which the document or statement is required by a provision of this Part to be given to the person; and

the disclosure document or statement is defective.

was provided to the person by a financial services licensee for whom they were, at that time, an authorised representative; or

was defective because of information, or an omission from information, provided to them by a financial services licensee for whom they were, at that time, an authorised representative.

complies with their obligations under this Part to give disclosure documents or statements as and when required; and

without limiting paragraph (a), does not, in purported compliance with obligations under this Part, give disclosure documents or statements that are defective.

for an individual—3,000 penalty units; and

for a body corporate—15,000 penalty units.

the licensee is required by subsection 982B(1) to pay particular money into an account in accordance with that subsection; and

the licensee does not pay the money into an account in accordance with that subsection.

making a recommendation, as described in subsection 1012A(3), that is received in this jurisdiction;

making an offer, as described in subsection 1012B(3) or 1012C(3), that is received in this jurisdiction;

accepting an offer, made as described in subsection 1012B(3) or (4), that was received in this jurisdiction.

the person prepares (or has someone else prepare for them) a disclosure document or statement (not being information required by paragraph 1012G(3)(a)); and

the disclosure document or statement is defective; and

the person:

gives (see subsection (4)) another person the disclosure document or statement in circumstances in which it is required by a provision of this Part to be given to the other person; or

gives (see subsection (4)), or makes available to, another person the disclosure document or statement, reckless as to whether the other person will or may rely on the information in it.

the person prepares (or has someone else prepare for them) a disclosure document or statement (not being information required by paragraph 1012G(3)(a)); and

the disclosure document or statement is defective; and

the person gives (see subsection (4)), or makes available to, another person the disclosure document or statement, reckless as to whether the other person, or someone else, will or may give it, or make it available, to another person as mentioned in subparagraph (1)(c)(i) or (ii).

for an individual—5 years imprisonment, 2,000 penalty units, or both; and

for a body corporate—20,000 penalty units.

for an offence for which a fine is the only penalty specified—the fine specified; and

for an offence for which a term of imprisonment is the only penalty specified—either the term of imprisonment, the fine worked out under this section, or both.

a term of imprisonment is the only penalty specified for an offence; and

the term of imprisonment is less than 10 years;

a term of imprisonment is the only penalty specified for an offence; and

the term of imprisonment is 10 years or more;

4,500 penalty units; and

if the court can determine the benefit derived and detriment avoided because of the offence—that amount multiplied by 3.

the table item in Schedule 3 relating to subsection 794D(3), which specifies a penalty for each day, or part of a day, in respect of which an offence is committed;

a regulation made under paragraph 1364(2)(w) prescribing a penalty for an individual for a contravention of the regulations.

for an offence for which a fine is the only penalty specified—the fine specified multiplied by 10; and

for an offence for which a term of imprisonment is the only penalty specified—the fine worked out under this section.

a term of imprisonment is the only penalty specified for an offence; and

the term of imprisonment is less than 10 years;

a term of imprisonment is the only penalty specified for an offence; and

the term of imprisonment is 10 years or more;

45,000 penalty units; and

if the court can determine the benefit derived and detriment avoided because of the offence—that amount multiplied by 3; and

(e) 10% of the annual turnover of the body corporate for the 12-month period ending at the end of the month in which the body corporate committed, or began committing, the offence.

subsection 1211B(3), which specifies a penalty for a body corporate;

the table item in Schedule 3 relating to subsection 794D(3), which specifies a penalty for each day, or part of a day, in respect of which an offence is committed;

a regulation made under paragraph 1364(2)(w) prescribing a penalty for a body corporate for a contravention of the regulations.

the total value of all benefits obtained by one or more persons that are reasonably attributable to the commission of the offence; and

the total value of all detriments avoided by one or more persons that are reasonably attributable to the commission of the offence.

if a penalty, pecuniary or otherwise, is specified in Schedule 3 for the provision under which the offence is created, or a provision or provisions in which that provision is included—that penalty; and

if a penalty, pecuniary or otherwise, is specified in any other provision of this Act for the provision under which the offence is created, or a provision or provisions in which that provision is included—that penalty.

the availability of a pecuniary penalty order for the contravention of a civil penalty provision that relates to the same conduct as that which gave rise to the offence;

the availability of an infringement notice in relation to an alleged commission of the offence;

the availability of administrative consequences as a result of the commission of the offence, such as:

disqualification from any office; or

consequences in relation to a licence; or

other actions that may be taken by ASIC under this Act or any other Act;

the availability under any law of the Commonwealth or of a State or Territory (including the general law) of an order to refund money, pay compensation, relinquish a benefit or make any other payment if the offence is committed;

the availability under any law of the Commonwealth or of a State or Territory (including the general law) of an injunction or any other order directing a person to take, or refrain from taking, action if the offence is committed.

the offence is an offence of strict liability; and

20 penalty units is taken to be the penalty specified for the offence.

a decision of ASIC:

to give an infringement notice under section 1317DAM; or

to extend, or to refuse to extend, the payment period for an infringement notice under section 1317DAR; or

to make an arrangement, or to refuse to make an arrangement, to pay the amount payable under an infringement notice by instalments under section 1317DAS; or

to withdraw, or not to withdraw, an infringement notice under section 1317DAT; or

the provision requires the person to do a thing within a particular period or before a particular time; and

the person fails or refuses to do that thing within that period or before that time; and

the failure or refusal occurs on more than 1 day; and

each contravention is constituted by the failure or refusal on one of those days.

strict liability offences against this Act;

absolute liability offences against this Act;

other prescribed offences;

prescribed civil penalty provisions.

be identified by a unique number; and

state the day on which it is given; and

state the name of the person to whom the notice is given; and

state the name and contact details of the person who gave the notice; and

give brief details of the alleged contravention, or each alleged contravention, to which the notice relates, including:

the provision that was allegedly contravened; and

the maximum penalty that a court could impose for each contravention, if the provision were contravened; and

the time (if known) and day of, and the place of, each alleged contravention; and

state the amount that is payable under the notice; and

give an explanation of how payment of the amount is to be made; and

state that the payment period for the notice will be 28 days, beginning on the day on which the notice is given, unless the period is extended, an arrangement is made for payment by instalments or the notice is withdrawn; and

(i) state that, if the person to whom the notice is given pays the amount within the payment period, then (unless the notice is withdrawn):

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person will not be liable to be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person is not liable to be prosecuted in a court, and proceedings seeking a pecuniary penalty order will not be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order will not be brought in relation to the alleged contravention; and

state that payment of the amount is not an admission of guilt or liability; and

state that the person may apply to ASIC to have the period in which to pay the amount extended or for an arrangement to pay the amount by instalments; and

state that the person may choose not to pay the amount and, if the person does so:

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court, or proceedings seeking a pecuniary penalty order may be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may be brought in relation to the alleged contravention; and

set out how the notice can be withdrawn; and

state that if the notice is withdrawn:

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court, or proceedings seeking a pecuniary penalty order may be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may be brought in relation to the alleged contravention; and

state that the person may make written representations to ASIC seeking the withdrawal of the notice.

for a single contravention of an offence provision—half the maximum penalty that a court could impose on the person for the contravention; and

for multiple contraventions of an offence provision—the amount worked out under paragraph (a) for a single contravention multiplied by the number of contraventions; and

for a single contravention of a civil penalty provision—12 penalty units for an individual and 60 penalty units for a body corporate; and

for multiple contraventions of a civil penalty provision—the amount worked out under paragraph (c) for a single contravention multiplied by the number of contraventions.

the last day of the period that, without the extension that has been refused, would be the payment period for the notice;

the day that is 7 days after the day the applicant was given notice of ASIC’s decision not to extend;

the day that is 7 days after the day the application is taken to have been refused under subsection 1317DAR(4).

the last day on which an instalment is to be paid under the arrangement;

if the person fails to pay an instalment in accordance with the arrangement, the last day on which the missed instalment was to be paid.

the last day of the period that, without the instalment arrangement, would be the payment period for the notice;

the day that is 7 days after the day the applicant was given notice of ASIC’s decision not to make the arrangement;

the day that is 7 days after the day the application is taken to have been refused under subsection 1317DAS(4).

the last day of the period that, without the withdrawal, would be the payment period for the notice;

the day that is 7 days after the day the person was given notice of ASIC’s decision not to withdraw the notice;

the day that is 7 days after the day on which, under subsection 1317DAT(5), ASIC is taken to have refused to withdraw the infringement notice.

if a person makes an application in accordance with subsection (1); or

on ASIC’s own initiative.

grant or refuse to grant an extension of the payment period for the infringement notice;

give the applicant notice in writing of ASIC’s decision.

ASIC is taken to have refused to grant an extension of the payment period for the infringement notice; and

the refusal is taken to have occurred on the last day of the 14 day period.

if a person makes an application in accordance with subsection (1); or

on ASIC’s own initiative.

decide to make, or refuse to make, an arrangement for the applicant to pay the amount payable under the infringement notice by instalments;

give the applicant notice in writing of ASIC’s decision;

if ASIC decides to make the arrangement, specify in the notice:

the day by which each instalment is to be paid; and

the amount of each instalment.

ASIC is taken to have refused to make an arrangement for the applicant to pay the amount payable under the infringement notice by instalments; and

the refusal is taken to have occurred on the last day of the 14 day period.

a person does not pay all of the instalments in accordance with an arrangement made under this section; and

the person is prosecuted, or proceedings seeking a pecuniary penalty order are brought, for the alleged contravention;

if the person makes representations to ASIC in accordance with subsection (1); or

on ASIC’s own initiative.

decide to withdraw, or refuse to withdraw, the infringement notice; and

if ASIC decides to withdraw the notice—give the applicant a withdrawal notice in accordance with subsection (6); and

if ASIC decides to refuse to withdraw the notice—give the applicant notice of that fact.

must take into account any written representations seeking the withdrawal that were given by the person to ASIC; and

may take into account the following:

whether a court has previously imposed a penalty on the person for a contravention of a provision of this Act;

the circumstances of the alleged contravention;

whether the person has paid an amount, stated in an earlier infringement notice, for a contravention of a provision of this Act;

any other matter ASIC considers relevant.

ASIC is taken to have refused to make an arrangement for the applicant to pay the amount payable under the infringement notice by instalments; and

the refusal is taken to have occurred on the last day of the 14 day period.

the person’s name and address; and

the day the infringement notice was given; and

the identifying number of the infringement notice; and

that the infringement notice is withdrawn; and

that:

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court, or proceedings seeking a pecuniary penalty order may be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may be brought in relation to the alleged contravention.

ASIC withdraws the infringement notice; and

the person has already paid all or part of the amount stated in the notice;

any liability of the person for the alleged contravention is discharged; and

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may not be prosecuted in a court for the alleged contravention; and

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may not be prosecuted in a court, and proceedings seeking a pecuniary penalty order may not be brought, in relation to the alleged contravention; and

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may not be brought in relation to the alleged contravention; and

the person is not regarded as having admitted guilt or liability for the alleged contravention; and

if the provision is an offence provision—the person is not regarded as having been convicted of the alleged offence.

require an infringement notice to be given to a person for an alleged contravention of a provision subject to an infringement notice under this Part; or

affect the liability of a person for an alleged contravention of a provision subject to an infringement notice under this Part if:

the person does not comply with an infringement notice given to the person for the contravention; or

an infringement notice is not given to the person for the contravention; or

an infringement notice is given to the person for the contravention and is subsequently withdrawn; or

prevent the giving of 2 or more infringement notices to a person for an alleged contravention of a provision subject to an infringement notice under this Part; or

limit a court’s discretion to determine the amount of a penalty to be imposed on a person who is found to have contravened a provision subject to an infringement notice under this Part.

the Court that made the declaration;

the civil penalty provision that was contravened;

the person who contravened the provision;

the conduct that constituted the contravention;

if the contravention is of a corporation/scheme civil penalty provision—the corporation, registered scheme or notified foreign passport fund to which the conduct related;

if the contravention is of subsection 1211B(1) or (2) (complying with the Passport Rules for this jurisdiction)—the passport fund in relation to which the obligation was imposed on the person;

if the contravention is of subsection 670A(4), 727(6), 728(4) or 1309(12) (misleading statements etc.)—the corporation, registered scheme or notified foreign passport fund to which the conduct related.

(a) a provision specified in column 1 of the following table is a civil penalty provision; and

(b) a civil penalty provision categorised as a corporation/scheme provision in column 3 of the following table is a corporation/scheme civil penalty provision; and

(c) a civil penalty provision categorised as a financial services provision in column 3 of the following table is a financial services civil penalty provision; and

(d) a provision that is specified as having no categorisation in column 3 of the following table is neither a corporation/scheme civil penalty provision nor a financial services civil penalty provision.

attempts to contravene a civil penalty provision; or

is involved in a contravention of a civil penalty provision;

a declaration of contravention of the civil penalty provision by the person has been made under section 1317E; and

if the contravention is of a corporation/scheme civil penalty provision, the contravention:

materially prejudices the interests of the corporation, scheme or fund, or its members; or

materially prejudices the corporation’s ability to pay its creditors; or

is serious; and

if the contravention is of a financial services civil penalty provision that is not a Part 7.7A civil penalty provision, the contravention:

materially prejudices the interests of acquirers or disposers of the relevant financial products; or

materially prejudices the issuer of the relevant financial products or, if the issuer is a corporation, scheme or fund, the members of that corporation, scheme or fund; or

is serious; and

if the contravention is of subsection 1211B(1) or (2) (complying with the Passport Rules for this jurisdiction), the contravention:

materially prejudices the interests of the passport fund or its members; or

is serious.

5,000 penalty units; and

if the Court can determine the benefit derived and detriment avoided because of the contravention—that amount multiplied by 3.

50,000 penalty units; and

if the Court can determine the benefit derived and detriment avoided because of the contravention—that amount multiplied by 3; and

either:

10% of the annual turnover of the body corporate for the 12-month period ending at the end of the month in which the body corporate contravened, or began to contravene, the civil penalty provision; or

if the amount worked out under subparagraph (i) is greater than an amount equal to 2.5 million penalty units—2.5 million penalty units.

the nature and extent of the contravention; and

the nature and extent of any loss or damage suffered because of the contravention; and

the circumstances in which the contravention took place; and

whether the person has previously been found by a court (including a court in foreign country) to have engaged in similar conduct.

on its own initiative, during proceedings before the Court; or

on application by ASIC, made within 6 years after the alleged contravention.

the total value of all benefits obtained by one or more persons that are reasonably attributable to the contravention; and

the total value of all detriments avoided by one or more persons that are reasonably attributable to the contravention.

the civil proceedings are dismissed; and

(b) costs must not be awarded in relation to the civil proceedings.

a relinquishment order has been made against the person; or

within a particular period; or

before a particular time;

within a particular period; or

before a particular time;

the person’s intention; or

the person’s knowledge; or

the person’s recklessness; or

the person’s negligence; or

any other state of mind of the person.

at or before the time of the conduct constituting the contravention, the person:

considered whether or not facts existed; and

was under a mistaken but reasonable belief about those facts; and

had those facts existed, the conduct would not have constituted a contravention of the civil penalty provision.

the person had considered, on a previous occasion, whether those facts existed in the circumstances surrounding that occasion; and

the person honestly and reasonably believed that the circumstances surrounding the present occasion were the same, or substantially the same, as those surrounding the previous occasion.

within the actual or apparent scope of the employee’s, agent’s, or officer’s employment; or

within the employee’s, agent’s, or officer’s actual or apparent authority;

make a pecuniary penalty order against a person in relation to a contravention of a civil penalty provision; or

make a relinquishment order against a person in relation to a contravention of a civil penalty provision; or

impose a fine against a person in relation to a commission of an offence constituted by the same conduct as the conduct constituting the contravention of the pecuniary penalty order.

must consider the effect that making the order or imposing the fine would have on the amount available to pay:

compensation to which persons might reasonably be expected to be entitled under section 961M, 1317H, 1317HA, 1317HB, 1317HC or 1317HE; or

refunds to which persons might reasonably be expected to be entitled under section 1317GA; and

give preference to making an appropriate amount available for refunds and compensation under those sections.

compensation under section 961M, 1317H, 1317HA, 1317HB, 1317HC or 1317HE; or

refunds under section 1317GA.

for an individual—5 years imprisonment, 2,000 penalty units, or both; and

for a body corporate—20,000 penalty units.

that section, and any regulations made under that section, had not been repealed; and

section 1311 had not been amended.

in relation to the disqualification of a person from managing corporations under the commencement day; andsection 206B of the Act—to convictions for an offence involving dishonesty that occur on or after

in relation to a decision under the commencement day; andsection 913B of the Act whether to grant an Australian financial services licence—to convictions for an offence involving dishonesty whether the conviction occurs before, on or after

in relation to a decision under the commencement day; andsection 915B of the Act whether to suspend or cancel an Australian financial services licence—to convictions for an offence involving dishonesty whether the conviction occurs before, on or after

in relation to a decision under the commencement day; andsection 920A of the Act whether to make a banning order—to convictions for an offence involving dishonesty whether the conviction occurs before, on or after

in relation to a decision to register a person as a liquidator under the commencement day (whether conviction for the offence involving dishonesty occurs before on or after the commencement day); andsection 20-20 of Schedule 2 to the Act—to decisions made on or after

in relation to the obligation on a registered liquidator under the commencement day; andsection 35-1 of the Schedule 2 to the Act to lodge notice with ASIC of a conviction for an offence involving fraud or dishonesty—to convictions that occur on or after

in relation to a decision under the commencement day; andsection 40-25 of Schedule 2 to the Act to suspend the registration of a person as a liquidator—to convictions for an offence involving dishonesty whether the conviction occurs before, on or after

in relation to a decision under the commencement day; andsection 40-30 of Schedule 2 to the Act to cancel the registration of a person as a liquidator—to convictions for an offence involving dishonesty whether the conviction occurs before, on or after

in relation to a decision under the commencement day.section 40-40 of Schedule 2 to the Act to give a show cause notice—to convictions for an offence involving dishonesty whether the conviction occurs before, on or after

because of an offence—has the meaning given by section 93F; and

because of the contravention of a civil penalty provision—has the meaning given by section 12GBCE.

in relation to an offence against a law—includes an ancillary offence relating to the offence against the law; and

in relation to a civil penalty provision—has a meaning affected by section 12GBCL.

contravenes; or

attempts to contravene; or

is involved in a contravention of;

the Court that made the declaration;

the civil penalty provision that was contravened;

the person who contravened the provision;

the conduct that constituted the contravention.

a provision of Subdivision C;

a provision of Subdivision D (other than section 12DA);

a provision of Subdivision GC.

the nature and extent of the contravention; and

the nature and extent of any loss or damage suffered because of the contravention; and

the circumstances in which the contravention took place; and

whether the person has previously been found by a court (including a court in a foreign country) to have engaged in any similar conduct.

the penalty specified for the civil penalty provision; and

if the Court can determine the benefit derived and detriment avoided because of the contravention—that amount multiplied by 3.

the penalty specified for the civil penalty provision, multiplied by 10; and

if the Court can determine the benefit derived and detriment avoided because of the contravention—that amount multiplied by 3; and

either:

10% of the annual turnover of the body corporate for the 12-month period ending at the end of the month in which the body corporate contravened, or began to contravene, the civil penalty provision; or

if the amount worked out under subparagraph (i) is greater than an amount equal to 2.5 million penalty units—2.5 million penalty units.

on its own initiative, during proceedings before the Court; or

on application by ASIC, made within 6 years after the alleged contravention.

the total value of all benefits obtained by one or more persons that are reasonably attributable to the contravention; and

the total value of all detriments avoided by one or more persons that are reasonably attributable to the contravention.

criminal proceedings are commenced or have already been commenced against the person for an offence; and

the offence is constituted by conduct that is the same, or substantially the same, as the conduct alleged to constitute the contravention.

the civil proceedings are dismissed; and

(b) costs must not be awarded in relation to the civil proceedings.

the individual previously gave the information or produced the documents in proceedings for a declaration of contravention, a pecuniary penalty order or a relinquishment order against the individual for an alleged contravention of a civil penalty provision (whether or not the order was made); and

the conduct alleged to constitute the offence is the same, or substantially the same, as the conduct alleged to constitute the contravention.

attempts to contravene a civil penalty provision; or

is involved in a contravention of a civil penalty provision;

within a particular period; or

before a particular time;

within a particular period; or

before a particular time;

the person’s intention; or

the person’s knowledge; or

the person’s recklessness; or

the person’s negligence; or

any other state of mind of the person.

a liability to pay an amount under:

a pecuniary penalty order made under section 12GBB; or

a relinquishment order made under section 12GBCC;

make a pecuniary penalty order against a person in relation to the contravention of a civil penalty provision; or

make a relinquishment order against a person in relation to the contravention of a civil penalty provision; or

impose a fine against a person in relation to a commission of an offence constituted by the same conduct as the conduct constituting a contravention mentioned in paragraph (a) or (b).

must consider the effect that making the order or imposing the fine would have on the amount available to pay compensation to persons who might reasonably be expected to be entitled to recover compensation for loss or damage suffered as a result of the contravention; and

give preference to making an appropriate amount available for compensation.

the provision requires the person to do a thing within a particular period or before a particular time; and

the person fails or refuses to do that thing within that period or before that time; and

the failure or refusal occurs on more than 1 day; and

each contravention is constituted by the failure or refusal on one of those days.

a provision of Subdivision C;

a provision of Subdivision D, other than section 12DA or 12DE, subsection 12DG(1) or section 12DI or 12DM;

a provision of Subdivision GC.

be identified by a unique number; and

state the day on which it is given; and

state the name of the person to whom the notice is given; and

state the name and contact details of the person who gave the notice; and

give brief details of the alleged contravention, or each alleged contravention, to which the notice relates, including:

the provision that was allegedly contravened; and

the maximum penalty that a court could impose for each contravention, if the provision were contravened; and

the time (if known) and day of, and the place of, each alleged contravention; and

state the amount that is payable under the notice; and

give an explanation of how payment of the amount is to be made; and

state that the payment period for the notice will be 28 days, beginning on the day on which the notice is given, unless the period is extended, an arrangement is made for payment by instalments or the notice is withdrawn; and

(i) state that, if the person to whom the notice is given pays the amount within the payment period, then (unless the notice is withdrawn):

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person will not be liable to be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person is not liable to be prosecuted in a court, and proceedings seeking a pecuniary penalty order will not be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order will not be brought in relation to the alleged contravention; and

state that payment of the amount is not an admission of guilt or liability; and

state that the person may apply to ASIC to have the period in which to pay the amount extended or for an arrangement to pay the amount by instalments; and

state that the person may choose not to pay the amount and, if the person does so:

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court, or proceedings seeking a pecuniary penalty order may be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may be brought in relation to the alleged contravention; and

set out how the notice can be withdrawn; and

state that if the notice is withdrawn:

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court, or proceedings seeking a pecuniary penalty order may be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may be brought in relation to the alleged contravention; and

state that the person may make written representations to ASIC seeking the withdrawal of the notice.

the last day of the period that, without the extension that has been refused, would be the payment period for the notice;

the day that is 7 days after the day the applicant was given notice of ASIC’s decision not to extend;

the day that is 7 days after the day the application is taken to have been refused under subsection 12GXD(4).

the last day on which an instalment is to be paid under the arrangement;

if the person fails to pay an instalment in accordance with the arrangement, the last day on which the missed instalment was to be paid.

the last day of the period that, without the instalment arrangement, would be the payment period for the notice;

the day that is 7 days after the day the applicant was given notice of ASIC’s decision not to make the arrangement;

the day that is 7 days after the day the application is taken to have been refused under subsection 12GXE(4).

the last day of the period that, without the withdrawal, would be the payment period for the notice;

the day that is 7 days after the day the person was given notice of ASIC’s decision not to withdraw the notice;

the day that is 7 days after the day on which, under subsection 12GXF(5), ASIC is taken to have refused to withdraw the infringement notice.

if a person makes an application in accordance with subsection (1); or

on ASIC’s own initiative.

grant or refuse to grant an extension of the payment period for the infringement notice;

give the applicant notice in writing of ASIC’s decision.

ASIC is taken to have refused to grant an extension of the payment period for the infringement notice; and

the refusal is taken to have occurred on the last day of the 14 day period.

if a person makes an application in accordance with subsection (1); or

on ASIC’s own initiative.

decide to make, or refuse to make, an arrangement for the applicant to pay the amount payable under the infringement notice by instalments;

give the applicant notice in writing of ASIC’s decision;

if ASIC decides to make the arrangement, specify in the notice:

the day by which each instalment is to be paid; and

the amount of each instalment.

ASIC is taken to have refused to make an arrangement for the applicant to pay the amount payable under the infringement notice by instalments; and

the refusal is taken to have occurred on the last day of the 14 day period.

a person does not pay all of the instalments in accordance with an arrangement made under this section; and

the person is prosecuted, or proceedings seeking a pecuniary penalty order are brought, for the alleged contravention;

if the person makes representations to ASIC in accordance with subsection (1); or

on ASIC’s own initiative.

decide to withdraw, or refuse to withdraw, the infringement notice; and

if ASIC decides to withdraw the notice—give the applicant a withdrawal notice in accordance with subsection (6); and

if ASIC decides to refuse to withdraw the notice—give the applicant notice of that fact.

must take into account any written representations seeking the withdrawal that were given by the person to ASIC; and

may take into account the following:

whether a court has previously imposed a penalty on the person for a contravention of a provision of this Act;

the circumstances of the alleged contravention;

whether the person has paid an amount, stated in an earlier infringement notice, for a contravention of a provision of this Act;

any other matter ASIC considers relevant.

ASIC is taken to have refused to withdraw the infringement notice; and

the refusal is taken to have occurred on the last day of the 14 day period.

the person’s name and address; and

the day the infringement notice was given; and

the identifying number of the infringement notice; and

that the infringement notice is withdrawn; and

that:

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court, or proceedings seeking a pecuniary penalty order may be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may be brought in relation to the alleged contravention.

ASIC withdraws the infringement notice; and

the person has already paid the amount stated in the notice;

any liability of the person for the alleged contravention is discharged; and

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may not be prosecuted in a court for the alleged contravention; and

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may not be prosecuted in a court, and proceedings seeking a pecuniary penalty order may not be brought, in relation to the alleged contravention; and

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may not be brought in relation to the alleged contravention; and

the person is not regarded as having admitted guilt or liability for the alleged contravention; and

if the provision is an offence provision—the person is not regarded as having been convicted of the alleged offence.

require an infringement notice to be given to a person for an alleged contravention of a provision subject to an infringement notice under this Subdivision; or

affect the liability of a person for an alleged contravention of a provision subject to an infringement notice under this Subdivision if:

the person does not comply with an infringement notice given to the person for the contravention; or

an infringement notice is not given to the person for the contravention; or

an infringement notice is given to the person for the contravention and is subsequently withdrawn; or

prevent the giving of 2 or more infringement notices to a person for an alleged contravention of a provision subject to an infringement notice under this Subdivision; or

limit a court’s discretion to determine the amount of a penalty to be imposed on a person who is found to have contravened a provision subject to an infringement notice under this Subdivision.

for an offence for which a fine is the only penalty specified—the fine specified; and

for an offence for which a term of imprisonment is the only penalty specified—either the term of imprisonment, the fine worked out under this section, or both.

a term of imprisonment is the only penalty specified for an offence; and

the term of imprisonment is less than 10 years;

a term of imprisonment is the only penalty specified for an offence; and

the term of imprisonment is 10 years or more;

4,500 penalty units; and

if the court can determine the benefit derived and detriment avoided because of the offence—that amount multiplied by 3.

for an offence for which a fine is the only penalty specified—the fine specified multiplied by 10; and

for an offence for which a term of imprisonment is the only penalty specified—the fine worked out under this section.

a term of imprisonment is the only penalty specified as the penalty; and

the term of imprisonment is less than 10 years;

a term of imprisonment is the only penalty specified for an offence; and

the term of imprisonment is 10 years or more;

45,000 penalty units; and

if the court can determine the benefit derived and detriment avoided because of the offence—that amount multiplied by 3; and

(e) 10% of the annual turnover of the body corporate for the 12-month period ending at the end of the month in which the body corporate committed, or began committing, the offence.

the total value of all benefits obtained by one or more persons that are reasonably attributable to the commission of the offence; and

the total value of all detriments avoided by one or more persons that are reasonably attributable to the commission of the offence.

the availability of a pecuniary penalty order for the contravention of a civil penalty provision that relates to the same conduct as that which gave rise to the offence;

the availability of an infringement notice in relation to an alleged commission of the offence;

the availability of administrative consequences as a result of the commission of the offence, such as:

disqualification from any office; or

consequences in relation to a licence; or

other actions that may be taken by ASIC under the Corporations legislation;

the availability under any law of the Commonwealth or of a State or Territory (including the general law) of an order to refund money, pay compensation, relinquish a benefit or make any other payment if the offence is committed;

the availability under any law of the Commonwealth or of a State or Territory (including the general law) of an injunction or any other order directing a person to take, or refrain from taking, action if the offence is committed.

the offence is an offence of strict liability; and

20 penalty units is taken to be the penalty specified for the offence.

supplies made from any of those bodies corporate to any other of those bodies corporate; or

supplies that are input taxed; or

(c) supplies that are not for consideration (and are not taxable supplies under A New Tax System (Goods and Services Tax) Act 1999); orsection 72-5 of the

supplies that are not made in connection with an enterprise that the body corporate carries on; or

supplies that are not connected with Australia.

because of an offence—has the meaning given by section 288E; and

because of a contravention of a civil penalty provision—has the meaning given by section 167D.

in relation to an offence against a law—includes an ancillary offence relating to the offence against the law; and

in relation to a civil penalty provision—has a meaning affected by section 169.

the nature and extent of the contravention; and

the nature and extent of any loss or damage suffered because of the contravention; and

the circumstances in which the contravention took place; and

whether the person has previously been found by a court (including a court in foreign country) to have engaged in similar conduct.

the penalty specified for the civil penalty provision; and

if the court can determine the benefit derived and detriment avoided because of the contravention—that amount multiplied by 3.

the penalty specified for the civil penalty provision, multiplied by 10; and

if the court can determine the benefit derived and detriment avoided because of the contravention—that amount multiplied by 3; and

either:

10% of the annual turnover of the body corporate for the 12-month period ending at the end of the month in which the body corporate contravened, or began to contravene, the civil penalty provision; or

if the amount worked out under subparagraph (i) is greater than an amount equal to 2.5 million penalty units—2.5 million penalty units.

on its own initiative during proceedings before the court; or

on application by ASIC, made within 6 years after the alleged contravention.

the total value of all benefits that one or more persons obtained that are reasonably attributable to the contravention; and

the total value of all detriments that one or more persons avoided that are reasonably attributable to the contravention.

attempts to contravene a civil penalty provision; or

is involved in a contravention of a civil penalty provision;

the civil proceedings are dismissed; and

(b) costs must not be awarded in relation to the civil proceedings.

within a particular period; or

before a particular time;

within a particular period; or

before a particular time;

the person’s intention; or

the person’s knowledge; or

the person’s recklessness; or

the person’s negligence; or

any other state of mind of the person.

at or before the time of the conduct constituting the contravention, the person:

considered whether or not facts existed; and

was under a mistaken but reasonable belief about those facts; and

had those facts existed, the conduct would not have constituted a contravention of the civil penalty provision.

the person had considered, on a previous occasion, whether those facts existed in the circumstances surrounding that occasion; and

the person honestly and reasonably believed that the circumstances surrounding the present occasion were the same, or substantially the same, as those surrounding the previous occasion.

within the actual or apparent scope of the employee’s, agent’s, or officer’s employment; or

within the employee’s, agent’s, or officer’s actual or apparent authority;

make a pecuniary penalty order against a person in relation to a contravention of a civil penalty provision; or

make a relinquishment order against a person in relation to a contravention of a civil penalty provision; or

impose a fine against a person in relation to a commission of an offence constituted by the same conduct as the conduct constituting the contravention of the pecuniary penalty order.

must consider the effect that making the order or imposing the fine would have on the amount available to pay compensation to which persons might reasonably be expected to be entitled under section 178, 179 or 180; and

give preference to making an appropriate amount available for compensation under those sections.

for an offence for which a fine is the only penalty specified—the fine specified; and

for an offence for which a term of imprisonment is the only penalty specified—either the term of imprisonment, the fine worked out under this section, or both.

a term of imprisonment is the only penalty specified for an offence; and

the term of imprisonment is less than 10 years;

a term of imprisonment is the only penalty specified for the offence; and

the term of imprisonment is 10 years or more;

4,500 penalty units; and

if the court can determine the benefit derived and detriment avoided because of the offence—that amount multiplied by 3.

for an offence for which a fine is the only penalty specified—the fine specified multiplied by 10; and

for an offence for which a term of imprisonment is the only penalty specified—the fine worked out under this section.

a term of imprisonment is the only penalty specified for an offence; and

the term of imprisonment is less than 10 years;

a term of imprisonment is the only penalty specified for an offence; and

the term of imprisonment is 10 years or more;

45,000 penalty units; and

if the court can determine the benefit derived and detriment avoided because of the offence—that amount multiplied by 3; and

10% of the annual turnover of the body corporate for the 12-month period ending at the end of the month in which the body corporate committed, or began committing, the offence.

the total value of all benefits obtained by one or more persons that are reasonably attributable to the commission of the offence; and

the total value of all detriments avoided by one or more persons that are reasonably attributable to the commission of the offence.

the availability of a pecuniary penalty order for the contravention of a civil penalty provision that relates to the same conduct as that which gave rise to the offence;

the availability of an infringement notice in relation to an alleged commission of the offence;

the availability of administrative consequences as a result of the commission of the offence, such as:

disqualification from any office; or

consequences in relation to a licence; or

other actions that may be taken by ASIC under this Act or any other Act;

the availability under any law of the Commonwealth or of a State or Territory (including the general law) of an order to refund money, pay compensation, relinquish a benefit or make any other payment if the offence is committed;

the availability under any law of the Commonwealth or of a State or Territory (including the general law) of an injunction or any other order directing a person to take, or refrain from taking, action if the offence is committed.

the offence is an offence of strict liability; and

20 penalty units is taken to be the penalty specified for the offence.

the provision requires the person to do a thing within a particular period or before a particular time; and

the person fails or refuses to do that thing within that period or before that time; and

the failure or refusal occurs on more than 1 day; and

each contravention is constituted by the failure or refusal on one of those days.

strict liability offences against this Act;

other prescribed offences against this Act;

prescribed civil penalty provisions;

prescribed provisions of the National Credit Code containing key requirements (as defined for the purposes of the National Credit Code).

be identified by a unique number; and

state the day on which it is given; and

state the name of the person to whom the notice is given; and

state the name and contact details of the person who gave the notice; and

give brief details of the alleged contravention, or each alleged contravention, to which the notice relates, including:

the provision that was allegedly contravened; and

the maximum penalty that a court could impose for each contravention, if the provision were contravened; and

the time (if known) and day of, and the place of, each alleged contravention; and

state the amount that is payable under the notice; and

give an explanation of how payment of the amount is to be made; and

state that the payment period for the notice will be 28 days, beginning on the day on which the notice is given, unless the period is extended, an arrangement is made for payment by instalments or the notice is withdrawn; and

(i) state that, if the person to whom the notice is given pays the amount within the payment period, then (unless the notice is withdrawn):

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person will not be liable to be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person is not liable to be prosecuted in a court, and proceedings seeking a pecuniary penalty order will not be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order will not be brought in relation to the alleged contravention; and

state that payment of the amount is not an admission of guilt or liability; and

state that the person may apply to ASIC to have the period in which to pay the amount extended or for an arrangement to pay the amount by instalments; and

state that the person may choose not to pay the amount and, if the person does so:

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court, or proceedings seeking a pecuniary penalty order may be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may be brought in relation to the alleged contravention; and

set out how the notice can be withdrawn; and

state that if the notice is withdrawn:

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court, or proceedings seeking a pecuniary penalty order may be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may be brought in relation to the alleged contravention; and

state that the person may make written representations to ASIC seeking the withdrawal of the notice.

for a single contravention of an offence provision—one-fifth of the maximum penalty that a court could impose on the person for the contravention; and

for multiple contraventions of an offence provision—the amount worked out under paragraph (a) for a single contravention multiplied by the number of contraventions; and

for a single contravention of a civil penalty provision—50 penalty units for an individual and 250 penalty units for a body corporate; and

for multiple contraventions of a civil penalty provision—the amount worked out under paragraph (c) for a single contravention multiplied by the number of contraventions.

the last day of the period that, without the extension that has been refused, would be the payment period for the notice;

the day that is 7 days after the day the applicant was given notice of ASIC’s decision not to extend;

the day that is 7 days after the day the application is taken to have been refused under subsection 288N(4).

the last day on which an instalment is to be paid under the arrangement;

if the person fails to pay an instalment in accordance with the arrangement, the last day on which the missed instalment was to be paid.

the last day of the period that, without the instalment arrangement, would be the payment period for the notice;

the day that is 7 days after the day the applicant was given notice of ASIC’s decision not to make the arrangement;

the day that is 7 days after the day the application is taken to have been refused under subsection 288P(4).

the last day of the period that, without the withdrawal, would be the payment period for the notice;

the day that is 7 days after the day the person was given notice of ASIC’s decision not to withdraw the notice;

the day that is 7 days after the day on which, under subsection 288Q(5), ASIC is taken to have refused to withdraw the infringement notice.

if a person makes an application in accordance with subsection (1); or

on ASIC’s own initiative.

grant or refuse to grant an extension of the payment period for the infringement notice;

give the applicant notice in writing of ASIC’s decision.

ASIC is taken to have refused to grant an extension of the payment period for the infringement notice; and

the refusal is taken to have occurred on the last day of the 14 day period.

if a person makes an application in accordance with subsection (1); or

on ASIC’s own initiative.

decide to make, or refuse to make, an arrangement for the applicant to pay the amount payable under the infringement notice by instalments;

give the applicant notice in writing of ASIC’s decision;

if ASIC decides to make the arrangement, specify in the notice:

the day by which each instalment is to be paid; and

the amount of each instalment.

ASIC is taken to have refused to make an arrangement for the applicant to pay the amount payable under the infringement notice by instalments; and

the refusal is taken to have occurred on the last day of the 14 day period.

a person does not pay all of the instalments in accordance with an arrangement made under this section; and

the person is prosecuted, or proceedings seeking a pecuniary penalty order are brought, for the alleged contravention;

if the person makes representations to ASIC in accordance with subsection (1); or

on ASIC’s own initiative.

decide to withdraw, or refuse to withdraw, the infringement notice; and

if ASIC decides to withdraw the notice—give the person to whom the notice was issued a withdrawal notice in accordance with subsection (6); and

if ASIC decides to refuse to withdraw the notice—give the applicant notice of that fact.

must take into account any written representations seeking the withdrawal that were given by the person to ASIC; and

may take into account the following:

whether a court has previously imposed a penalty on the person for a contravention of a provision of this Act;

the circumstances of the alleged contravention;

whether the person has paid an amount, stated in an earlier infringement notice, for a contravention of a provision of this Act;

any other matter ASIC considers relevant.

ASIC is taken to have refused to withdraw the infringement notice; and

the refusal is taken to have occurred on the last day of the 14 day period.

the person’s name and address; and

the day the infringement notice was given; and

the identifying number of the infringement notice; and

that the infringement notice is withdrawn; and

that:

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court, or proceedings seeking a pecuniary penalty order may be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may be brought in relation to the alleged contravention.

ASIC withdraws the infringement notice; and

the person has already paid all or part of the amount stated in the notice;

any liability of the person for the alleged contravention is discharged; and

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may not be prosecuted in a court for the alleged contravention; and

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may not be prosecuted in a court, and proceedings seeking a pecuniary penalty order may not be brought, in relation to the alleged contravention; and

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may not be brought in relation to the alleged contravention; and

the person is not regarded as having admitted guilt or liability for the alleged contravention; and

if the provision is an offence provision—the person is not regarded as having been convicted of the alleged offence.

require an infringement notice to be given to a person for an alleged contravention of a provision subject to an infringement notice under this Part; or

affect the liability of a person for an alleged contravention of a provision subject to an infringement notice under this Part if:

the person does not comply with an infringement notice given to the person for the contravention; or

an infringement notice is not given to the person for the contravention; or

an infringement notice is given to the person for the contravention and is subsequently withdrawn; or

prevent the giving of 2 or more infringement notices to a person for an alleged contravention of a provision subject to an infringement notice under this Part; or

limit a court’s discretion to determine the amount of a penalty to be imposed on a person who is found to have contravened a provision subject to an infringement notice under this Part.

the person is subject to a requirement under subsection (1) or (1A); and

the person engages in conduct; and

the conduct contravenes the requirement.

the person is subject to a requirement under subsection (1); and

the person engages in conduct; and

the conduct contravenes the requirement.

the person is subject to a requirement under subsection (1); and

the person engages in conduct; and

the conduct contravenes the requirement.

the person is subject to a requirement under subsection (1); and

the person engages in conduct; and

the conduct contravenes the requirement.

the person is subject to a requirement under subsection (1); and

the person engages in conduct; and

the conduct contravenes the requirement.

the person is subject to a requirement under subsection (1); and

the person engages in conduct; and

the conduct contravenes the requirement.

supplies made from any of those bodies corporate to any other of those bodies corporate; or

supplies that are input taxed; or

(c) supplies that are not for consideration (and are not taxable supplies under A New Tax System (Goods and Services Tax) Act 1999); orsection 72-5 of the

supplies that are not made in connection with an enterprise that the body corporate carries on; or

supplies that are not connected with Australia.

the words “civil penalty” and one or more amounts in penalty units are set out at the foot of the subsection (or section); or

another provision of this Act specifies that the subsection (or section) is a civil penalty provision.

in relation to an offence against a law—includes an ancillary offence relating to the offence against the law; and

in relation to a civil penalty provision—has a meaning affected by section 75Q.

the Federal Court of Australia; or

the Federal Circuit Court of Australia; or

the Supreme Court of a State or Territory.

the court that made the declaration;

the civil penalty provision that was contravened;

the person who contravened the provision;

the conduct that constituted the contravention.

the nature and extent of the contravention; and

the nature and extent of any loss or damage suffered because of the contravention; and

the circumstances in which the contravention took place; and

whether the person has previously been found by a court (including a court in a foreign country) to have engaged in any similar conduct.

the penalty specified for the civil penalty provision; and

if the court can determine the benefit derived and detriment avoided because of the contravention—that amount multiplied by 3.

the penalty specified for the civil penalty provision, multiplied by 10; and

if the court can determine the benefit derived and detriment avoided because of the contravention—that amount multiplied by 3; and

either:

10% of the annual turnover of the body corporate for the 12-month period ending at the end of the month in which the body corporate contravened, or began to contravene, the civil penalty provision; or

if the amount worked out under subparagraph (i) is greater than an amount equal to 2.5 million penalty units—2.5 million penalty units.

the total value of all benefits obtained by one or more persons that are reasonably attributable to the contravention; and

the total value of all detriments avoided by one or more persons that are reasonably attributable to the contravention.

criminal proceedings are commenced or have already been commenced against the person for an offence; and

the offence is constituted by conduct that is the same, or substantially the same, as the conduct alleged to constitute the contravention.

the civil proceedings are dismissed; and

(b) costs must not be awarded in relation to the civil proceedings.

the individual previously gave the information or produced the documents in proceedings for a declaration of contravention or a pecuniary penalty order against the individual for an alleged contravention of a civil penalty provision (whether or not the order was made); and

the conduct alleged to constitute the offence is the same, or substantially the same, as the conduct alleged to constitute the contravention.

attempts to contravene a civil penalty provision; or

is involved in a contravention of a civil penalty provision;

within a particular period; or

before a particular time;

within a particular period; or

before a particular time;

the person’s intention; or

the person’s knowledge; or

the person’s recklessness; or

the person’s negligence; or

any other state of mind of the person.

at or before the time of the conduct constituting the contravention, the person:

considered whether or not facts existed; and

was under a mistaken but reasonable belief about those facts; and

had those facts existed, the conduct would not have constituted a contravention of the civil penalty provision.

the person had considered, on a previous occasion, whether those facts existed in the circumstances surrounding that occasion; and

the person honestly and reasonably believed that the circumstances surrounding the present occasion were the same, or substantially the same, as those surrounding the previous occasion.

within the actual or apparent scope of the employee’s, agent’s, or officer’s employment; or

within the employee’s, agent’s, or officer’s actual or apparent authority;

the provision requires the person to do a thing within a particular period or before a particular time; and

the person fails or refuses to do that thing within that period or before that time; and

the failure or refusal occurs on more than 1 day; and

each contravention is constituted by the failure or refusal on one of those days.

prescribed offences;

prescribed civil penalty provisions.

be identified by a unique number; and

state the day on which it is given; and

state the name of the person to whom the notice is given; and

state the name and contact details of the person who gave the notice; and

give brief details of the alleged contravention, or each alleged contravention, to which the notice relates, including:

the provision that was allegedly contravened; and

the maximum penalty that a court could impose for each contravention, if the provision were contravened; and

the time (if known) and day of, and the place of, each alleged contravention; and

state the amount that is payable under the notice; and

give an explanation of how payment of the amount is to be made; and

state that the payment period for the notice will be 28 days, beginning on the day on which the notice is given, unless the period is extended, an arrangement is made for payment by instalments or the notice is withdrawn; and

(i) state that, if the person to whom the notice is given pays the amount within the payment period, then (unless the notice is withdrawn):

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person will not be liable to be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person is not liable to be prosecuted in a court, and proceedings seeking a pecuniary penalty order will not be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order will not be brought in relation to the alleged contravention; and

state that payment of the amount is not an admission of guilt or liability; and

state that the person may apply to ASIC to have the period in which to pay the amount extended or for an arrangement to pay the amount by instalments; and

state that the person may choose not to pay the amount and, if the person does so:

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court, or proceedings seeking a pecuniary penalty order may be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may be brought in relation to the alleged contravention; and

set out how the notice can be withdrawn; and

state that if the notice is withdrawn:

if the alleged contravention is of an offence provision and would not also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court for the alleged contravention; or

if the alleged contravention is of an offence provision and would also constitute a contravention of a civil penalty provision—the person may be prosecuted in a court, or proceedings seeking a pecuniary penalty order may be brought, in relation to the alleged contravention; or

if the alleged contravention is of a civil penalty provision—proceedings seeking a pecuniary penalty order may be brought in relation to the alleged contravention; and

state that the person may make written representations to ASIC seeking the withdrawal of the notice.

for a single contravention of an offence provision—half the maximum penalty that a court could impose on the person for the contravention; and

for multiple contraventions of an offence provision—the amount worked out under paragraph (a) for a single contravention multiplied by the number of contraventions; and

for a single contravention of a civil penalty provision—12 penalty units for an individual and 60 penalty units for a body corporate; and

for multiple contraventions of a civil penalty provision—the amount worked out under paragraph (c) for a single contravention multiplied by the number of contraventions.

the last day of the period that, without the extension that has been refused, would be the payment period for the notice;

the day that is 7 days after the day the applicant was given notice of ASIC’s decision not to extend;

the day that is 7 days after the day the application is taken to have been refused under subsection 75ZA(4).

the last day on which an instalment is to be paid under the arrangement;

if the person fails to pay an instalment in accordance with the arrangement, the last day on which the missed instalment was to be paid.

the last day of the period that, without the instalment arrangement, would be the payment period for the notice;

the day that is 7 days after the day the applicant was given notice of ASIC’s decision not to make the arrangement;

the day that is 7 days after the day the application is taken to have been refused under subsection 75ZB(4).

the last day of the period that, without the withdrawal, would be the payment period for the notice;

the day that is 7 days after the day the person was given notice of ASIC’s decision not to withdraw the notice;

the day that is 7 days after the day on which, under subsection 75ZC(5), ASIC is taken to have refused to withdraw the infringement notice.

if a person makes an application in accordance with subsection (1); or

on ASIC’s own initiative.

grant or refuse to grant an extension of the payment period for the infringement notice;

give the applicant notice in writing of ASIC’s decision.

ASIC is taken to have refused to grant an extension of the payment period for the infringement notice; and

the refusal is taken to have occurred on the last day of the 14 day period.

if a person makes an application in accordance with subsection (1); or

on ASIC’s own initiative.

decide to make, or refuse to make, an arrangement for the applicant to pay the amount payable under the infringement notice by instalments;

give the applicant notice in writing of ASIC’s decision;

if ASIC decides to make the arrangement, specify in the notice:

the day by which each instalment is to be paid; and

the amount of each instalment.

ASIC is taken to have refused to make an arrangement for the applicant to pay the amount payable under the infringement notice by instalments; and

the refusal is taken to have occurred on the last day of the 14 day period.

a person does not pay all of the instalments in accordance with an arrangement made under this section; and

the person is prosecuted, or proceedings seeking a pecuniary penalty order are brought, for the alleged contravention;

if the person makes representations to ASIC in accordance with subsection (1); or

on ASIC’s own initiative.

decide to withdraw, or refuse to withdraw, the infringement notice; and

if ASIC decides to withdraw the notice—give the applicant a withdrawal notice in accordance with subsection (6); and

if ASIC decides to refuse to withdraw the notice—give the applicant notice of that fact.

must take into account any written representations seeking the withdrawal that were given by the person to ASIC; and

may take into account the following:

whether a court has previously imposed a penalty on the person for a contravention of a provision of this Act;

the circumstances of the alleged contravention;