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(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.
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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.