12Disclosure to Commission

12 Disclosure to Commission

(1) The Commission may require a dealer to disclose to the Commission, in relation to any acquisition or disposal of securities, the name of the person from or through whom or on whose behalf the securities were acquired or to or through whom or on whose behalf the securities were disposed of and the nature of the instructions given to the dealer in respect of the acquisition or disposal. (2) The Commission may require a person who has acquired or disposed of securities to disclose to the Commission whether he acquired or disposed of those securities, as the case may be, as trustee for, or for or on behalf of, another person and, if he acquired or disposed of those securities as trustee for, or for or on behalf of, another person, to disclose the name of that other person and the nature of any instructions given to the first‑mentioned person in respect of the acquisition or disposal. (3) The Commission may require a securities exchange to disclose to the Commission, in relation to an acquisition or disposal of securities on the stock market of that securities exchange, the names of the members of that securities exchange who acted in the acquisition or disposal. (3A) Where the Commission considers:

(a) that it may be necessary to prohibit trading in securities of, or made available by, a body corporate;

(b) that a person may have contravened section 123, 124, 125, 126, 127, 128 or 132 in relation to securities of, or made available by, a body corporate;

(c) that a person may have contravened a provision of Division 4 of Part IV of the Companies Act 1981 in relation to shares in a body corporate;

(d) that an acquisition of shares in a body corporate may have occurred in circumstances of a kind referred to in subsection 60(1) of the Companies (Acquisition of Shares) Act 1980; or

(e) that a person may have engaged in conduct that has had a result of a kind referred to in subsection 60(3) of the Companies (Acquisition of Shares) Act 1980;

the Commission:

(f) may require:

(i) in a case to which paragraph (a), (b), (c) or (d) applies—a director, secretary or executive officer of the body corporate referred to in that paragraph; or

(ii) in a case to which paragraph (e) applies—a director, secretary or executive officer of a body corporate in relation to shares in which, or affairs of which, that conduct was engaged in;

to disclose to the Commission any information of which he is aware, being information that might have affected any dealing that has taken place, or that might affect any dealing that may take place, in securities of, or made available by, the body corporate of which he is the director, secretary or executive officer, as the case may be; and

(g) may require a person whom the Commission believes on reasonable grounds to be capable of giving information concerning: