Corporations Regulations 2001

CHAPTER 10 - REPEALS, TRANSITIONAL MATTERS AND APPLICATION PROVISIONS  

PART 10.2 - TRANSITIONAL ARRANGEMENTS RELATING TO FINANCIAL SERVICES REFORM LEGISLATION  

Division 30 - Effect on certain conduct of transition to licensed markets and licensed CS facilities  

REGULATION 10.2.148   CONDITIONS OF DEALERS LICENCE  

10.2.148(1)   [ Application]  

For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 or 2 of the table in section 1430 of the Act.

10.2.148(2)   [ Member of a securities exchange]  

A reference in subsection 786(8) of the old Corporations Act to a member of a securities exchange includes a participant of a licensed market for securities.

10.2.148(3)   [ Securities exchange]  

A reference in subsection 786(8) of the old Corporations Act to a securities exchange includes a market licensee.

10.2.148(4)   [ Member firm]  

A reference in subsection 786(8) of the old Corporations Act to a member firm includes a participating firm.