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 10.2.165   AUDITOR TO REPORT TO ASIC IN CERTAIN CASES  

10.2.165(1)   [ Application]  

For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 3 of the table in section 1430 of the Act.

10.2.165(2)   [ Futures exchange of which broker is member]  

A reference in subsection 1220(1) of the old Corporations Act to a futures exchange of which a broker is a member includes:

(a) the operator of a licensed market for derivatives; and

(b) the operator of a licensed CS facility that provides its services for the clearing and settlement of transactions effected through that licensed market.

10.2.165(3)   [ Futures exchange of which broker is member]  

A reference in paragraph 1220(1)(b) of the old Corporations Act to a futures exchange of which a broker is a member includes:

(a) the operator of a licensed market for derivatives; and

(b) the operator of a licensed CS facility that provides its services for the clearing and settlement of transactions effected through that licensed market.