Corporations Regulations 2001

CHAPTER 10 - REPEALS, TRANSITIONAL MATTERS AND APPLICATION PROVISIONS  

PART 10.2 - TRANSITIONAL ARRANGEMENTS RELATING TO FINANCIAL SERVICES REFORM LEGISLATION  

Division 13 - Regulated principals  

REGULATION 10.2.40   REFERENCE TO FINANCIAL SERVICES LICENSEE: SECTION 911A OF THE ACT  

10.2.40(1)   [ Application]  

This regulation applies in relation to the following provisions of the Act:

(a) subparagraph 911A(2) (f)(viii);

(b) subparagraph 911A(2) (f)(ix);

(c) paragraph 911A(3) (a);

(d) paragraph 911A(3) (c).

10.2.40(2)   [ Interpretation]  

A reference in those provisions to a financial services licensee includes a regulated principal.

10.2.40(3)   [ Limitation]  

Subregulation (2) ceases to apply in relation to a regulated principal at the end of the transition period in relation to the regulated principal.