Corporations Regulations 2001

CHAPTER 10 - REPEALS, TRANSITIONAL MATTERS AND APPLICATION PROVISIONS  

PART 10.2 - TRANSITIONAL ARRANGEMENTS RELATING TO FINANCIAL SERVICES REFORM LEGISLATION  

Division 29 - Effect on definitions in old Corporations Act of transition to licensed markets and licensed CS facilities  

REGULATION 10.2.143   NON-BROKER  

10.2.143(1)   [ Application]  

For section 1444 of the Act, this regulation applies in relation to a regulated principal.

10.2.143(2)   [ Futures broker]  

A reference in the definition of non-broker in section 9 of the old Corporations Act to a futures broker or one of 2 or more persons who together constitute a futures broker includes:

(a) a financial services licensee; and

(b) one of 2 or more persons who together constitute a financial services licensee.