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 10.2.152   DEALERS' FINANCIAL RECORDS  

10.2.152(1)   [ Application]  

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

10.2.152(2)   [ Dealer]  

A reference in paragraph 856(10)(c) of the old Corporations Act to a dealer includes a financial services licensee.