Corporations Regulations 2001

CHAPTER 10 - REPEALS, TRANSITIONAL MATTERS AND APPLICATION PROVISIONS  

PART 10.2 - TRANSITIONAL ARRANGEMENTS RELATING TO FINANCIAL SERVICES REFORM LEGISLATION  

Division 33 - Effect on Corporations Regulations 2001 of transition of financial service providers and transition to licensed markets and licensed CS facilities  

REGULATION 10.2.180   LICENCE CONDITIONS - INVESTMENT ADVICE TO RETAIL INVESTORS  

10.2.180(1)   [ Application]  

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

10.2.180(2)   [ Holder of dealers or investment advisers licence]  

A reference in subregulation 7.3.02B(8) of the old Corporations Regulations to:

(a) the holder of a dealers licence; or

(b) the holder of an investment advisers licence;

includes a financial services licensee.