CHAPTER 7
-
FINANCIAL SERVICES AND MARKETS
History
Ch 7 substituted by SR 2001 No 319, Sch 1
[
15].
[
CCH Note:
Pursuant to the
Corporations Amendment Regulations 2001 (No 4)
(SR 2001 No 319) effective 11 March 2002, Chapter 7 (Securities) comprising reg 7.1.01
-
7.15.01 and Chapter 8 (The futures industry) comprising reg 8.1.01
-
8.7.03 are replaced by a new Chapter 7 (Financial services and markets) comprising reg 7.1.01
-
7.12.01. As the subject matter of the new Chapter 7 relates to the new financial services reform regime,
"
inserted
"
has been used in the history notes for each provision, and all references to the former provisions have been removed.]
PART 7.5
-
COMPENSATION REGIMES FOR FINANCIAL MARKETS
Division 1
-
Preliminary
REGULATION 7.5.03
MEANING OF
DEALER
7.5.03(1)
[
This Part (other than Subdiv 4.7, 4.9 and 4.10)]
For this Part (other than
Subdivisions 4.7
,
4.9
and
4.10
), a person is a dealer if the person is, or has been at any time, a participant of a participating market licensee.
History
Reg 7.5.03(1) amended by SLI 2005 No 38, Sch 1
[
7] (effective 31 March 2005).
SLI 2005 No 38 contained the following transitional provision:
Transitional
4
The amendments made by items
[
1] to
[
26] of Schedule 1 do not apply to a claim under Division
4
of Part
7.5
of the Act that:
(a)
the claimant was entitled to make before 31 March 2005; and
(b)
was not withdrawn or finally determined before 31 March 2005; and
(c)
is made under regulation
7.5.20
,
7.5.21
,
7.5.22
or
7.5.23
, or Subdivision
4.4
or
4.5
of Part
7.5
of the Regulations, as in force immediately before 31 March 2005; and
(d)
is served on the SEGC before 30 September 2005.
Reg 7.5.03(1) amended by SR 2002 No 282, Sch 1
[
6] (effective 1 December 2002).
Reg 7.5.03(1) inserted by SR 2001 No 319, Sch1
[
15] (effective 11 March 2002).
7.5.03(2)
(Omitted by SLI 2005 No 38, Sch 1
[
8] (effective 31 March 2005).)
History
SLI 2005 No 38 contained the following transitional provision:
Transitional
4
The amendments made by items
[
1] to
[
26] of Schedule 1 do not apply to a claim under Division
4
of Part
7.5
of the Act that:
(a)
the claimant was entitled to make before 31 March 2005; and
(b)
was not withdrawn or finally determined before 31 March 2005; and
(c)
is made under regulation
7.5.20
,
7.5.21
,
7.5.22
or
7.5.23
, or Subdivision
4.4
or
4.5
of Part
7.5
of the Regulations, as in force immediately before 31 March 2005; and
(d)
is served on the SEGC before 30 September 2005.
7.5.03(3)
[
Subdiv 4.7, 4.9 and 4.10]
For Subdivisions
4.7
,
4.9
and
4.10
, a person is a
dealer
if the person is:
(a)
a participant of a participating market licensee; or
(b)
a participant of the licensed CS facility operated by ACH.
History
Reg 7.5.03(3) amended by SLI 2005 No 38, Sch 1
[
9] (effective 31 March 2005).
SLI 2005 No 38 contained the following transitional provision:
Transitional
4
The amendments made by items
[
1] to
[
26] of Schedule 1 do not apply to a claim under Division
4
of Part
7.5
of the Act that:
(a)
the claimant was entitled to make before 31 March 2005; and
(b)
was not withdrawn or finally determined before 31 March 2005; and
(c)
is made under regulation
7.5.20
,
7.5.21
,
7.5.22
or
7.5.23
, or Subdivision
4.4
or
4.5
of Part
7.5
of the Regulations, as in force immediately before 31 March 2005; and
(d)
is served on the SEGC before 30 September 2005.
Reg 7.5.03(3) amended by SR 2004 No 398, Sch 1
[
15] (effective 23 December 2004).
Reg 7.5.03(3) amended by SR 2004 No 26, Sch 2
[
13] (effective 11 March 2004).
Reg 7.5.03(3) inserted by SR 2002 No 282, Sch 1
[
9] (effective 1 December 2002).
View history note
Hide history note