Corporations Regulations 2001

CHAPTER 10 - REPEALS, TRANSITIONAL MATTERS AND APPLICATION PROVISIONS  

PART 10.2 - TRANSITIONAL ARRANGEMENTS RELATING TO FINANCIAL SERVICES REFORM LEGISLATION  

Division 34 - Effect on certain instruments of transition of financial service providers and transition to licensed markets and licensed CS facilities  

REGULATION 10.2.194   REFERENCES TO CERTAIN MATTERS  

10.2.194(1)   [ Application]  

For section 1444 of the Act, this regulation applies in relation to:

(a) a regulated principal; and

(b) the following instruments:

(i) an approval of a stock market under subsection 770A(2) of the old Corporations Act;

(ii) a declaration of an exempt stock market under subsection 771(1) of the old Corporations Act;

(iii) a declaration of an exempt futures market under subsection 1127(1) of the old Corporations Act.

10.2.194(2)   [ Securities dealer's licence]  

A reference in an instrument to a securities dealer's licence includes a Australian financial service licence that authorises the holder to deal in securities.

10.2.194(3)   [ Business rules of securities exchange]  

A reference in an instrument to the business rules of a securities exchange or a stock exchange includes the operating rules of a licensed market for securities.

10.2.194(4)   [ Person who is not retail investor]  

A reference in an instrument to a person who is not a retail investor within the meaning of subregulation 7.3.02B(8) of the old Corporations Regulations includes a professional investor within the meaning of section 9 of the Act.

10.2.194(5)   [ Prospectus or replacement prospectus]  

A reference in an instrument to:

(a) a prospectus; or

(b) a replacement prospectus;

includes a Product Disclosure Statement.

10.2.194(6)   [ Supplementary prospectus]  

A reference in an instrument to a supplementary prospectus includes a supplementary Product Disclosure Statement.

10.2.194(7)   [ Commission]  

A reference in an instrument to the Commission includes ASIC.

10.2.194(8)   [ ASC]  

A reference in an instrument to the ASC includes ASIC.

10.2.194(9)   [ Futures brokers licence]  

A reference in an instrument to a futures brokers licence includes an Australian financial services licence that authorises the holder to deal in derivatives.

10.2.194(10)   [ Futures licensee]  

A reference in an instrument to a futures licensee includes a person who holds an Australian financial services licence that authorises the holder to deal in derivatives.

10.2.194(11)   [ Division 2 of Pt 4.1 of old Corporations Act]  

A reference in an instrument to Division 2 of Part 4.1 of the old Corporations Act includes Division 2 of Part 5B.2 of the Act.

10.2.194(12)   [ Section 345 of old Corporations Act]  

A reference in an instrument to section 345 of the old Corporations Act includes section 601CF of the Act.

10.2.194(13)   [ Clearing house]  

A reference in an instrument to a clearing house includes a licensed clearing and settlement facility.

10.2.194(14)   [ Approved futures exchange]  

A reference in an instrument to an approved futures exchange includes a licensed market operated by:

(a) Sydney Futures Exchange Limited; or

(b) SFE Corporation Limited; or

(c) ASX Futures Exchange Pty Limited.

10.2.194(15)   [ Recognised futures exchange]  

A reference in an instrument to a recognised futures exchange includes a recognised futures exchange mentioned in Schedule 11 to the old Corporations Regulations.

10.2.194(16)   [ Futures market]  

A reference in an instrument to a futures market of any exchange includes a financial market in relation to derivatives operated by a market licensee.