Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.128

Situations not giving rise to relevant interests

             (1)  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.

             (2)  A reference in subsection 609(3) of the Act to a financial services licensee includes the regulated principal.

             (3)  A reference in subsection 609(3) of the Act to a financial services business includes the securities business of the regulated principal as defined in section 93 of the old Corporations Act.

             (4)  Subregulations (2) and (3) cease to apply in relation to the regulated person at the end of the transition period in relation to the regulated principal.



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