Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.143

Non-broker

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

             (2)  A reference in the definition of non-broker in section 9 of the old Corporations Act to a futures broker or one of 2 or more persons who together constitute a futures broker includes:

                     (a)  a financial services licensee; and

                     (b)  one of 2 or more persons who together constitute a financial services licensee.



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