Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.144

Non - dealer

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

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