Commonwealth Consolidated Regulations Commonwealth Consolidated Regulations(1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 or 2 of the table in section 1430 of the Act.
(2) A reference in section 794 of the old Corporations Act to a dealer or an investment adviser includes:
(a) a financial services licensee; and
(b) one of 2 or more persons who together constitute a financial
services licensee.