Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.163

Accounts to be kept by futures brokers

             (1)  For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 3 of the table in section 1430 of the Act.

             (2)  A reference in subparagraph 1213(2)(b)(vii) of the old Corporations Act to the business rules of a futures exchange includes the operating rules of a licensed market for derivatives.

             (3)  A reference in subparagraph 1213(2)(b)(vii) of the old Corporations Act to the futures market of a futures exchange includes a licensed market for derivatives.

             (4)  A reference in paragraph 1213(4)(d) of the old Corporations Act to another futures broker includes a financial services licensee.

             (5)  A reference in subsection 1213(5) of the old Corporations Act to a futures exchange includes an operator of a licensed market for derivatives.

             (6)  A reference in subsection 1213(5) of the old Corporations Act to a member includes a participant of a licensed market for derivatives.

             (7)  A reference in subsection 1213(5) of the old Corporations Act to recording a matter pursuant to subsection 1270(3) of the old Corporations Act includes recording a matter for section 1101C of the amended Corporations Act.



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