Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.165

Auditor to report to ASIC in certain cases

             (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 subsection 1220(1) of the old Corporations Act to a futures exchange of which a broker is a member includes:

                     (a)  the operator of a licensed market for derivatives; and

                     (b)  the operator of a licensed CS facility that provides its services for the clearing and settlement of transactions effected through that licensed market.

             (3)  A reference in paragraph 1220(1)(b) of the old Corporations Act to a futures exchange of which a broker is a member includes:

                     (a)  the operator of a licensed market for derivatives; and

                     (b)  the operator of a licensed CS facility that provides its services for the clearing and settlement of transactions effected through that licensed market.



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