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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