Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.180

Licence conditions--investment advice to retail investors

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

             (2)  A reference in subregulation 7.3.02B(8) of the old Corporations Regulations to:

                     (a)  the holder of a dealers licence; or

                     (b)  the holder of an investment advisers licence;

includes a financial services licensee.



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