Commonwealth Consolidated Regulations Commonwealth Consolidated Regulations(1) For section 1444 of the Act, this regulation applies in relation to:
(a) a regulated principal; and
(b) the following instruments:
(i) an approval of a stock market under subsection 770A(2) of the old Corporations Act;
(ii) a declaration of an exempt stock market under subsection 771(1) of the old Corporations Act;
(iii) a declaration of an exempt futures market under subsection 1127(1) of the old Corporations Act.
(2) A reference in an instrument to a securities dealer's licence includes a Australian financial service licence that authorises the holder to deal in securities.
(3) A reference in an instrument to the business rules of a securities exchange or a stock exchange includes the operating rules of a licensed market for securities.
(4) A reference in an instrument to a person who is not a retail investor within the meaning of subregulation 7.3.02B(8) of the old Corporations Regulations includes a professional investor within the meaning of section 9 of the Act.
(5) A reference in an instrument to:
includes a Product Disclosure Statement.
(6) A reference in an instrument to a supplementary prospectus includes a supplementary Product Disclosure Statement.
(7) A reference in an instrument to the Commission includes ASIC.
(8) A reference in an instrument to the ASC includes ASIC.
(9) A reference in an instrument to a futures brokers licence includes an Australian financial services licence that authorises the holder to deal in derivatives.
(10) A reference in an instrument to a futures licensee includes a person who holds an Australian financial services licence that authorises the holder to deal in derivatives.
(11) A reference in an instrument to Division 2 of Part 4.1 of the old Corporations Act includes Division 2 of Part 5B.2 of the Act.
(12) A reference in an instrument to section 345 of the old Corporations Act includes section 601CF of the Act.
(13) A reference in an instrument to a clearing house includes a licensed clearing and settlement facility.
(14) A reference in an instrument to an approved futures exchange includes a licensed market operated by:
(a) Sydney Futures Exchange Limited; or
(b) SFE Corporation Limited; or
(c) ASX Futures Exchange Pty Limited.
(15) A reference in an instrument to a recognised futures exchange includes a recognised futures exchange mentioned in Schedule 11 to the old Corporations Regulations.
(16) A reference in an instrument to a futures market of any
exchange includes a financial market in relation to derivatives operated by a
market licensee.