Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.194

References to certain matters

             (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:

                     (a)  a prospectus; or

                     (b)  a replacement prospectus;

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.



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