Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.40

Reference to financial services licensee: section 911A of the Act

             (1)  This regulation applies in relation to the following provisions of the Act:

                     (a)  subparagraph 911A(2)(f)(viii);

                     (b)  subparagraph 911A(2)(f)(ix);

                     (c)  paragraph 911A(3)(a);

                     (d)  paragraph 911A(3)(c).

             (2)  A reference in those provisions to a financial services licensee includes a regulated principal.

             (3)  Subregulation (2) ceases to apply in relation to a regulated principal at the end of the transition period in relation to the regulated principal.



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