Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.72

Records relating to instructions to deal through licensed markets: financial services licensee who held a futures brokers licence

             (1)  For section 1444 of the Act, this regulation applies in relation to a financial services licensee:

                     (a)  who is a regulated principal mentioned in item 3 of the table in section 1430 of the Act; and

                     (b)  whose financial services licence covers regulated activities for a regulated principal of that kind;

in relation to instructions to deal in futures contracts (within the meaning of section 72 of the old Corporations Act) that were received by the licensee before the end of the transition period in relation to the person in the capacity of a regulated principal of that kind.

             (2)  Subsections 1266(7) and (8) of the old Corporations Act, and any associated provisions, continue to apply in relation to the regulated principal after the end of the transition period in relation to the person in the capacity of a regulated principal of that kind as if the person were a futures broker within the meaning of the old Corporations Act .



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