Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 7.11.01

Definitions

                   In this Part:

associate , in relation to a broker or participant, means:

                     (a)  if the broker or participant:

                              (i)  is a member of a firm of brokers or participants; and

                             (ii)  is not a broker's agent or a participant's agent;

                            any other member of the firm; or

                     (b)  if:

                              (i)  the broker or participant is the agent or employee of another broker or participant; and

                             (ii)  the other broker or participant is not a member of a firm of brokers or participants;

                            the other broker or participant; or

                     (c)  if:

                              (i)  the broker or participant is the agent or employee of another broker or participant; and

                             (ii)  the other broker or participant is a member of a firm of brokers or participants;

                            any member of that firm.

ASTC subregister means a subregister of Division 4 financial products maintained in accordance with the ASTC operating rules.

beneficial owner , in relation to Division 3 securities, means a person for whom a licensed trustee company, within the meaning of Chapter 5D of the Act, a Public Trustee of a State or Territory, or a company listed in Schedule 9 holds (whether alone or together with any other person or persons) the Division 3 securities in trust in the ordinary course of its business.

broker means an Australian financial services licensee who is a participant of a financial market.

broker's agent means:

                     (a)  the agent of a broker; or

                     (b)  the employee of a broker.

company includes a body mentioned in regulation 7.11.07.

duly completed , in relation to a transfer document, includes the requirements set out in regulation 7.11.05.

duly completed Part 1 means a transfer document that has been duly completed in accordance with Part 1 of Form 1, 2, 3, 5, 6 or 7.

execution time , in relation to a transfer document, means:

                     (a)  for a sufficient transfer under regulation 7.11.11--the time when the transfer document was stamped with a stamp purporting to be that of the transferee's broker; and

                     (b)  for a sufficient transfer under regulation 7.11.12 or 7.11.13--the time when the transfer document was executed by the transferor.

identification code , in relation to a participant, means a code that, for the purposes of the ASTC operating rules, is:

                     (a)  the participant's identification code; or

                     (b)  one of its identification codes.

in accordance with includes to the effect of.

issuer of a Division 4 financial product means:

                     (a)  an issuer under section 761E of the Act; and

                     (b)  any other person identified as an issuer, or treated as an issuer, under the ASTC operating rules.

market licensee , in relation to securities specified in a transfer document, means the market licensee that operates the market for the securities.



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