Commonwealth Consolidated Regulations

CORPORATIONS REGULATIONS 2001 - REG 10.2.40

         (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.