CORPORATIONS REGULATIONS 2001 - REG 10.2.126 Duties of officers of responsible entity
CORPORATIONS REGULATIONS 2001 - REG 10.2.126
Duties of officers of responsible entity(1) For section 1444 of the Act, this regulation applies in relation to a responsible entity that is a regulated principal mentioned in item 1 of the table in section 1430 of the Act.
(2) A reference in subparagraph 601FD(1)(f)(ii) of the Act to a responsible entity's Australian financial services licence includes the dealers licence of the regulated principal.
(3) Subregulation (2) ceases to apply in relation to the
regulated principal at the end of the transition period in relation to the
regulated principal.