CORPORATIONS REGULATIONS 2001 - REG 10.2.143 Non - broker

CORPORATIONS REGULATIONS 2001 - REG 10.2.143

  (1)   For section   1444 of the Act, this regulation applies in relation to a regulated principal.

  (2)   A reference in the definition of non - broker in section   9 of the old Corporations Act to a futures broker or one of 2 or more persons who together constitute a futures broker includes:

  (a)   a financial services licensee; and

  (b)   one of 2 or more persons who together constitute a financial services licensee.