CORPORATIONS REGULATIONS 2001 - REG 10.2.144 Non - dealer
CORPORATIONS REGULATIONS 2001 - REG 10.2.144
Non - dealer(1) For section 1444 of the Act, this regulation applies in relation to a regulated principal.
(2) A reference in the definition of non - dealer in section 9 of the old Corporations Act to a dealer or one of 2 or more persons who together constitute a dealer includes:
(a) a financial services licensee; and
(b) one of 2 or more persons who together constitute a financial
services licensee.