Commonwealth Consolidated Regulations

CORPORATIONS REGULATIONS 2001 - REG 10.2.149

         (1)   For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 or 2 of the table in section 1430 of the Act.

         (2)   A reference in section 794 of the old Corporations Act to a dealer or an investment adviser includes:

                (a)    a financial services licensee; and

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