CORPORATIONS REGULATIONS 2001 - REG 10.2.163 Accounts to be kept by futures brokers
CORPORATIONS REGULATIONS 2001 - REG 10.2.163
Accounts to be kept by futures brokers(1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 3 of the table in section 1430 of the Act.
(2) A reference in subparagraph 1213(2)(b)(vii) of the old Corporations Act to the business rules of a futures exchange includes the operating rules of a licensed market for derivatives.
(3) A reference in subparagraph 1213(2)(b)(vii) of the old Corporations Act to the futures market of a futures exchange includes a licensed market for derivatives.
(4) A reference in paragraph 1213(4)(d) of the old Corporations Act to another futures broker includes a financial services licensee.
(5) A reference in subsection 1213(5) of the old Corporations Act to a futures exchange includes an operator of a licensed market for derivatives.
(6) A reference in subsection 1213(5) of the old Corporations Act to a member includes a participant of a licensed market for derivatives.
(7) A reference in subsection 1213(5) of the
old Corporations Act to recording a matter pursuant to subsection
1270(3) of the old Corporations Act includes recording a matter for section
1101C of the amended Corporations Act.