CORPORATIONS REGULATIONS 2001 - REG 10.2.165 Auditor to report to ASIC in certain cases
CORPORATIONS REGULATIONS 2001 - REG 10.2.165
Auditor to report to ASIC in certain cases(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 subsection 1220(1) of the old Corporations Act to a futures exchange of which a broker is a member includes:
(a) the operator of a licensed market for derivatives; and
(b) the operator of a licensed CS facility that provides its services for the clearing and settlement of transactions effected through that licensed market.
(3) A reference in paragraph 1220(1)(b) of the old Corporations Act to a futures exchange of which a broker is a member includes:
(a) the operator of a licensed market for derivatives; and
(b) the operator of a licensed CS facility that provides its
services for the clearing and settlement of transactions effected through that
licensed market.