CORPORATIONS REGULATIONS 2001 - REG 10.2.180 Licence conditions--investment advice to retail investors
CORPORATIONS REGULATIONS 2001 - REG 10.2.180
Licence conditions--investment advice to retail investors(1) For section 1444 of the Act, this regulation applies in relation to a regulated principal.
(2) A reference in subregulation 7.3.02B(8) of the old Corporations Regulations to:
(a) the holder of a dealers licence; or
(b) the holder of an investment advisers licence;
includes a financial services licensee.