CORPORATIONS REGULATIONS 2001 - REG 10.2.75 References to financial services licensee
CORPORATIONS REGULATIONS 2001 - REG 10.2.75
References to financial services licensee(1) For section 1444 of the Act, a reference in Part 7.9 of the Act to a financial services licensee includes a regulated principal.
(2) Subregulation (1) also applies to section 761E of the Act.
(3) A reference in paragraph 761E(6)(d) of the Act to an authorised representative includes a representative of a regulated principal.
(4) A reference in paragraph (d) of the definition of regulated person in section 1011B of the Act to an authorised representative includes a representative of a regulated principal.
(5) A reference in paragraph 1015C(3)(b) of the Act to an authorised representative includes a representative of a regulated principal.
(6) A reference in paragraph 1017A(1)(c) of the Act to an authorised representative includes a representative of a regulated principal.
(7) Subregulations (1) to (6) cease to apply in relation to the
regulated principal and the authorised representative at the end of the
transition period in relation to the regulated principal.