10.2.149
CurrentPersons who are not clients
Chapter 10Repeals, transitional matters and application provisions
Part 10.2Transitional arrangements relating to Financial Services Reform legislation
Division 30Effect on certain conduct of transition to licensed markets and licensed CS facilities
10.2.149 Persons who are not clients
(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.
This Act’s bill:Explanatory statement
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