10.2.180
CurrentLicence conditions—investment advice to retail investors
Chapter 10Repeals, transitional matters and application provisions
Part 10.2Transitional arrangements relating to Financial Services Reform legislation
Division 33Effect on Corporations Regulations 2001 of transition of financial service providers and transition to licensed markets and licensed CS facilities
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.
This Act’s bill:Explanatory statement
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