Corporations Regulations 2001

CHAPTER 10 - REPEALS, TRANSITIONAL MATTERS AND APPLICATION PROVISIONS  

PART 10.2 - TRANSITIONAL ARRANGEMENTS RELATING TO FINANCIAL SERVICES REFORM LEGISLATION  

Division 30 - Effect on certain conduct of transition to licensed markets and licensed CS facilities  

REGULATION 10.2.149   PERSONS WHO ARE NOT CLIENTS  

10.2.149(1)   [ Application]  

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.

10.2.149(2)   [ Dealer or investment adviser]  

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.