Document ID: chunk:federal_register_of_legislation:C2004A02877:body:0:p10
Version: federal_register_of_legislation:C2004A02877
Segment Type: other
Provision Reference: 
Character Range: 22522–24268

against the member of the stock exchange in relation to whom the claim arose and all other persons who are liable in respect of the loss suffered by the claimant, other than any right or remedy that the claimant may have—
      (i) under section 112, against another stock exchange; or
        (ii) under the provision of a law of a participating State or participating Territory that corresponds with section 112, against a body corporate that is a stock exchange for the purposes of the corresponding law of that State or Territory.".

Dealings by employees of holders of licences
19. Section 132 of the Principal Act is amended by omitting "Penalty: $2,500 or imprisonment for 6 months, or both." and substituting the following sub-sections:
"(8) The references in sub-sections (1) and (4) to an employee of a person who is a dealer or an investment adviser include, in the case of a body corporate that is a dealer or an investment adviser, references to an officer of the body corporate.
"(9) The reference in sub-section (7) to an employee of a sole trader or member firm includes, in the case of a sole trader that is a body corporate or a member firm a partner in which is a body corporate, a reference to an officer of the body corporate.

"(10) The penalty for an offence against this section is a fine not exceeding $2,500 or imprisonment for a period not exceeding 6 months, or both.".

NOTES

 1. No. 89, 1981, as amended. For previous amendments, see No. 153, 1981; Nos. 26 and 80, 1982; and No. 108, 1983.

 2. No. 68, 1980, as amended. For previous amendments, see Nos. 4, 98 and 153, 1981; and No. 108, 1983.

 3. No. 66, 1980, as amended. For previous amendments, see Nos. 3, 96 and 153, 1981; No. 26, 1982; and No. 108, 1983.