Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:15:p65
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 15 (pt 65/73)
Character Range: 1851067–1853935

regulation 8.4.03A of the old Corporations Regulations to a futures broker includes a financial services licensee.

10.2.193  Exemption of certain transactions from paragraphs 1207(1)(g) and (h) of old Corporations Act
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal.
 (2) A reference in paragraph 8.4.04(b) of the old Corporations Regulations to a member of a clearing house of a futures exchange includes a participant of a licensed CS facility that provides its services for the clearing and settlement of transactions effected through a licensed market for derivatives.
 (3) A reference in paragraph 8.4.04(d) of the old Corporations Regulations to the business rules of a futures exchange includes the operating rules of a licensed market for derivatives.

Division 34—Effect on certain instruments of transition of financial service providers and transition to licensed markets and licensed CS facilities

10.2.194  References to certain matters
 (1) For section 1444 of the Act, this regulation applies in relation to:
 (a) a regulated principal; and
 (b) the following instruments:
 (i) an approval of a stock market under subsection 770A(2) of the old Corporations Act;
 (ii) a declaration of an exempt stock market under subsection 771(1) of the old Corporations Act;
 (iii) a declaration of an exempt futures market under subsection 1127(1) of the old Corporations Act.
 (2) A reference in an instrument to a securities dealer's licence includes a Australian financial service licence that authorises the holder to deal in securities.
 (3) A reference in an instrument to the business rules of a securities exchange or a stock exchange includes the operating rules of a licensed market for securities.
 (4) A reference in an instrument to a person who is not a retail investor within the meaning of subregulation 7.3.02B(8) of the old Corporations Regulations includes a professional investor within the meaning of section 9 of the Act.
 (5) A reference in an instrument to:
 (a) a prospectus; or
 (b) a replacement prospectus;
includes a Product Disclosure Statement.
 (6) A reference in an instrument to a supplementary prospectus includes a supplementary Product Disclosure Statement.
 (7) A reference in an instrument to the Commission includes ASIC.
 (8) A reference in an instrument to the ASC includes ASIC.
 (9) A reference in an instrument to a futures brokers licence includes an Australian financial services licence that authorises the holder to deal in derivatives.
 (10) A reference in an instrument to a futures licensee includes a person who holds an Australian financial services licence that authorises the holder to deal in derivatives.
 (11) A reference in an instrument to Division 2 of Part 4.1 of the old Corporations Act includes Division 2 of Part 5B.2 of the Act.
 (12) A reference in