Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:15:p56
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 15 (pt 56/73)
Character Range: 1827966–1830691

exchange includes a licensed market for securities.

10.2.152  Dealers' financial records
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 of the table in section 1430 of the Act.
 (2) A reference in paragraph 856(10)(c) of the old Corporations Act to a dealer includes a financial services licensee.

10.2.153  Auditor to report to ASIC on certain matters
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 of the table in section 1430 of the Act.
 (2) A reference in subsection 861(1) of the old Corporations Act to a securities exchange of which a holder is a member includes a licensed market for securities of which the regulated principal is a participant.

10.2.154  Qualified privilege for auditor
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 of the table in section 1430 of the Act.
 (2) A reference in paragraph 863(1)(b) of the old Corporations Act to a securities exchange includes the operator of a licensed market for securities.

10.2.155  Court may freeze certain bank accounts of dealers and former dealers
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 of the table in section 1430 of the Act.
 (2) A reference in paragraph 874(1)(b) of the old Corporations Act to the business rules of a securities exchange of which a person is or has been a member includes the operating rules of a licensed market for securities of which the regulated principal is or has been a participant.

10.2.156  Interpretation—registers
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 of the table in section 1430 of the Act.
 (2) A reference in the definition of financial journalist in subsection 879(1) of the old Corporations Act to a licensee includes a financial services licensee.
 (3) A reference in paragraph (b) of the definition of securities in subsection 879(1) of the old Corporations Act to a securities exchange includes a licensed market for securities.
 (4) A reference in paragraph 879(2)(a) of the old Corporations Act to a securities exchange includes an operator of a licensed market for securities.
 (5) A reference in paragraph 879(2)(a) of the old Corporations Act to a member of a securities exchange that is recognised by that securities as specialising in transactions relating to odd lots of securities exchange includes a participant of a licensed market that is recognised by the market licensee in relation to that licensed market as specialising in transactions