Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:15:p22
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 15 (pt 22/73)
Character Range: 1743139–1745832

principal has complied with the instructions.

10.2.72  Records relating to instructions to deal through licensed markets: financial services licensee who held a futures brokers licence
 (1) For section 1444 of the Act, this regulation applies in relation to a financial services licensee:
 (a) who is a regulated principal mentioned in item 3 of the table in section 1430 of the Act; and
 (b) whose financial services licence covers regulated activities for a regulated principal of that kind;
in relation to instructions to deal in futures contracts (within the meaning of section 72 of the old Corporations Act) that were received by the licensee before the end of the transition period in relation to the person in the capacity of a regulated principal of that kind.
 (2) Subsections 1266(7) and (8) of the old Corporations Act, and any associated provisions, continue to apply in relation to the regulated principal after the end of the transition period in relation to the person in the capacity of a regulated principal of that kind as if the person were a futures broker within the meaning of the old Corporations Act.

10.2.73  Dealing with non‑licensees: financial services licensee who held a dealers licence
 (1) For section 1444 of the Act, this regulation applies in relation to a financial services licensee:
 (a) who is a regulated principal mentioned in item 1 of the table in section 1430 of the Act; and
 (b) whose financial services licence covers regulated activities for a regulated principal of that kind, in relation to a transaction of sale or purchase of securities (as defined for the purposes of Part 7.4 of the old Corporations Act) with a non‑dealer (within the meaning of the old Corporations Act) that was entered into by the licensee, on the licensee's own account, before the end of the transition period (within the meaning of subsection 1431(1) of the Act) that applied to the person in the capacity of a regulated principal of that kind.
 (2) Section 843 of the old Corporations Act, and any associated provisions, continue to apply in relation to the regulated principal after the end of the transition period in relation to the person in the capacity of a regulated principal of that kind as if the person were a dealer within the meaning of the old Corporations Act.

10.2.73A  Advertising for financial products
 (1) For section 1444 of the Act, this regulation applies in relation to:
 (a) a financial product; or
 (b) a class of financial products that includes the financial product;
for which a notice has been lodged with ASIC in accordance with paragraph 1438(3)(b) of the Act.
 (2) At any time in the period of 3 months ending immediately before