Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:15:p58
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 15 (pt 58/73)
Character Range: 1833044–1835751

notify breach of licence condition
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 3 or 4 of the table in section 1430 of the Act.
 (2) A reference in paragraph 1153(1)(b) of the old Corporations Act to a futures organisation of which a licensee is a member includes the operator of a licensed market for derivatives of which the regulated principal is a participant.

10.2.160  Register of Futures Licensees
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 3 or 4 of the table in section 1430 of the Act.
 (2) A reference in paragraph 1155(3)(e) of the old Corporations Act to a futures organisation of which a licensee is a member includes the operator of a licensed market for derivatives of which the regulated principal is a participant.

10.2.161  Excluded clients
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 3 or 4 of the table in section 1430 of the Act.
 (2) A reference in section 1159 of the old Corporations Act to a futures broker or a futures adviser includes:
 (a) a financial services licensee; and
 (b) one of 2 or more persons who together constitute a financial services licensee.

10.2.162  Segregation of client money and property
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 3 of the table in section 1430 of the Act.
 (2) A reference in subparagraph 1209(5)(d)(iv) of the old Corporations Act to a clearing house for a futures exchange includes a CS facility that provides its services for the clearing and settlement of transactions effected through a licensed market for derivatives.
 (3) A reference in subsection 1209(5A) of the old Corporations Act to:
 (a) another broker; or
 (b) a receiving broker;
includes a financial services licensee.
 (4) A reference in subsection 1209(5B) of the old Corporations Act to the brokers concerned includes a financial services licensee.

10.2.163  Accounts to be kept by futures brokers
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 3 of the table in section 1430 of the Act.
 (2) A reference in subparagraph 1213(2)(b)(vii) of the old Corporations Act to the business rules of a futures exchange includes the operating rules of a licensed market for derivatives.
 (3) A reference in subparagraph 1213(2)(b)(vii) of the old Corporations Act to the futures market of a futures exchange includes a licensed market for derivatives.
 (4) A reference in paragraph 1213(4)(d) of the old Corporations Act to another