Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:201:p24
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 201 (pt 24/26)
Character Range: 1665772–1668539

listed for quotation in the official list of an exempt stock market.
 (2) On and after the FSR commencement, the share, unit, bond or debenture, right or other security is taken to be a listed security for the purposes of the SIS Act.
 (3) Subregulation (2) ceases to apply if:
 (a) the person conducting the exempt stock market to which the share, unit, bond or debenture, right or other security relates becomes:
 (i) an Australian financial services licensee; or
 (ii) an Australian market licensee; or
 (b) the exempt stock market to which the share, unit, bond or debenture, right or other security relates ceases to operate.

Division 12—Miscellaneous

10.2.34  Preservation of nomination of body corporate as SEGC
  On and after the FSR commencement, the nomination of the SEGC that continued to have effect in accordance with section 1390 of the old Corporations Act continues to have effect.

Division 13—Regulated principals

10.2.35  Definitions
  In this Division:
amended Corporations Act means the Act as in force after the FSR commencement.
associate, in relation to a principal, means:
 (a) if the principal is a body corporate:
 (i) a director or secretary of the principal; and
 (ii) a related body corporate; and
 (iii) a responsible officer of the principal; and
 (b) if the principal is a natural person:
 (i) a person with whom the principal carries on a financial services business in partnership; and
 (ii) a director or proposed director of a body corporate:
 (A) of which the principal is also a director or proposed director; and
 (B) that carries on a financial services business; and
 (c) if the principal is a trustee of a trust to which subsection 761FA(1) of the amended Corporations Act applies—another trustee of that trust with whom the principal carries on a financial services business.
financial services activities means:
 (a) any conduct or activities that constitute:
 (i) carrying on a financial services business; or
 (ii) operating a financial market; or
 (iii) operating a clearing and settlement facility; and
 (b) any conduct or activities:
 (i) that were engaged in before the FSR commencement; and
 (ii) to which paragraph (a) would apply if they were engaged in after the FSR commencement; and
 (c) any conduct or activities:
 (i) that were engaged in:
 (A) after the FSR commencement; and
 (B) before the relevant provisions of the amended Corporations Act applied to the conduct or any of the activities; and
 (ii) to which paragraph (a) would apply if they were engaged in after the relevant provisions of the amended Corporations Act applied to the conduct or activities.
regulator means any of the following bodies:
 (a) ASIC;
 (b) a body that had any of the functions of ASIC before ASIC was created;
 (c) APRA;