Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:15:p63
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 15 (pt 63/73)
Character Range: 1845705–1848637

broker within the meaning of the Insurance (Agents and Brokers) Act 1984 includes the regulated principal.

10.2.182  Exemption from licensing—managed investment schemes
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal that is a body corporate.
 (2) A reference in subregulation 7.3.11(3) of the old Corporations Regulations to Chapter 6D of the Act includes Chapter 7 of the amended Corporations Act.

10.2.183  Exempt dealer
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal.
 (2) A reference in regulation 7.4.01 of the old Corporations Regulations to a member of a securities exchange includes a participant of a licensed market.

10.2.184  Exempt securities and interests
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal.
 (2) A reference in regulation 7.4.02 of the old Corporations Regulations to Chapter 6D of the Act includes Chapter 7 of the amended Corporations Act.

10.2.185  Transactions in prescribed circumstances
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal.
 (2) A reference in regulation 7.4.03 of the old Corporations Regulations to a securities exchange in Australia includes a licensed market.
 (3) A reference in regulation 7.4.03 of the old Corporations Regulations to persons who are members of a securities exchange in Australia includes persons who are participants of a licensed market.

10.2.186  Exempted transaction
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal.
 (2) A reference in regulation 7.4.04 of the old Corporations Regulations to Business Rules includes operating rules within the meaning of section 761A of the amended Corporations Act.

10.2.187  Charging brokerage on principal transactions
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal.
 (2) A reference in subregulation 7.4.04A(1) of the old Corporations Regulations to a member of a securities exchange includes a participant of a licensed market.

10.2.188  Exemption from subsection 844(2) of old Corporations Act
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal.
 (2) A reference in regulation 7.4.05 of the old Corporations Regulations to a member of a stock exchange includes a participant of a licensed market.
 (3) A reference in regulation 7.4.05 of the old Corporations Regulations to the business rules of a stock exchange includes the operating rules of a licensed market.

10.2.189  Exemption: Part 8.3 of old Corporations Act—certain futures contracts
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal.
 (2) A reference in paragraph (a) of the definition of investment manager in subregulation 8.3.02(1) of the old Corporations Regulations to the