Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:15:p57
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 15 (pt 57/73)
Character Range: 1830429–1833259

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 relating to odd lots of securities.
 (6) A reference in subsection 879(2) of the old Corporations Act to a member's relevant interests in any securities includes the interests in securities of a participant mentioned in subregulation (5).

10.2.157  Conditions of futures broker's licence: membership of futures organisation
 (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 paragraph 1148(1)(a) of the old Corporations Act to being a member of a futures organisation includes being a participant of a licensed market for derivatives.
 (3) A reference in subparagraph 1148(1)(b)(i) of the old Corporations Act to being a member of no futures organisation includes being a participant of no licensed market for derivatives.
 (4) A reference in subparagraph 1148(1)(b)(ii) of the old Corporations Act to a licensee's being a member of a futures organisation, but for the suspension of the licensee's membership of the futures organisation, includes the regulated principal's being a participant of a licensed market for derivatives, but for the suspension of the regulated principal's participation in the licensed market.
 (5) A reference in subsection 1148(2) of the old Corporations Act to a licensee's membership of a futures organisation includes the regulated principal's participation in a licensed market for derivatives.

10.2.158  Futures organisation to be informed about conditions of futures brokers licence
 (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 paragraph 1152(1)(a) 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.
 (3) A reference in paragraph 1152(1)(b) of the old Corporations Act to a corporation that is a clearing house for a futures exchange of which a licensee is a member includes the operator of a licensed CS facility that provides its services for the clearing and settlement of transactions effected through a licensed market for derivatives of which the regulated principal is a participant.

10.2.159  Licensee to 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