Corporations Regulations 2001

CHAPTER 10 - REPEALS, TRANSITIONAL MATTERS AND APPLICATION PROVISIONS  

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History

Ch 10 heading substituted by SLI 2015 No 135, Sch 1 [ 3].

PART 10.2 - TRANSITIONAL ARRANGEMENTS RELATING TO FINANCIAL SERVICES REFORM LEGISLATION  

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Pt 10.2 heading substituted by SR 2003 No 369, Sch 1 [ 15] (effective 23 December 2003).

Pt 10.2 inserted by SR 2001 No 319, Sch 1 [ 23] (effective 11 March 2002).

Division 15 - Other provisions relating to conduct etc  

REGULATION 10.2.69   AUDITOR'S REPORT ON CERTAIN MATTERS: FINANCIAL SERVICES LICENSEE WHO WAS FORMERLY A REGISTERED INSURANCE BROKER  

10.2.69(1)   [ Application]  

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 5 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.

10.2.69(2)   [ Auditor to give report on certain matters]  

Section 990K of the Act applies in relation to an auditor of the financial services licensee as if subsection 990K(2) required the auditor to give a report on any matter that, in the opinion of the auditor, constitutes, or may constitute, a contravention of section 25C , 26 or 27 of the Insurance (Agents and Brokers) Act 1984 .

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History

Reg 10.2.69 inserted by SR 2001 No 319, Sch 1 [ 23] (effective 11 March 2002).

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