Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.69

Auditor's report on certain matters: financial services licensee who was formerly a registered insurance broker

             (1)  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.

             (2)  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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