CORPORATIONS REGULATIONS 2001 2001 No. 193 - REG 7.2.02 Compliance monitoring

Commonwealth Numbered Regulations

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CORPORATIONS REGULATIONS 2001 2001 No. 193 - REG 7.2.02

Compliance monitoring — section 770A stock markets

For paragraph 770A (2) (b) of the Act, a person or partnership is not qualified to monitor compliance with the business rules of the responsible entity of a registered scheme in the conduct of a stock market that is approved by the Minister under subsection 770A (1) of that Act, if:

(a): that person or partnership is an associate of the responsible entity; and
(b): the person is not registered as an auditor under Part 9.2 of the Act; and
(c): no member of the partnership is so registered.

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