Auditor’s report on certain matters: financial services licensee who was formerly a registered insurance broker
10.2.69 Auditor’s report on certain matters: financial services licensee who was formerly a registered insurance broker
For section 1444 of the Act, this regulation applies in relation to a financial services licensee:
who is a regulated principal mentioned in item 5 of the table in section 1430 of the Act; and
whose financial services licence covers regulated activities for a regulated principal of that kind.
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.
This Act’s bill:Explanatory statement
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