Compliance examinations (cf. ECNL s. 33)
33 Compliance examinations (cf. ECNL s. 33)
The Registrar may, on receiving a request or complaint from any person or on the Registrar’s own initiative, conduct an investigation (compliance examination) under this Part —
in relation to an ELNO for either or both of the following purposes —
ascertaining whether or not the operating requirements are being, or have been, complied with;
investigating any suspected or alleged case of misconduct with respect to the operation of an ELN;
in relation to a subscriber for either or both of the following purposes —
ascertaining whether or not the participation rules are being, or have been, complied with;
investigating any suspected or alleged case of misconduct with respect to the use of an ELN.
If the Authority or the Commissioner requests the Registrar to conduct a compliance examination, the Registrar must conduct a compliance examination in accordance with that request.
This Act’s bill:Explanatory memorandumSecond reading speech
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