Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:201:p4
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 201 (pt 4/26)
Character Range: 1615638–1618618

register of members of a registered scheme;
 (ca) register of members of a notified foreign passport fund;
 (d) register of holders of options of a corporation;
 (e) register of information about relevant interests kept under section 672DA of the Act.

9.4A.02  Register and index must be kept up to date: subsection 1306(4A) of the Act
 (1) A corporation that is an issuer in relation to a financial product and that is required to keep 1 or more registers must ensure that the registers and indexes (if any) are, at any time, not more than 20 business days out of date.
 (2) If a person notifies a corporation that is an issuer in relation to a financial product and that is required to keep 1 or more registers that the person wishes to inspect a register or index, the corporation must ensure that, at the beginning of the business day following the day on which it receives the notice, the register or index that the person wishes to inspect is not more than 5 business days out of date.

Part 9.4AB—Infringement notices

9.4AB.01  Prescribed offences (Act s 1317DAN)
 (1) This regulation is made for the purposes of paragraph 1317DAN(c) of the Act.
 (2) An alleged offence based on any of the following provisions of the Act is subject to an infringement notice:
 (a) subsections 792B(1), (2), (3), (4) and (5);
 (b) subsections 821B(1), (2), (3) and (4);
 (c) subsection 912DAA(1);
 (ca) subsection 912DAC(1);
 (d) subsection 1351(2).

9.4AB.02  Prescribed civil penalty provisions (Act s 1317DAN)
 (1) This regulation is made for the purposes of paragraph 1317DAN(d) of the Act.
 (2) The following civil penalty provisions of the Act are subject to an infringement notice:
 (a) subsections 188(1) and (2);
 (aa) subsection 912DAB(8);
 (b) subsection 941A(3);
 (c) subsection 941B(4);
 (ca) subsection 943G(3);
 (cb) subsection 943H(4);
 (cc) subsection 943K(2);
 (cd) subsection 943L(2);
 (d) subsection 946A(4);
 (e) section 962Z;
 (g) subsections 963E(1) and (2);
 (h) subsection 963G(1);
 (i) section 963J;
 (j) section 963K;
 (k) subsection 964A(1);
 (l) subsections 964D(1) and (2);
 (m) subsection 964E(1);
 (n) subsection 985E(1);
 (o) section 985L;
 (p) subsection 1012A(5);
 (q) subsection 1012B(6);
 (r) subsection 1012C(11);
 (s) subsection 1017BA(4B).

Part 9.5—Delegation of powers and functions under the Act

9.5.01  Prescribed functions (Law s 1345A(1))
  For subsection 1345A(1) of the Act, the functions and powers of the Minister under the following provisions of the Act are prescribed:
 (a) subsection 147(2) or 601DC(2) (Names available with Minister's consent);
 (aa) subsection 921G(1) (Approving form for applications for approval of foreign qualifications);
 (b) subsection 921G(2) (Approving or refusing to approve foreign qualifications);
 (ba) subsection 921G(4) (Specifying courses);
 (bb) paragraph 921GA(2)(b) (Approving form for applications for approval of domestic qualifications);
 (bc) subsection 921GA(3) (Approving or refusing to