Document ID: chunk:federal_register_of_legislation:F2019L00084:schedule:1:p4
Version: federal_register_of_legislation:F2019L00084
Segment Type: schedule
Provision Reference: sch 1 (pt 4/4)
Character Range: 10659–12730

control for compliance obligations about borrowing.

    73. Description of any other compliance controls to ensure compliance with section 44 of the Passport Rules.

Short-selling

    74. Details about each compliance control to ensure compliance with obligations about short-selling.

    75. Description of any other compliance controls to ensure compliance with section 45 of the Passport Rules.

Liability of members

    76. Details about each compliance control to ensure compliance with obligations about liability of members.

    77. Description of any other compliance controls to ensure compliance with section 46 of the Passport Rules.

Performance fees

    78. Details about each compliance control to ensure compliance with obligations about performance fees.

    79. Description of any other compliance controls to ensure compliance with section 47 of the Passport Rules.

Withdrawal

    80. Details about each compliance control to ensure compliance with obligations about withdrawal.

    81. Description of any other compliance controls to ensure compliance with sections 48, 49, 50, 51 and 52 of the Passport Rules.

    Valuation

    82. Details about each compliance control to ensure compliance with obligations about valuation.

    83. Description of any other compliance controls to ensure compliance with section 53 of the Passport Rules.

Breach history

    84. Whether the operator is in breach of the Corporations Act, the ASIC Act or the conditions of its Australian financial services licence.

    85. Whether the operator has contravened the Corporations Act, ASIC Act or the conditions of its Australian financial services licence in the last five years.

Constituent document

    86. References to each section in the constituent document that satisfy the requirements of subsection 4(3) of the Passport Rules.

    87. Details about each compliance control about amending the constituent document.

    88. Description of any other compliance controls to ensure compliance with subsection 4(3) of the Passport Rules.