Document ID: chunk:federal_register_of_legislation:F2019L00084:schedule:1:p2
Version: federal_register_of_legislation:F2019L00084
Segment Type: schedule
Provision Reference: sch 1 (pt 2/4)
Character Range: 4828–8027

the limit.

Securities lending limit

    24. When the fund commenced exceeding the 50% limit in section 41 of the Passport Rules.

    25. Any plan in place to bring the portfolio allocation within the limit.

Relief

    26. Whether an exemption or modification of the Passport Rules has been applied for.

    27. Whether there is an intention to apply for an exemption or modification of the Passport Rules.

    28. Details of the exemption or modification sought or intended to be sought.

    Delegation of functions in connection with operating the fund

    29. Reasons why the delegate does not require an authorisation or licence.

Delegation of investment management role

    30. Details of each person responsible for the investment management role.

Annual implementation reviewer

    31. Auditor type.

    32. Registered auditor number of lead auditor.

Financial statements auditor

    33. Name of individual auditor, lead auditor or review auditor.

External legal firm or company

    34. Whether an external legal firm or company was used to help prepare the application.

    35. Name and other details of the external law firm or company.

Directors

    36. Details about each of the directors

Chief executive officer

    37. Details about each chief executive officer or equivalent.

Compliance committee

    38. Whether the fund has a compliance committee.

    39. Details of each compliance committee member.

Responsible persons

    40. Details of each person responsible for discretionary investment decisions.

Identification and role of relevant parties

    41. Whether there is a relevant party that is a natural person.

    42. Details of each relevant party.

    Related party

    43. Details about the processes and staff of the related party which are materially different to those of the operator.

    44. Details about how the related party is related to the operator.

Change in control

    45. Details about any changes to corporate governance arrangements.

    46. Details about changes to the operational arrangements over the last five years.

    47. Details about who has substantial influence over the operator or related party.

    48. Details about how the person exercises substantial influence.

    49. Details about circumstances which prevented the decisions being made without substantial influence.

    50. Details about the type of decisions made.

Good standing of operator

    51. Details of any finding, infringement notice, enforcement action, decision, judgment, settlement or undertaking in relation to the conduct of the operator, controller or any officer.

Qualifications and experience

    52. Details about each compliance control to ensure compliance with obligations for officers having relevant qualifications and experience.

    53. Description of any other compliance controls to ensure compliance with section 6 of the Passport Rules.

Financial resources

    54. Details about each compliance control to ensure compliance with obligations about meeting the financial resources test.

    55. Description of any other compliance controls to ensure compliance with section 7 of