Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:201:p3
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 201 (pt 3/26)
Character Range: 1613091–1615889

name;
 (ii) the policy number;
 (iii) the terms and conditions of the policy; and
 (e) information about criminal proceedings (if any) that have been taken against the company in the relevant period; and
 (f) for each director of the company and each employee of the company who is a registered company auditor, details of criminal or disciplinary proceedings (if any) that have been taken against the director or employee in the relevant period (including exclusion from practice as an auditor or liquidator or suspension of registration as an auditor or liquidator); and
 (g) a statement of whether the company has resigned or been removed from office as an auditor during the relevant period; and
 (h) if the company has resigned or been removed from office as an auditor during the relevant period, the following details about each resignation or removal:
 (i) the name and ACN of the corporation, registered scheme, disclosing entity or financial services licensee being audited;
 (ii) the date of the company's resignation or removal from office;
 (iii) the reason for the company's resignation or removal from office; and
 (i) a statement of whether a director or employee of the company has resigned or been removed from office as a liquidator during the relevant period; and
 (j) if a director or employee of the company has resigned, or has been removed from office as a liquidator, during the relevant period, the following details about each resignation or removal:
 (i) the name and ACN of the corporation, registered scheme, disclosing entity or financial services licensee being liquidated;
 (ii) the date of the resignation or removal from office;
 (iii) the reason for the resignation or removal from office; and
 (k) a list of the 10 audits, including the approximate dollar value of the fees, for which the company has received the highest audit engagement fees in the relevant period.
 (2) In this regulation:
relevant period means the period of 12 months to which the statement relates under subsection 1299G(1) of the Act.

Part 9.4A—Register and index

9.4A.01  Definitions for Part 9.4A
  In this Part, unless the contrary intention appears:
index means an instrument, prepared for subsection 1306(4) of the Act, that is an index of members of a corporation, registered scheme or notified foreign passport fund.
register means an instrument, prepared for subsection 1306(4) of the Act, that is any of the following:
 (a) register of members of a corporation;
 (b) register of holders of debentures of a corporation;
 (c) 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.