Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:1:p4
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 1 (pt 4/148)
Character Range: 338649–341382

601FL(2) and 601FM(2))
  A notice to be lodged under subsection 601FL(2) or 601FM(2) of the Act must be in the approved form.

5C.2.04  Notice of appointment of temporary responsible entities
  As soon as practicable after the Court appoints a temporary responsible entity for a registered scheme on application by a member of the scheme under section 601FN of the Act, the member must lodge a notice in the approved form that tells ASIC of the appointment.

5C.2.05  Form of notices (Act s 601FP(3))
  A notice to be lodged under subsection 601FP(3) of the Act must be in the approved form.

Part 5C.4—The compliance plan

5C.4.01  Agents' authorities to be lodged
  If a compliance plan, or modification of a plan, lodged with ASIC under section 601HC or subsection 601HE(3) of the Act is signed by an agent of the directors of the responsible entity of the registered scheme to which the plan relates, the authority to do so, or a copy of the authority verified by a director of the entity, must be attached to the plan or modification.

5C.4.02  Agents to assist auditors of compliance plans
  An agent of the responsible entity of a registered scheme, and an officer of the agent, must:
 (a) allow the auditor of the scheme's compliance plan to have access to the books of the scheme; and
 (b) if the auditor requires the agent or entity to give the auditor information or an explanation for the audit—give the information or explanation to the auditor; and
 (c) otherwise assist the conduct of the audit.

Part 5C.5—The compliance committee

5C.5.01  Responsible entities etc to assist compliance committees
 (1) This regulation applies to a person who is the responsible entity of a registered scheme, an officer of the entity, an agent of the entity or an officer of the agent.
 (2) The person must:
 (a) allow the compliance committee to have access to the books of the scheme; and
 (b) if the committee requires the person to give the committee information or an explanation about the scheme—give the information or explanation to the committee; and
 (c) otherwise assist the committee in the performance of its functions.

Part 5C.9—Winding up

5C.9.01  Notice of commencement of winding up
  The responsible entity of a registered scheme must lodge a notice in the approved form telling ASIC that winding up of the scheme has commenced, or been completed, within 14 days of the commencement or completion.

Part 5C.11—Exemptions and modifications

Division 1—Exemptions

5C.11.01  Certain schemes not managed investment schemes
 (1) This regulation is made for the purposes of paragraph (n) of the definition of managed investment scheme in section 9 of the Act.
 (2) An approved benefit fund (within the meaning of