Subscriber Compliance Guidance
Section 33 of the ECNL provides the Registrar in each jurisdiction with the power to conduct a compliance examination for the purpose of ascertaining whether or not the Participation Rules have been complied with; or investigating any suspected or alleged case of misconduct by a Subscriber. Under section 34 of the ECNL a Subscriber is obliged to cooperate fully in a compliance examination, whilst Schedule 5 of the Participation Rules sets out the Compliance Examination Procedure.
ARNECC has developed the following publication to provide additional guidance for Subscribers in relation to some of the common errors found across jurisdictions when conducting Subscriber compliance examinations.
|Subscriber Compliance Common Errors||June 2018|