sec.537CCompliance notice

### sec.537C Compliance notice An authorised person appointed by the Regulator may give a person a written notice (a compliance notice ) requiring the person to take stated action, or to refrain from taking stated action, to prevent a contravention of this Act from continuing or being repeated. If the contravention constitutes an offence, compliance with the compliance notice does not prevent prosecution for the alleged offence. The authorised person must be satisfied on reasonable grounds that the person— has contravened this Act; and the contravention is continuing or is likely to be repeated. The compliance notice must state— the name of the person to whom it is given; and details of— the alleged contravention; and the grounds relied on under subsection (2) ; and the facts establishing the grounds; and the action required to be taken, or refrained from being taken, to prevent the contravention continuing or being repeated; and the day by which the notice must be complied with; and that failure to comply with the notice is an offence; and that the person may, within 10 business days after the day the notice is given to the person, apply to the Regulator for review of the compliance notice; and that, under section 537D (5) , an application for review of the compliance notice stays the operation of the notice. The action required to be taken, or refrained from being taken— may be expressed as action that may be chosen by the person from a range of stated measures; and must be relevant, reasonable and able to be followed. The day stated as the day by which the notice must be complied with must be reasonable in the circumstances. An authorised person appointed by the Regulator may, by written notice to the person to whom the compliance notice is given, amend the compliance notice— by stating a later day by which the notice must be complied with; or by making a minor change to correct an error or for clarification. An authorised person can not amend the compliance notice under subsection (6) after the day by which the notice must be complied with. The Regulator may, on the Regulator’s own initiative, withdraw the compliance notice at any time by written notice to the person to whom it is given. A compliance notice is not invalid only because of— a formal defect or irregularity in the notice unless the defect or irregularity causes or is likely to cause substantial injustice; or a failure to use the correct name or address of the person to whom the notice is given if the notice sufficiently identifies the person and is served on the person. s 537C ins 2024 No. 40 s 53 (sec.537C-ssec.1) An authorised person appointed by the Regulator may give a person a written notice (a compliance notice ) requiring the person to take stated action, or to refrain from taking stated action, to prevent a contravention of this Act from continuing or being repeated. If the contravention constitutes an offence, compliance with the compliance notice does not prevent prosecution for the alleged offence. (sec.537C-ssec.2) The authorised person must be satisfied on reasonable grounds that the person— has contravened this Act; and the contravention is continuing or is likely to be repeated. (sec.537C-ssec.3) The compliance notice must state— the name of the person to whom it is given; and details of— the alleged contravention; and the grounds relied on under subsection (2) ; and the facts establishing the grounds; and the action required to be taken, or refrained from being taken, to prevent the contravention continuing or being repeated; and the day by which the notice must be complied with; and that failure to comply with the notice is an offence; and that the person may, within 10 business days after the day the notice is given to the person, apply to the Regulator for review of the compliance notice; and that, under section 537D (5) , an application for review of the compliance notice stays the operation of the notice. (sec.537C-ssec.4) The action required to be taken, or refrained from being taken— may be expressed as action that may be chosen by the person from a range of stated measures; and must be relevant, reasonable and able to be followed. (sec.537C-ssec.5) The day stated as the day by which the notice must be complied with must be reasonable in the circumstances. (sec.537C-ssec.6) An authorised person appointed by the Regulator may, by written notice to the person to whom the compliance notice is given, amend the compliance notice— by stating a later day by which the notice must be complied with; or by making a minor change to correct an error or for clarification. (sec.537C-ssec.7) An authorised person can not amend the compliance notice under subsection (6) after the day by which the notice must be complied with. (sec.537C-ssec.8) The Regulator may, on the Regulator’s own initiative, withdraw the compliance notice at any time by written notice to the person to whom it is given. (sec.537C-ssec.9) A compliance notice is not invalid only because of— a formal defect or irregularity in the notice unless the defect or irregularity causes or is likely to cause substantial injustice; or a failure to use the correct name or address of the person to whom the notice is given if the notice sufficiently identifies the person and is served on the person. - (a) has contravened this Act; and - (b) the contravention is continuing or is likely to be repeated. - (a) the name of the person to whom it is given; and - (b) details of— (i) the alleged contravention; and (ii) the grounds relied on under subsection (2) ; and (iii) the facts establishing the grounds; and - (i) the alleged contravention; and - (ii) the grounds relied on under subsection (2) ; and - (iii) the facts establishing the grounds; and - (c) the action required to be taken, or refrained from being taken, to prevent the contravention continuing or being repeated; and - (d) the day by which the notice must be complied with; and - (e) that failure to comply with the notice is an offence; and - (f) that the person may, within 10 business days after the day the notice is given to the person, apply to the Regulator for review of the compliance notice; and - (g) that, under section 537D (5) , an application for review of the compliance notice stays the operation of the notice. - (i) the alleged contravention; and - (ii) the grounds relied on under subsection (2) ; and - (iii) the facts establishing the grounds; and - (a) may be expressed as action that may be chosen by the person from a range of stated measures; and - (b) must be relevant, reasonable and able to be followed. - (a) by stating a later day by which the notice must be complied with; or - (b) by making a minor change to correct an error or for clarification. - (a) a formal defect or irregularity in the notice unless the defect or irregularity causes or is likely to cause substantial injustice; or - (b) a failure to use the correct name or address of the person to whom the notice is given if the notice sufficiently identifies the person and is served on the person.