Source: https://www.legislation.gov.au/Details/F2019C00865/Html/Volume_5
Timestamp: 2020-02-26 22:37:47
Document Index: 264623990

Matched Legal Cases: ['art 1', 'art 2', 'ART 1', 'ART 2', 'art 4', 'art 7', 'art 2', 'art 2', 'art 1', 'art 1', 'art 1', 'art 1', 'art 1', 'art 2', 'art 2', 'art 1', 'art 1', 'art 1', 'art 1', 'art 1', 'art 1', 'art 2', 'art 1', 'art 2']

F2019C00865
Statutory Rules No. 193, 2001
Compilation No. 150
Includes amendments up to: F2019L01474
Registered: 25 November 2019
Volume 1: regulations 1.0.01–6D.5.03
Volume 2: regulations 7.1.02–7.6.08E
Volume 3: regulations 7.7.01–8A.7.20
Volume 4: regulations 9.1.01–12.9.03
Volume 5: Schedules 1, 2 and 2A
Volume 6: Schedules 3–13
This is a compilation of the Corporations Regulations 2001 that shows the text of the law as amended and in force on 19 November 2019 (the compilation date).
Schedule 1—List of forms in Schedule 2 1
Schedule 2—Forms 5
Form 314 10
Form 501 12
Form 502 14
Form 503 16
Form 509A 17
Form 509B 18
Form 509E 19
Form 509H 20
Form 5249 25
Form 527 27
Form 535 30
Form 536 32
Form 537 34
Form 538 35
Form 539 37
Form 541 39
Form 542 42
Form 543 43
Form 544 44
Form 547 46
Form 548 47
Form 549 48
Form 550 49
Form 551 50
Form 552 52
Form 553 53
Form 701 54
Form 719 71
Form 719A 73
Form 719B 75
Form 720 77
Form 721 78
Form 905 79
Schedule 2A—Forms of transfer of Division 3 securities 83
Form 1 83
Form 2 85
Form 3 87
Form 4 89
Form 5 90
Form 6 92
Form 7 94
Form 8 96
Form 9 97
Form 10 98
Schedule 1—List of forms in Schedule 2
(regulation 1.0.03)
Provision of the Act or the Regulations
Regulation 1.0.16
Regulation 1.0.21
Subsection 117(2)
Subsection 163(3)
Subsection 254X(2)
Subsection 601BC(2)
Certification of compliance with stamp duty law
Subparagraph 206F(1)(b)(i)
Notice to demonstrate why disqualification should not occur
Subsection 206F(3)
Notice of disqualification from managing corporations
Chapter 3 Internal administration
Section 250P
Paragraph 263(2)(b)
Notification of further issue of debentures in a series
Paragraph 324(2)(e)
Return of members of firm of auditors
Paragraph 319(5)(a)
Subsections 324(1) & (2)
Subsections 327(4) & (15)
Paragraph 329(11)(c)
Notice of resignation or removal of auditor
Chapter 4 Various corporations
Chapter 5 External administration
Subsection 414(2)
Paragraph 414(9)(a)
Notice to remaining shareholder
Subsection 419A(3)
Notice of controller’s intention not to exercise property rights
Subsection 438C(3)
Notice to deliver books of company to the administrator
Subsection 443B(3)
Notice of administrator’s intention not to exercise property rights
Paragraph 450B(a)
Notice to creditors of execution of a deed of company arrangement
Paragraph 459E(2)(e)
Subsections 494(1) & (2)
Paragraph 568(8)(a)
Application requiring liquidator to decide whether to disclaim property
Subsection 601AA(2)
De‑registration—voluntary
Subregulation 5.6.39(3)
Notice to submit particulars of debt or claim
Subregulation 5.6.48(3)
Subregulation 5.6.49(2)
Formal proof of debt or claim (General form)
Formal proof of debt or claim on behalf of employees
Subregulation 5.6.54(1)
Notice of rejection of formal proof of debt or claim
Regulation 5.6.58
Provisional list of contributories
Subregulation 5.6.59(1)
Notice to contributories of appointment to settle list of contributories
Subregulation 5.6.60(2)
Certificate of liquidator of final settlement of list of contributories
Subregulation 5.6.61(1)
Provisional supplementary list of contributories
Certificate of liquidator of settlement of supplementary list of contributories
Subregulation 5.6.62(4)
Notice to contributory of final settlement of list or supplementary list of contributories and of inclusion in list
Subregulation 5.6.65(1)
Notice of intention to declare a dividend
Notice to creditor or person claiming to be a creditor of intention to declare a dividend
Notice to creditor or person claiming to be a creditor of intention to declare a final dividend
Subregulation 5.6.67(3)
Regulation 5.6.70
Notice to liquidator to pay dividend to a person named
Subregulation 5.6.71(1)
Schedule of contributories or other persons to whom a distribution of surplus is to be paid
Subregulation 5.6.71(2)
Notice of distribution of surplus to contributories or other persons
Regulation 5.6.72
Authority to liquidator to pay distribution of surplus to a person named
Chapter 6 Acquisition of shares
Subsection 671B(4)
Chapter 7 Financial services and markets
Subregulation 7.6.08D(3)
Subregulation 7.6.08E(3)
Data on intermediated business with APRA‑authorised general insurers, Lloyd’s underwriters and unauthorised foreign insurers
Subsection 1287(1)
Particulars of cessation or change relating to person registered as an auditor under subsection 1287(1)
Subsection 1302(4)
Schedule 2—Forms
(regulations 1.0.02 and 1.0.03)
(paragraph 324(2)(e))
Address of firm1:
The full names and addresses of all of the members of the firm are:
1. Give the address of each place of business of the firm. If there is more than one place of business, indicate the principal place of business.
2. To be signed by one of the members of the firm.
Requirements relating to annexures are set out in regulation 1.0.06.
The completion of this form does not relieve members of the firm from any obligation under the law relating to business names.
(subsection 414(2))
Australian Company Number:
(Note that in this form “dissenting shareholder” means a shareholder who has not assented to the scheme or contract mentioned in paragraph B, or who has failed or refused to transfer his or her shares to the transferee in accordance with that scheme or contract)
A. (insert name of person giving notice, in this form called “the transferee”) The transferee on (insert date) made
an offer to the holders of *shares in Limited/
*shares included in class of shares
in Limited for the transfer of those shares to the transferee, not being an offer made under a scheme or contract arising out of the making of takeover offers or a takeover announcement under the law relating to the acquisition of shares; and
B. the scheme or contract involving the transfer of those shares to the transferee was on or before (insert date) approved by the holders of not less than nine‑tenths in nominal value of the shares *in that company/*included in that class of shares, other than shares already held at the date of the offer by, or by a nominee for, the transferee (or, if the transferee is a company, its subsidiary); and
C. you are a dissenting shareholder of shares *in the company/ *included in that class of shares.
2. The transferee gives you notice under subsection 414(2) that the transferee desires to acquire those shares held by you.
3. You are entitled under subsection 414(7) to require the transferee, by a demand in writing served on the transferee within one month after the date on which this notice is given, to furnish to you a statement in writing of the names and addresses of all other dissenting shareholders shown in the register of members.
*4. You are entitled not later than the expiration of one month after the date on which this notice is given or 14 days after the date on which a statement is supplied to you under subsection 414(7), whichever is the later, to elect, by notice to the transferee, which of the alternative terms offered to the approving shareholders under the scheme or contract you prefer. The alternative terms are as follows:
5. Unless, on application made by you within one month after the date on which this notice is given or within 14 days after a statement is supplied to you under subsection 414(7), the Federal Court of Australia or the Supreme Court of (State or Territory) orders otherwise, the transferee will be entitled and bound subject to subsection 414(7) to acquire your shares:
(a) on the terms on which under the scheme or contract the shares of the approving shareholders are to be transferred to the transferee; or
(b) if alternative terms were offered — on the terms for which you have elected; or
(c) if you have not so elected — on whichever of those terms the transferee determines unless the Court otherwise orders.
(subsection 414(9)(a))
A. (insert name of person giving notice, in this form called “the transferee”) The transferee in (insert date) made offers to the holders of shares *in Limited/*included in class of shares in Limited for the transfer of those shares to the transferee, not being offers made under a scheme or contract arising out of the making of takeover offers or a takeover announcement under the law relating to the acquisition of shares; and
B. under the scheme or contract the transferee became an (insert date) beneficially entitled to shares in that company which together with any other shares in that company to which the transferee, or the transferee and any corporation related to the transferee, is beneficially entitled, comprise or include nine‑tenths in nominal value of the shares
*in Limited/*included in that class of shares
in Limited; and
C. you are the holder of remaining shares *in that company/*included in that class of shares in that company and have not assented to the scheme or contract or been given notice in respect of those shares by the transferee under subsection 414(2).
2. The transferee gives you notice under subsection 414(9) that under that scheme or contract the transferee on (insert date) become beneficially entitled to shares in Limited and those shares together with any other shares in that company to which the transferee, or the transferee and any corporation related to the transferee, is beneficially entitled, comprise or included nine‑tenths in nominal value of the shares (in that company/*included in that class of shares in that company.
3. You are entitled under subsection 414(9) within 3 months after the date on which this notice is given by notice to the transferee to require the transferee to acquire your shares.
*3. You are entitled under subsection 414(9) within 3 months after the date on which this notice is given to elect by notice to the transferee which of the alternative terms offered to the approving shareholders under the scheme or contract you will accept. The alternative terms are as follows:
4. If you require the transferee to acquire the shares held by you the transferee will be entitled and bound to acquire those shares:
(a) on the terms that under the scheme or contract were offered to the approving shareholders; or
(b) if alternative terms were offered—on the terms for which you have elected;
(c) if you do not so elect
(i) on whichever of the terms the transferee determines or
(ii) on such other terms as are agreed or as the Federal Court of Australia or the Supreme Court of` on the application of the transferee or of yourself orders.
(subsection 419A(3))
To: (name), of (address) , the *owner/*lessor of property (“the specified property”) being:
(name and description of property including, if appropriate, relevant reference numbers and account numbers identifying contracts such as leasing arrangements in relation to that property)
I (name), of (address), the controller of property of (name of corporation) (“the corporation”) give you notice that I do not propose to exercise rights in relation to the specified property as controller of the specified property, whether on behalf of the corporation or anyone else.
(Controller’s signature)
1. Under subsection 419A(4) the controller is not liable for rent or other amounts by the corporation in relation to the specified property while this notice in force, but the notice does not affect a liability of the corporation.
2 Under subsection 419A(5), this notice ceases to have effect if the controller:
(a) revokes the notice, by writing to the owner/lessor; or
(b) exercises or purports to exercise a right in relation to the specified property the controller.
Form 509A
(subsection 438C(3))
A.C.N. or A.R.B.N.
Limited (administrator appointed)
To: (name) of (address)
1. I (name), of (address), the administrator of the company, give you notice under subsection 438C(3) that I require you to deliver to me, at the above address, within (insert number being not less than 3) business days of the date of this notice, the books specified in the Schedule, being books of the company, that are in your possession.
2. Note that under subsection 438C(5), you must comply with this notice except so far as you are entitled as against the company and the administrator, to retain possession of the books.
(insert specified books)
(administrator’s signature)
Form 509B
(subsection 443B(3))
To: (name), of (address), the *owner/*lessor of property (“the specified property”) being:
(name and description of property, including, if appropriate, relevant reference numbers and account numbers identifying contracts such as leasing arrangements in relation to that property)
I (name), of (address) , the administrator of (name of company) (“the company”) give you notice that I do not propose to exercise rights in relation to the specified property.
1. Under subsection 443B(4), the administrator is not liable for rent or other amounts payable by the company in relation to the specified property while this notice is in force, but the notice does not affect a liability of the company.
2. Under subsection 443B(5), this notice ceases to have effect if:
(a) the administrator revokes the notice, by writing to the owner/ lessor; or
(b) the company exercises or purports to exercise a right in relation to the specified property.
Form 509E
(paragraph 450B(a))
Limited (subject to deed of company arrangement)
*To (name) of (address)
*To creditors of the company
1. Notice is given under section 450B that the company executed a deed of arrangement on (insert date).
2. A copy of the deed may be inspected at (insert address).
(Signature of administrator of the
1. The company owes (name) of (address) (“the creditor”)
*the amount of $(insert amount), being the amount of the debt described in the Schedule.
*the amount of $(insert total amount), being the total of the amounts of the debts described in the Schedule.
*2. The amount is due and payable by the company.
*2. Attached is the affidavit of (insert name of deponent of the affidavit), dated (insert date of affidavit), verifying that the amount is due and payable by the company
(a) to pay to the creditor the *amount of the debt/*total of the amounts of the debts; or
(b) to secure or compound for the *amount of the debt/*total of the amounts of the debts, to the creditor’s reasonable satisfaction.
(indicate if it is a judgment debt,
giving the name of the court
and the date of the order)
5. This form was amended in 2006 as part of amendments of the Corporations Regulations 2001. For the period of 12 months after the commencement of those amendments a person may comply with paragraph 459E(2)(e) of the Corporations Act 2001 in relation to a statutory demand for payment of debt by using:
*Omit if inapplicable
Form 5249
(paragraph 568(8)(a))
To (insert name), the liquidator of the company.
Under paragraph 568(8)(a), application is made to you by (full name, address and occupation of applicant) requiring you to decide whether you will disclaim the property described in the Schedule to this notice or not.
The applicant has the following interest in the property:
(subregulation 5.6.49(2)
A.C.N or A.R.B.N:
To the liquidator of Limited
1. This is to state that the company was on (date of court order in winding up by the Court, or date of resolution to wind up, if a voluntary winding up), and still is, justly and truly indebted to (full name and address of the creditor and, if applicable, the creditor’s partners. If prepared by an employee or agent of the creditor, also insert a description of the occupation of the creditor) for
Particulars of the debt are:
(state how the debt
(include details of voucher substantiating payment)
2. To my knowledge or belief the creditor has not, nor has any person by the creditor’s order, had or received any satisfaction or security for the sum or any part of it except for the following: (insert particulars of all securities held. If the securities are on the property of the company, assess the value of those securities. If any bills or other negotiable securities are held, show them in a schedule in the following form).
*3. I am employed by the creditor and authorised in writing by the creditor to make this statement. I know that the debt was incurred for the consideration stated and that the debt, to the best of my knowledge and belief, remains unpaid and unsatisfied.
*3. I am the creditor’s agent authorised in writing to make this statement in writing. I know the debt was incurred for the consideration stated and that the debt, to the best of my knowledge and belief, remains unpaid and unsatisfied.
*Do not complete if this proof is made by the creditor personally
Form 536
(subregulation 5.6.49(2))
A.C.N. or A.R.B.N:
I (full name of person making the statement) of (full address) being (occupation) state:
1. the company was, on (date of court order in winding up, if winding up was by the Court, or date of resolution to wind up if a voluntary winding up), and still is, indebted to the persons whose names, addresses and descriptions appear in Columns 2, 3 and 4 in the Schedule;
2. the debt is for wages, salaries, annual leave, retrenchment payments or long service leave, due to them for services rendered while employed by the company during the periods set out in Column 5 against the names of the persons;
3. the debt of the company due to each person is for the amount set out in Column 6 against the name of that person;
4. none of those persons has had or received any satisfaction or security in respect of that debt;
5. I am authorised as and the source of my information is as follows:
Period for which claim is made (see note below)
Note: In case of a claim for annual leave or long service leave, insert a description of the claim.
Form 537
(subregulation 5.6.54(1))
1. Your claim against the company set out in the formal proof of debt or claim of (name of person submitting original proof of debt or claim) made on (date) has been *wholly disallowed/*disallowed to the extent of (particulars of part of claim disallowed)/*allowed in the sum of $ /*allowed to the extent of your claim for (particulars of part of claim allowed).
2. My grounds for disallowance of (particulars of part of claim referred to) are as follows:
3. If you are dissatisfied with my determination as set out above, you may appeal against it, no later than (number of days, being not less than 14) days after the service of this notice or, if the Court allows, within any further period, to the *Federal Court of Australia/*the Supreme court of (State or Territory). If you do not do so, your claim will be assessed in accordance with this determination.
Signature of liquidator
Form 538
(regulation 5.6.58)
The following is a provisional list of persons to be placed on the list of contributories that I have made from the records of the company, together with the number of their shares or the extent of their interest, their address and other participants:
PERSONS WHO ARE CONTRIBUTORIES
Description of class of contributory
of shares (or extent of interest)
Amount called up at date of start of winding up
paid up at date of start of winding up
not called up at date of start of winding up
CONTRIBUTORIES WHO ARE REPRESENTATIVES OF, OR LIABLE FOR THE DEBTS OF, OTHERS
of class of contributory and in what character included
called up at date of start of winding up
Form 539
(subregulation 5.6.59(1))
Take notice that I (name) of (address), the liquidator of the company, have appointed (time) *a.m./*p.m. on (date) at (address of place appointed for settlement), at which I must settle the list of the contributories of the company that I have made. You are at present included in that list.
Particulars of your inclusion are set out below. Unless, before or at the time appointed for the settlement, you give me sufficient reason for your exclusion, your name will be included in the settled list.
Number of shares (or extent of interest)
Amount paid up at date of start of winding up
Amount not called up at date of start of winding up
1. Contributories do not have to attend the appointment referred to in this notice if they are satisfied that the particulars contained in the notice are correct.
2. A shareholder’s name cannot be omitted from the list of contributories because he or she is unable to pay calls; this question will be dealt with when application is made for payment of the calls.
3. A change of address may be notified by giving notice to the liquidator by post before the date fixed for the appointment.
(subregulation 5.6.60(2))
A.C.N. or A.R.B.N.:
I (name), the liquidator of the company, certify that the result of the settlement of the list of contributories of the company is as follows:
1. The persons named in Column 2 of Schedule 1 have been included in the list of contributories as contributories of the company in respect of the number of shares or extent of interest set out opposite their names. I have listed in Part 1 of Schedule 1, contributories in their own right and, in Part 2 of Schedule 1, contributories who are representatives of, or liable for the debts of, others.
2. The persons named in Column 2 of Schedule 2 were included in the provisional list of contributories, but have been excluded from the settled list of contributories.
3. In Column 6 of Schedule 1 and in Column 6 of Schedule 2, I have set out opposite the name of each person the date when that person was included in or excluded from the list of contributories.
4. In Columns 7 and 8 of Schedule 1, I have set out opposite the name of each person the amount called up at the date of the commencement of the winding up and the amount paid up at that date in respect of the shares, or interest, of that person.
PERSONS INCLUDED IN THE LIST OF CONTRIBUTORIES
PART 1: CONTRIBUTIONS IN THEIR OWN RIGHT
Description of class of contributory and in what character included
Date when included in list
PART 2: CONTRIBUTORIES WHO ARE REPRESENTATIVES OF, OR LIABLE FOR
THE DEBTS OF, OTHERS
PERSONS EXCLUDED FROM THE LIST OF CONTRIBUTORIES
Description of class of contributory and in what character proposed to be included
(subregulation 5.6.61(1))
A.C.N or A.R.B.N.:
The following is a list of persons that I have found, since making out the annexed list of contributories dated , to be, or to have been, *holders of shares in/*members of the company, and who to the best of my knowledge and belief are contributories of the company:
(insert list in the same form as the original list: see Form 538)
Form 543
I (name), the liquidator of the company, certify that the result of the settlement of the provisional supplementary list of contributories of the company that I made out on (date) is as follows:
(set out the Certificate and Schedules as in Form 541)
Form 544
(subregulation 5.6.62(4))
Take notice that I (name), the liquidator of the company, on (date) settled the list of contributories of the company. You are included in that list. The character, if applicable, in which, and the number of share, or extent of interest, for which, you are included, and the amounts called dup, paid up and unpaid in respect of those shares or that interest are stated in the Schedule.
You may apply to vary the list of contributories, or to remove your name from the list, by making an application to *the Federal Court of Australia/*the Supreme court of (State or Territory) within 21 days from the service on you of this notice or, if the Court allows, any further period.
You may inspect the list at my office at (address) from Monday to Friday inclusive between the hours of (insert times making up not less than 3 hours during the normal working day) and
Amount unpaid at date of start of winding up
Amount not called up at date of start winding up
* Omit if not applicable
Form 547
(subregulation 5.6.65(1))
A dividend (state the number of the dividend, e.g. “first”, “second”) is to be declared on (date) for the company.
*You are listed as a creditor in the report on the affairs of the company;
*You are known to me to claim to be a creditor, but your debt or claim has not yet been admitted.
You are required formally to prove your debt or claim on or before (date). If you do not, you will be excluded from the benefit of the dividend.
*Omit if inapplicable.
A final dividend is to be declared on (date) for the company.
You are required formally to prove your debt or claim on or before (date).
If you do not, I will exclude your claim from participation, and I will proceed to make a final dividend without having regard to it.
Form 549
(subregulation 5.6.67(3))
(State the number of the dividend, e.g. “First”, “Second”) dividend.
A dividend at the rate of in the dollar has been declared for the company and a cheque is attached for $ calculated at that rate on your debt as admitted to rank for dividend for $ .
(regulation 5.6.70)
AUTHORITY TO LIQUIDATOR TO PAY DIVIDEND TO A PERSON NAMED
To the liquidator
*I/*We authorise and request you to pay to (name) of (address) all dividends as they are declared for the company, and that become due and payable to *me/*us in respect of *my/ *our claim for $ against the company.
*I/*We further request that cheques drawn for those dividends are made payable to the order of (name).
This authority remains in force until revoked by *me/*us in writing.
(subregulation 5.6.71(1))
(Note: Before completing this schedule please read carefully the “Direction for completing Form 551” at the end of this form)
Serial No. in settled list
Name of contributory as in settled list
Number of shares held as set out in settled list
Total amount called up
Total amount paid up
SCHEDULE OF CONTRIBUTORIES OR OTHER PERSONS, TO WHOM A DISTRIBUTION OF SURPLUS IS TO BE PAID
Arrears of calls at date of return
Previous distributions of capital appropriated by liquidator for arrears of calls
Amount of distribution payable per share
Net distribution payable
Date and particulars of transfer of interest or other variation in list
DIRECTION FOR COMPLETING FORM 551
If the Articles:
(a) provide that the amount divisible among members or any class of members must be dividable in proportion to the amount paid up or that ought to have been paid up at the date of winding up; or
(b) contain any other provision that requires further information before a distribution can be made;
columns should be added showing the amount called up and the amount paid up at that date in respect of shares then held by those members or that class of members, or any other facts that may be required.
(subregulation 5.6.71(2))
A distribution of surplus at the rate of per share has been declared for the company and a cheque is attached for $ calculated at that rate per share on your (number) shares.
(regulation 5.6.72)
*I/*We authorise and request you to pay to (name) of (address) any distribution of surplus payable to *me/*us for the company.
*I/*We further request that the cheque drawn for that distribution be made payable to the order of (name).
Name(s) of person(s) completing this authority
Australian financial services licensee name
TABLE 1: Aggregate data on intermediated business with APRA‑authorised general insurers, Lloyd’s underwriters and unauthorised foreign insurers
Total business placed with APRA‑authorised general insurers, Lloyds underwriters and unauthorised foreign insurers
Premium invoiced this reporting period
Effective this reporting period
Effective after the reporting period end
Effective before the reporting period start
Total invoiced this reporting period
a. Business placed directly by the general insurance intermediary with APRA‑authorised general insurers
b. Business placed directly, or indirectly through a foreign intermediary, by the general insurance intermediary with Lloyd’s underwriters
c. Business placed directly, or indirectly through a foreign intermediary, by the general insurance intermediary with unauthorised foreign insurers
d. Business placed indirectly through another general insurance intermediary, by the general insurance intermediary with:
APRA‑authorised general insurers; or
ii. Lloyds underwriters; or
iii. unauthorised foreign insurers
General insurer is defined in subsection 3(1) of the Insurance Act 1973.
Lloyd’s underwriter is defined in subsection 3(1) of the Insurance Act 1973.
Unauthorised foreign insurer is defined in regulation 4 of the Insurance Regulations 2002.
table 2: Transaction level data on intermediated business placed directly, or indirectly through a foreign intermediary, with unauthorised foreign insurers
Policy transaction type
APRA class of business
Currency of premium
UFI name
UFI country code
HVI limb
HVI value (#)
Atypical risk class
Customised reason
Note It is an offence under section 137.1 of the Criminal Code Act 1995 to provide false or misleading information to a Commonwealth entity. The Australian Prudential Regulation Authority is a Commonwealth entity.
If information is to be lodged in Table 1 only, the licensee may lodge the information electronically or in writing.
If information is to be lodged in both Table 1 and Table 2, the licensee must lodge the information electronically. If the licensee is unable to lodge the information electronically, the licensee must arrange an alternative method of lodgement with APRA.
Requirements for forms lodged electronically
A licensee must lodge a form electronically via the licensees portal provided by APRA. A licensee must undertake the steps required by APRA to become authorised to use the portal.
A document accompanying a form may only be lodged electronically if APRA has approved, in writing, the electronic lodgement of documents of that kind. If APRA has not approved the electronic lodgement of a document, the document may be lodged in writing.
APRA may approve the electronic lodgement of:
(a) a particular kind of document; or
(b) documents in a particular class of documents.
A document is taken to be lodged with APRA electronically if it is lodged in accordance with APRA’s approval, including any requirements of the approval as to authentication.
Requirements for forms lodged in writing
If a form is lodged in writing, the form must be signed in accordance with the requirements of section 912CA of the Corporations Act 2001, as modified by regulation 7.6.08C of the Corporations Regulations 2001.
Licensees lodging by mail or in person must lodge with APRA:
(a) the signed, original form; and
(b) any information, statements, explanations or other matters required by the form; and
(c) any other material required by the form.
Licensees lodging by email must lodge with APRA:
(a) the signed form in PDF (portable document format); and
Licensees lodging by email must retain signed original copies of the forms and attachments for a period of 7 years.
A form, or document, lodged with APRA in writing by, or on behalf of, an entity in an item of the following table, must be signed by the person specified in the item.
A body that is not a foreign company
A director or secretary
A body that is a foreign company
(a) a local agent; or
(b) if the local agent is a company — a director or secretary of the company
(b) if the partner is a company — a director or secretary of the company
(a) a trustee; or
(b) if the trustee is a body — a director or secretary of the body
Note A body includes a body corporate or an unincorporated body, for example, a society or association — see the definition of body in section 9 of the Act.
The following table must be completed. In the table, the person’s name must be printed next to the person’s signature.
Lodgement details (for the person who physically completes the form)
Contact name/position description
ASIC registered agent number (if applicable)
Postal address or DX address
Entity name (if entity acting as local agent)
Form 719
(regulations 7.5.90 and 7.5.92)
STATEMENT ABOUT PAYMENTS OUT OF FINANCIAL INDUSTRY DEVELOPMENT ACCOUNT
1. The name of the market licensee to which this statement relates is (insert name of market licensee).
2. This statement relates to the financial year ending on (insert date) (the relevant financial year).
3. Specify in respect of each purpose approved by the Minister under subregulation 7.5.88 of the Regulations:
(a) the terms of the purpose as so approved are:
(insert terms)
(b) the date of that approval was (date);
(c) the amount of payments made for that purpose during the relevant financial year was $(amount);
(d) the total, as at the end of the relevant financial year, of all payments made for this purpose in the relevant financial year and previous financial years was $(amount);
(e) further payments for this purpose *are / *are not envisaged.
4. The total of payments for all purposes in respect of the relevant financial year was $(amount).
*I/We (insert name of the auditor or auditors signing this report), report that:
(a) *I / *We have audited the above statement; and
(b) it accurately represents the payments that it mentions.
(signature of auditor)
(under the signature add the name under which the auditor practises or the name of the firm in which the auditor is employed)
I (insert name of officer of the market licensee and the office he or she occupies), declare:
(a) that, to the best of my knowledge and belief, the information contained in the above statement is correct; and
(b) that the Board of (insert name of the market licensee) has accepted the information contained in the statement and resolved that the statement be lodged with ASIC.
(signature of officer of the market licensee)
(under the signature add the name of the person signing)
Form 719A
(subregulation 7.5.56(4))
COMPENSATION FOR LOSSES RESULTING FROM THE UNAUTHORISED TRANSFER OF RIGHTS, SHARES, DEBENTURES OR OTHER SECURITIES BY DEALER
This notice relates to the unauthorised transfer of securities by (insert name of the dealer who is claimed to have transferred securities without authority of transferor) (in this notice called ‘the dealer’) of (insert residential address of the dealer) *formerly carrying on / *carrying on business at (insert address of the principal place of business of the dealer, including State or Territory).
A person wishing to make a claim under regulation 7.5.54 or 7.5.55 of the Corporations Regulations 2001 in respect of loss suffered as a result of a transfer of securities executed between (insert date of first day of applicable period) and (insert date of last day of applicable period, being a date before the date on which the notice is first to be published) (inclusive) by the dealer without authority must lodge his or her claim with:
(insert address, including State or Territory and postcode).
The claim must be made in writing before the end of (specify last application day, at least 3 months after last day of publication of notice).
Under subregulation 7.5.56(3) of the Corporations Regulations 2001, a claim that is not made before the end of that day is barred unless the Board of the Securities Exchanges Guarantee Corporation otherwise determines.
The effect of regulation 7.5.54 of the Corporations Regulations 2001 is to allow a person who:
(a) owned securities that were transferred by a dealer; and
(b) did not authorise the dealer to transfer those securities; and
(c) suffered loss as a result of the transfer;
to make a claim for compensation for the loss suffered in respect of the securities.
The effect of subregulation 7.5.55(1) of the Corporations Regulations 2001 is to allow:
(a) a person to whom securities were transferred by the dealer without the authority of the owner of the securities; or
(b) a successor in title of that person;
Under regulation 7.5.55 of the Corporations Regulations 2001, the following persons are not entitled to make a claim:
(a) a person who knew that the owner of the securities had not authorised the dealer to transfer them;
(b) a person who is connected with the dealer in a way described in regulation 7.5.04 of the Corporations Regulations 2001.
(signature of an officer of the SEGC)
(under the signature add the words ‘for the Securities Exchanges Guarantee Corporation’)
(add the date of signature)
Form 719B
(subregulation 7.5.61(4))
NOTICE CALLING FOR CLAIMS AGAINST SECURITIES EXCHANGES GUARANTEE CORPORATION
This notice relates to claims for pecuniary loss suffered in respect of a contravention of the ASTC certificate cancellation provisions by (insert name of dealer who is claimed to have contravened SCH certificate cancellation provisions) (in this notice called ‘the dealer’) *formerly carrying on business / *carrying on business at (insert business address of the dealer).
A person wishing to make a claim under subregulation 7.5.60(1) of the Corporations Regulations 2001 for pecuniary loss suffered in respect of a contravention by the dealer of the SCH certificate cancellation provisions during the period beginning on and ending on (insert dates) is required to serve the claim on:
(insert address including relevant State or Territory and postcode).
The claim must be made in writing and served on or before the end of (specify last application day — at least 3 months after last day of publication of notice).
1. Under subregulation 7.5.61(3) of the Corporations Regulations 2001, a claim that is not served before the end of the day specified will be barred, unless the Board of the Securities Exchanges Guarantee Corporation (‘SEGC’) otherwise determines.
2. Regulation 7.5.60 of the Corporations Regulations 2001 provides that a person who suffers pecuniary loss in respect of a contravention, by a dealer, of the ASTC certificate cancellation provisions may make a claim in respect of the loss. ASTC certificate cancellation provisions are provisions of the ASTC operating rules that deal with brokers cancelling certificates or other documents of title to Part 4 financial products or with matters incidental to that function.)
A person may not make a claim under regulation 7.5.60 of the Corporations Regulations 2001 if:
(a) the loss is in respect of an unauthorised execution (within the meaning of regulation 7.5.53 of those Regulations) in respect of which the person has made, or is entitled to make a claim under Subdivision 4.7 of Part 7.5 of those Regulations; or
(b) the person was involved in the contravention of the ASTC certificate cancellation provisions.
for the Securities Exchanges Guarantee Corporation
(subregulation 7.5.70(1))
NOTICE CALLING FOR CLAIMS AGAINST THE SECURITIES EXCHANGES GUARANTEE CORPORATION
In relation to (insert name of dealer who has become insolvent) (in this notice called ‘the dealer’) of (insert residential address of the dealer), *formerly / carrying on business at (insert address of the principal place of business of the dealer, including State or Territory), a dealer who has become insolvent.
Persons wishing to make a claim under subregulation 7.5.64(1) of the Corporations Regulations 2001 in respect of property that was, in the course of, or in connection with, the dealer’s business of dealing in securities, entrusted to or received by the dealer (or another person as provided under that subregulation) are required to lodge their claim with:
The Securities Exchanges Guarantee Corporation
The claim must be made in writing on or before (insert date).
Subject to regulation 7.5.70 of the Corporations Regulations 2001, claims not made on or before that date are barred unless the Board of the Securities Exchanges Guarantee Corporation otherwise determines.
Subregulation 7.5.64(1) of the Corporations Regulations 2001 provides to the effect that, where the requirements of that provision are otherwise met, a person may make a claim in respect of property that was, in the course of, or in connection with, the dealer’s business of dealing in securities, entrusted to or received by:
(a) unless paragraph (b) applies, the dealer or an employee of the dealer; or
(b) if the dealer was, at the time the property was so entrusted or received, a partner in a participant, the participant, or a partner in, or an employee of, the participant.
Form 721
(regulation 7.5.80)
NOTICE OF DISALLOWANCE OF CLAIM AGAINST THE SECURITIES EXCHANGES GUARANTEE CORPORATION
(Set out the name and address of the claimant or the claimant’s solicitor and an appropriate form of salutation)
In relation to (insert name of the dealer to whom the claim relates), *formerly carrying on / *carrying on business at (insert business address of the dealer).
The *Board of the Securities Exchanges Guarantee Corporation / *delegate of the Board of the Securities Exchanges Guarantee Corporation under section 890C of the Corporations Act 2001 has considered your claim against the Corporation in respect of (insert description of the circumstances giving rise to the claim and the loss allegedly suffered by the claimant).
After considering all the available evidence, the Corporation has decided that the claim under *regulation (insert relevant regulation number) / *regulations (insert relevant regulation numbers) should be *disallowed / *partly disallowed to the extent set out below.
If you are not satisfied with this decision, you may bring proceedings within 3 months after service of this notice (see section 888H of the Act).
(signature of an officer of the Corporation)
(If the claim has been partly disallowed, insert a heading
‘PARTICULARS OF PARTIAL DISALLOWANCE’
and specify the necessary particulars under it)
Form 905
PARTICULARS OF CESSATION OR CHANGE RELATING TO A PERSON REGISTERED AS AN AUDITOR UNDER SUBSECTION 1287(1)
*1. CESSATION
On (insert date) , I ceased to practise as an auditor. I request ASIC to exercise its discretion under subsection 1290(1) and cancel my registration as an auditor.
*2. CHANGE OF NAME
On (insert date) , I changed my name
*3. CHANGE IN OTHER PARTICULARS
*On (insert date) , the full address of the principal place at which I practise was changed from:
to: (insert full address)
*On (insert date) , the full address of a place at which I practise was changed from:
*On (insert date) , I commenced to practise at: (insert full address)
*On (insert date) , I commenced to practise under a name and style other than my own at: (insert full address)
*On (insert date) , I ceased to practise at: (insert full address)
*On (insert date) , the *name/*address of a firm of which I am *a member/*an employee was changed from:
*On (insert date) , I became *a member/*an employee of: (insert name and full address)
*On (insert date) , I ceased to be *a member/*an employee of: (insert name and full address)
*On (insert date) , a name or style other than my own under which I practise was changed from:
(signature of the registered company auditor)
Schedule 2A—Forms of transfer of Division 3 securities
(regulation 7.11.04)
DIVISION 3 SECURITY TRANSFER FORM
Description of Division 3 assets:
If not fully paid, paid to:
Transfer identification number:
Full name(s) of transferor(s):
The transferor(s) hereby transfer(s) the above Division 3 assets to the transferee(s) named in Part 2 hereof or to the several transferees named in Part 2 of the Broker’s Transfer Form(s), Split Transfer Form(s) or Consolidated Transfer Form(s) relating to the assets.
This transfer is executed on the transferor’s behalf by the transferor’s broker, who certifies:
(a) as to the validity of documents; and
(b) that stamp duty, if payable, has been or will be paid.
[Transferor’s broker’s stamp]
Affixed at
(place and date of affixing stamp)
Full name(s) and address(es) of transferee(s):
Transferee’s broker hereby certifies:
(a) that the Division 3 assets set out in Part 1 above, having been purchased in the ordinary course of business, are to be registered in the name(s) of the transferee(s) named in this Part; and
(b) that stamp duty, if payable, has been or will be paid;
and hereby requests that such entries be made in the register as are necessary to give effect to this transfer;
[Transferee’s broker’s stamp]
Date of affixing stamp:
(a) that the Division 3 assets set out in Part 1 above, having been purchased in the ordinary course of business, are to be registered in the name(s) of the transferee(s) named in the Consolidated Transfer Form relating to the Division 3 assets; and
and hereby requests that such entries be made in the register as are necessary to give effect to this transfer.
BROKER’S TRANSFER FORM
Transferor’s broker hereby certifies:
(a) that the Security Transfer Form relating to the Division 3 assets set out above has been or will be lodged at the company’s office; and
(a) that the Division 3 assets set out in Part 1 above, having been purchased in the ordinary course of business, are to be registered in the name(s) of the transferee(s) named in the Consolidated Transfer Form relating to the assets; and
SPLIT TRANSFER FORM
The [name of market licensee] hereby certifies that the Security Transfer Form or the Broker’s Transfer Form relating to the Division 3 assets set out above has been or will be lodged at the company’s office.
[Market licensee stamp]
Full name(s) and address(es) of transferee(s)
CONSOLIDATED TRANSFER FORM
Transfer Consolidation Number(s):
(a) that the Division 3 assets set out in Part 1 of the Form(s) whose Transfer Consolidation Number(s) is (or are) set out in Part 1 above, having been purchased in the ordinary course of business, are to be registered in the name(s) of the transferee(s) named in this Part; and
and hereby requests that such entries be made in the register as are necessary to give effect to the transfer(s).
SECURITY RENUNCIATION AND TRANSFER FORM
Description of Division 3 rights:
The transferor(s) hereby renounce(s) and transfer(s) the above Division 3 rights in favour of the transferee(s) named in Part 2 hereof or to the several transferees named in Part 2 of the Broker’s Renunciation and Transfer Form(s), Renunciation and Split Transfer Form(s) or Renunciation and Consolidated Transfer Form(s) relating to the above Division 3 rights.
This transfer and renunciation is executed on the transferor’s behalf by the transferor’s broker, who certifies:
(a) that, the Division 3 rights set out in Part 1 above having been purchased in the ordinary course of business, the Division 3 assets to which the Division 3 rights relate are to be issued to the transferee(s) named in this Part; and
and hereby requests that the Division 3 assets be issued by the company to the transferee(s) and such entries be made in the register as are necessary to give effect to this renunciation and transfer.
(a) that, the Division 3 rights set out in Part 1 above having been purchased in the ordinary course of business, the Division 3 assets to which the rights relate are to be issued to the transferee(s) named in the Renunciation and Consolidated Transfer Form relating to the Division 3 rights; and
BROKER’S RENUNCIATION AND TRANSFER FORM
Full name(s) and address(es) of transferor(s):
(a) that the Security Renunciation and Transfer Form relating to the Division 3 rights set out above has been or will be lodged at the company’s office; and
(a) that, the Division 3 rights set out in Part 1 above having been purchased in the ordinary course of business, the Division 3 assets to which the Division 3 rights relate are to be issued to the transferee(s) named in the Renunciation and Consolidated Transfer Form relating to the rights; and
RENUNCIATION AND SPLIT TRANSFER FORM
The [name of market licensee] hereby certifies that the Security Renunciation and Transfer Form or the Broker’s Renunciation and Transfer Form relating to the Division 3 rights set out above has been or will be lodged at the company’s office.
(Transferee’s broker’s stamp)
RENUNCIATION AND CONSOLIDATION TRANSFER FORM
Transfer Consolidation Number:
(a) that, the Division 3 rights set out in Part 1 of the Form(s) whose Transfer Consolidation Number(s) is (or are) set out in Part 1 above having been purchased in the ordinary course of business, the Division 3 assets to which the Division 3 rights relate are to be issued to the transferee(s) named in this Part; and
and hereby requests that the Division 3 assets be issued by the company to the transferee(s) and such entries be made in the register as are necessary to give effect to the renunciation(s) and transfer(s).
TRUSTEE TRANSFER FORM
Transfer identification number, where appropriate:
Transferor hereby certifies that the Division 3 assets set out in Part 1 above are to be registered in the name(s) of the transferee(s) named in this Part, being the person(s) for or on whose behalf the transferor held them, either alone or together with another person or other persons, in the ordinary course of business immediately before the execution of this transfer, and hereby requests that such entries be made in the register as are necessary to give effect to this transfer.
I [or We] hereby transfer the above Division 3 assets to the transferee(s) named in Part 2 hereof.
Execution by the transferor(s):
TRUSTEE RENUNCIATION AND TRANSFER FORM
Transferor hereby certifies that, the Division 3 rights set out in Part 1 above having been transferred to the person(s) for or on whose behalf the transferor held them, either alone or together with another person or other persons, in the ordinary course of business immediately before the transfer, the Division 3 assets to which the Division 3 rights relate are to be issued to the transferee(s) named in this Part, and hereby requests that the Division 3 assets be issued by the company to the transferee(s) and that such entries be made in the register as are necessary to give effect to this renunciation and transfer.
I [or We] hereby renounce and transfer the above Division 3 rights in favour of the transferee(s) named in Part 2 hereof.