Document ID: chunk:federal_register_of_legislation:F2024C01249:clause:2_5:p7
Version: federal_register_of_legislation:F2024C01249
Segment Type: clause
Provision Reference: sch 2 cl 5 (pt 7/9)
Character Range: 2019088–2021959

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.

(signature of an officer of the SEGC)

for the Securities Exchanges Guarantee Corporation

(add the date of signature)

* Omit if not applicable

Form 720
(subregulation 7.5.70(1))

Corporations Regulations 2001

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

(insert address, including State or Territory and postcode).

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.

(signature of an officer of the SEGC)

(under the signature add the words 'For the Securities Exchanges Guarantee Corporation')

(add the date of signature)

* Omit if not applicable

Form 721
(regulation