Document ID: chunk:federal_register_of_legislation:F2024C01249:clause:2_5:p6
Version: federal_register_of_legislation:F2024C01249
Segment Type: clause
Provision Reference: sch 2 cl 5 (pt 6/9)
Character Range: 2016449–2019342

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;
to make a claim for compensation for the loss suffered in respect of the securities.

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)

* Omit if not applicable

Form 719B
(subregulation 7.5.61(4))

Corporations Regulations 2001

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:
Securities Exchanges Guarantee Corporation
(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).

(NOTES:
   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