Document ID: chunk:federal_register_of_legislation:F2022C01200:body:0:p7
Version: federal_register_of_legislation:F2022C01200
Segment Type: other
Provision Reference: 
Character Range: 15825–18840

lodged—includes a statement that a disclosure document for the offer of the options will be made available when the options are offered;
(b) where the advertisement or publication is published after the disclosure document for the offer of the options is lodged—includes a statement that the offers of the options will be made in, or accompanied by, a copy of the disclosure document.

Part 3—Declaration

8 Advertising and publicity for reconstructions and capital reductions
    Chapter 6D of the Act applies to a person who makes or proposes to make an offer of securities for issue or sale to which the exemption in subsection 6(1) applies as if section 734 of the Act were modified or varied by:
       (a) omitting subparagraphs 734(5)(a)(vi) and 734(5)(b)(iii) and paragraph 734(6)(e); and
       (b) in paragraph 734(6)(d), omitting "; and" and substituting ".".

9 Application forms created by licensees

        (1)          Chapter 6D of the Act applies to all persons as if section 723 were modified or varied by, after subsection (1), inserting:

           "Licensee personalised application forms

           (1A) Despite subsection (1), and subject to subsection (1B), the securities may be issued or transferred in response to an application form if the form was distributed in circumstances covered by one of the following paragraphs:

              (a)       the form was distributed to a financial services licensee by the person offering the securities, and partly completed by the licensee before being distributed by the licensee to a person making the application;
             (b) the form was distributed by a financial services licensee to a person making the application (whether or not the form was partly completed by the licensee before being distributed) in circumstances where the form was copied or directly derived by the licensee from an application form that was:

                  (i) distributed to the licensee by the person offering the securities; and

                  (ii) included in, or accompanied by, a disclosure document that was distributed to the licensee by the person offering the securities when the application form was distributed to the licensee;

(c) the form was created by a financial services licensee and distributed by the licensee to a person making the application (whether or not the form was partly completed by the licensee before being distributed).

           (1B) The securities may only be issued or transferred under subsection (1A) if the person issuing or transferring them has reasonable grounds to believe that:

               (a) when the applicant received the application form, the applicant was given access, at the same time and by the same means, to the disclosure document; and

               (b) the application form included the following information:

                  (i) the identity of the issuer, the nature of the securities being offered, the price of the securities, the date of the disclosure document