Document ID: chunk:federal_register_of_legislation:F2024C01249:clause:2_5:p5
Version: federal_register_of_legislation:F2024C01249
Segment Type: clause
Provision Reference: sch 2 cl 5 (pt 5/9)
Character Range: 2013846–2016701

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.

       Dated

       (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)
       * Omit if not applicable

DECLARATION

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.

       Dated

    (signature of officer of the market licensee)

    (under the signature add the name of the person signing)

Form 719A
(subregulation 7.5.56(4))

Corporations Regulations 2001

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:

Securities Exchanges Guarantee Corporation
(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