Prepared by the Office of Parliamentary Counsel, Canberra
Corporations Regulations 2001
Statutory Rules No. 193, 2001
made under the
Corporations Act 2001
Compilation No. 132
Compilation date: 2 July 2017
Includes amendments up to: F2017L00595
Registered: 13 July 2017
This compilation is in 7 volumes
Volume 1: regulations 1.0.01–6D.5.02
Volume 2: regulations 7.1.02–7.6.08E
Volume 3: regulations 7.7.01–8.4.02
Volume 4: regulations 9.1.01–12.9.03
Volume 5: Schedules 1, 2 and 2A
Volume 6: Schedules 3–13
Volume 7: Endnotes
Each volume has its own contents
This compilations includes commenced amendments made by F2017L00321
Authorised Version F2017C00544 registered 13/07/2017
About this compilation
This compilation
This is a compilation of the Corporations Regulations 2001 that shows the text of the law as
amended and in force on 2 July 2017 (the compilation date).
The notes at the end of this compilation (the endnotes) include information about amending
laws and the amendment history of provisions of the compiled law.
Uncommenced amendments
The effect of uncommenced amendments is not shown in the text of the compiled law. Any
uncommenced amendments affecting the law are accessible on the Legislation Register
(www.legislation.gov.au). The details of amendments made up to, but not commenced at, the
compilation date are underlined in the endnotes. For more information on any uncommenced
amendments, see the series page on the Legislation Register for the compiled law.
Application, saving and transitional provisions for provisions and amendments
If the operation of a provision or amendment of the compiled law is affected by an
application, saving or transitional provision that is not included in this compilation, details are
included in the endnotes.
Editorial changes
For more information about any editorial changes made in this compilation, see the endnotes.
Modifications
If the compiled law is modified by another law, the compiled law operates as modified but the
modification does not amend the text of the law. Accordingly, this compilation does not show
the text of the compiled law as modified. For more information on any modifications, see the
series page on the Legislation Register for the compiled law.
Self-repealing provisions
If a provision of the compiled law has been repealed in accordance with a provision of the
law, details are included in the endnotes.
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Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Contents
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 509C 19
Form 509E 20
Form 509H 21
Form 521 26
Form 5249 27
Form 527 29
Form 529A 32
Form 529B 33
Form 530 34
Form 531A 35
Form 531B 36
Form 531C 37
Form 532 38
Form 535 39
Form 536 41
Form 537 43
Form 538 44
Form 539 46
Form 541 48
Form 542 51
Form 543 52
Form 544 53
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Form 547 55
Form 548 56
Form 549 57
Form 550 58
Form 551 59
Form 552 61
Form 553 62
Form 701 63
Form 719 77
Form 719A 79
Form 719B 81
Form 720 83
Form 721 84
Form 905 85
Form 910 88
Schedule 2A—Forms of transfer of Division 3
securities 91
Form 1 91
Form 2 93
Form 3 95
Form 4 97
Form 5 98
Form 6 100
Form 7 102
Form 8 104
Form 9 105
Form 10 106
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Schedule 1—List of forms in Schedule 2 (regulation 1.0.03)
Column 1 Column 2 Column 3 Column 4
Item
Provision of the Act or the
Regulations Description of form
No. of form
Chapter 1 Introductory
1 Regulation 1.0.16 Verification or certification of
a document
911
1A Regulation 1.0.21 Cover page for office copy of
a court order
105
2 Subsection 117(2)
Subsection 163(3)
Subsection 254X(2)
Subsection 601BC(2)
Certification of compliance
with stamp duty law
207Z
3 Subparagraph 206F(1)(b)(i) Notice to demonstrate why
disqualification should not
occur
5249
4 Subsection 206F(3) Notice of disqualification
from managing corporations
587
Chapter 3 Internal administration
23A Section 250P Extension of time for holding
AGM
2501
26 Paragraph 263(2)(b) Notification of further issue
of debentures in a series
310
30 Paragraph 324(2)(e) Return of members of firm of
auditors
314
31 Paragraph 319(5)(a)
Subsections 324(1) & (2)
Subsections 327(4) & (15)
Paragraph 329(11)(c)
Section 330
Notice of resignation or
removal of auditor
315
Chapter 4 Various corporations
Chapter 5 External administration
43 Subsection 414(2) Notice to dissenting
shareholder
501
44 Paragraph 414(9)(a) Notice to remaining
shareholder
502
44A Subsection 419A(3) Notice of controller’s
intention not to exercise
property rights
503
51A Subsection 438C(3) Notice to deliver books of 509A
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Column 1 Column 2 Column 3 Column 4
Item
Provision of the Act or the
Regulations Description of form
No. of form
company to the administrator
51B Subsection 443B(3) Notice of administrator’s
intention not to exercise
property rights
509B
51C Paragraph 445F(2)(a) Notice of meeting of creditors
to vary or terminate deed of
company arrangement
509C
51E Paragraph 450B(a) Notice to creditors of
execution of a deed of
company arrangement
509E
51H Paragraph 459E(2)(e) Creditor’s statutory demand
for payment of debt
509H
61 Subsections 494(1) & (2) Declaration of solvency 520
62 Subsection 496(2)
Subregulation 5.6.12(2)
Notice of meeting of creditors
under section 496
521
68 Paragraph 568(8)(a) Application requiring
liquidator to decide whether
to disclaim property
527
69 Subsection 601AA(2) De-registration—voluntary 6010
71 Subregulation 5.6.12(2) Notice of meeting 529
71A Paragraph 5.6.12(2)(aa) Notice of first meeting of
creditors of company under
administration
529A
71B Subsection 449C(5) Notice of meeting of creditors
to ratify appointment of
administrator
529B
72 Regulation 5.6.13 Statement in writing of
posting of notice of meeting
530
73 Paragraph 5.6.27(2)(a) List of persons present at
meeting of members or
contributories
531A
73A Paragraph 5.6.27(2)(b) List of persons present at
meeting of creditors or
debenture holders
531B
73B Paragraph 5.6.27(2)(c) List of persons present at
meeting of committee of
inspection or committee of
creditors
531C
74 Regulation 5.6.29 Appointment of proxy 532
75 Subregulation 5.6.39(3) Notice to submit particulars
of debt or claim
533
76 Subregulation 5.6.48(3) Notice inviting formal proof 534
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Column 1 Column 2 Column 3 Column 4
Item
Provision of the Act or the
Regulations Description of form
No. of form
of debt or claim
77 Subregulation 5.6.49(2) Formal proof of debt or claim
(General form)
535
78 Subregulation 5.6.49(2) Formal proof of debt or claim
on behalf of employees
536
79 Subregulation 5.6.54(1) Notice of rejection of formal
proof of debt or claim
537
80 Regulation 5.6.58 Provisional list of
contributories
538
81 Subregulation 5.6.59(1) Notice to contributories of
appointment to settle list of
contributories
539
83 Subregulation 5.6.60(2) Certificate of liquidator of
final settlement of list of
contributories
541
84 Subregulation 5.6.61(1) Provisional supplementary
list of contributories
542
85 Subregulation 5.6.61(1) Certificate of liquidator of
settlement of supplementary
list of contributories
543
86 Subregulation 5.6.62(4) Notice to contributory of final
settlement of list or
supplementary list of
contributories and of
inclusion in list
544
88 Subregulation 5.6.65(1) Notice of intention to declare
a dividend
546
89 Subregulation 5.6.65(1) Notice to creditor or person
claiming to be a creditor of
intention to declare a
dividend
547
90 Subregulation 5.6.65(1) Notice to creditor or person
claiming to be a creditor of
intention to declare a final
dividend
548
91 Subregulation 5.6.67(3) Notice of declaration of
dividend
549
92 Regulation 5.6.70 Notice to liquidator to pay
dividend to a person named
550
93 Subregulation 5.6.71(1) Schedule of contributories or
other persons to whom a
distribution of surplus is to be
paid
551
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Column 1 Column 2 Column 3 Column 4
Item
Provision of the Act or the
Regulations Description of form
No. of form
94 Subregulation 5.6.71(2) Notice of distribution of
surplus to contributories or
other persons
552
95 Regulation 5.6.72 Authority to liquidator to pay
distribution of surplus to a
person named
553
Chapter 6 Acquisition of shares
96 Subsection 671B(4) Notice of initial substantial
holder
603
97 Subsection 671B(4) Notice of change of interests
of substantial holder
604
98 Subsection 671B(4) Notice of ceasing to be a
substantial holder
605
Chapter 7 Financial services and markets
99 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
701
Chapter 9 Miscellaneous
150 Subsection 1287(1) Particulars of cessation or
change relating to person
registered as an auditor under
subsection 1287(1)
905
154A Subsection 1302(4) Notice of change of address 909
155 Section 1313 Penalty notice 910
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Schedule 2—Forms (regulations 1.0.02 and 1.0.03)
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Form 314 (paragraph 324(2)(e))
Corporations Act 2001
RETURN OF MEMBERS OF FIRM OF AUDITORS
Name of firm:
Address of firm 1 :
The full names and addresses of all of the members of the firm are:
Surname First or given names Residential address
Dated
Signature 2
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.
DIRECTION
Requirements relating to annexures are set out in regulation 1.0.06.
NOTE
The completion of this form does not relieve members of the firm from any obligation under
the law relating to business names.
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Form 501 (subsection 414(2))
Australian Company Number:
Corporations Act 2001
NOTICE TO DISSENTING SHAREHOLDER
(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)
1. To
of
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:
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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.
Dated
(signature of transferee) *Omit if not applicable
DIRECTION
Requirements relating to annexures are set out in regulation 1.0.06.
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Form 502 (subsection 414(9)(a))
Australian Company Number:
Corporations Act 2001
NOTICE TO REMAINING SHAREHOLDER
1. To
of
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:
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(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.
Dated
(signature of transferee) *Omit if not applicable
DIRECTION
Requirements relating to annexures are set out in regulation 1.0.06.
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Form 503 (subsection 419A(3))
Corporations Act 2001
NOTICE OF CONTROLLER’S INTENTION NOT TO EXERCISE PROPERTY
RIGHTS
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.
Dated
(Controller’s signature)
*Delete if not applicable
NOTES:
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.
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Form 509A (subsection 438C(3))
A.C.N. or A.R.B.N.
Corporations Act 2001
NOTICE TO DELIVER BOOKS OF COMPANY TO THE ADMINISTRATOR
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.
SCHEDULE
(insert specified books)
Dated
(administrator’s signature)
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Form 509B (subsection 443B(3))
Corporations Act 2001
NOTICE OF ADMINISTRATOR’S INTENTION NOT TO EXERCISE PROPERTY
RIGHTS
Limited (administrator appointed)
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.
Dated
(administrator’s signature)
*Delete if not applicable
NOTES
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.
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Form 509C (paragraph 445F(2)(a))
A.C.N. or A.R.B.N.
Corporations Act 2001
NOTICE OF MEETING OF CREDITORS TO VARY OR TERMINATE DEED OF
COMPANY ARRANGEMENT
Limited (subject to deed of company arrangement)
1. Notice is given that a meeting of the creditors of the company will be held at
(insert address and place of meeting) on (insert date) at (insert time) *a.m./*p.m.
2. The purpose of the meeting is to consider and vote on the following resolutions:
(Set out each resolution under section 445A or paragraph 445C(b) that the
administrator of the deed of company arrangement proposes to be voted on at the
meeting or, as the case may be, that creditors, in a request made under
paragraph 445F(1)(b), have proposed to be voted on at the meeting.)
Dated
(signature of administrator) *Delete if not applicable
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Form 509E (paragraph 450B(a))
Corporations Act 2001
NOTICE TO CREDITORS OF EXECUTION OF A DEED OF COMPANY
ARRANGEMENT
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).
Dated
(Signature of administrator of the
deed of company arrangement) *Delete if not applicable
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Form 509H (paragraph 459E(2)(e))
Corporations Act 2001
CREDITOR’S STATUTORY DEMAND FOR PAYMENT OF DEBT
To (name and A.C.N. or A.R.B.N. of debtor company) of (address of the company’s registered
office)
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
3. The creditor requires the company, within 21 days after service on the company of this
demand:
(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.
4. The creditor may rely on a failure to comply with this demand within the period for
compliance set out in subsection 459F(2) as grounds for an application to a court having
jurisdiction under the Corporations Act 2001 for the winding up of the company.
5. Section 459G of the Corporations Act 2001 provides that a company served with a
demand may apply to a court having jurisdiction under the Corporations Act 2001 for an
order setting the demand aside. An application must be made within 21 days after the
demand is served and, within the same period:
(a) an affidavit supporting the application must be filed with the court; and
(b) a copy of the application and a copy of the affidavit must be served on the person
who served the demand.
A failure to respond to a statutory demand can have very serious consequences for a
company. In particular, it may result in the company being placed in liquidation and
control of the company passing to the liquidator of the company.
6. The address of the creditor for service of copies of any application and affidavit is (insert
the address for service of the documents in the State or Territory in which the demand is
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served on the company, being, if solicitors are acting for the creditor, the address of the
solicitors).
SCHEDULE
Description of the debt Amount of the debt
(indicate if it is a judgment debt,
giving the name of the court
and the date of the order)
*Total Amount
Dated:
signed:
Print name: capacity:
Corporation or partnership name (if applicable):
NOTES:
1. The form must be signed by the creditor or the creditor’s solicitor. It may be signed on
behalf of a partnership by a partner, and on behalf of a corporation by a director or by the
secretary or an executive officer of the corporation.
2. The amount of the debt or, if there is more than one debt, the total of the amounts of the
debts, must exceed the statutory minimum of $2,000.
3. Unless the debt, or each of the debts, is a judgment debt, the demand must be
accompanied by an affidavit that:
(a) verifies that the debt, or the total of the amounts of the debts, is due and payable by
the company; and
(b) complies with the rules.
4. A person may make a demand relating to a debt that is owed to the person as assignee.
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:
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(a) the version of this form that was in force immediately before the commencement of
the amendments; or
(b) this version of the form.
*Omit if inapplicable
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Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Form 521 (subsection 496(2), subregulation 5.6.12(6))
Corporations Act 2001
NOTICE OF MEETING OF CREDITORS UNDER SECTION 496
Limited
I, (insert name) of insert address)
give notice that, under subsection 496(1), a meeting of the creditors of the company will be
held at (insert place of meeting) on (insert date
of meeting) at *a.m./p.m.
The winding up of the company commenced on and I was appointed
liquidator by resolution of the members of the company. As the directors declared that the
company would be able to pay its debts in full within a period not exceeding 12 months after
the commencement of the winding up, the liquidation is proceeding as a members’ voluntary
winding up.
A list of creditors prepared in accordance with subsection 496(2) is annexed.
I have formed the opinion that the company will not be able to pay or provide for the payment
of its debts in full within that period and this meeting is summoned in order that the creditors
may, if they so wish, exercise their right under subsection 496(5) to appoint some person
other than myself to be the liquidate of the company for the purpose of winding up the affairs
and distributing the property of the company.
A statement of the assets and liabilities of the company will be laid before the meeting.
Dated
(signature of liquidator)
*Omit if not applicable
DIRECTION
Requirements relating to annexures are set out in regulation 1.0.06.
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Form 5249
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Form 527 (paragraph 568(8)(a))
Australian Company Number:
Corporations Act 2001
APPLICATION REQUIRING LIQUIDATOR TO DECIDE WHETHER TO DISCLAIM
PROPERTY
Limited
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:
SCHEDULE
Dated
(signature of applicant)
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32 Corporations Regulations 2001
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Form 529A (subregulation 5.6.12(6))
Corporations Act 2001
NOTICE OF FIRST MEETING OF CREDITORS OF COMPANY UNDER
ADMINISTRATION
Limited (administrator appointed)
1. On (insert date) *the company under section 436A *The liquidator/provisional liquidator of the company under section 436B *a chargee of property of the company under section 436C appointed (insert name) of
(insert address) as the administrator of the company.
2. Notice is now given that a meeting of the creditors of the company will be held at (insert
address and place of meeting) on (insert date) at (insert time) *a.m./*p.m.
3. The purpose of the meeting is to determine:
(a) whether to appoint a committee of creditors; and
(b) if so, who are to be the committee’s members.
4. At the meeting, creditors may also, by resolution:
(a) remove the administrator from office; and
(b) appoint someone else as administrator of the company.
*5. Details of the instrument under the terms of which the administrator was appointed are:
(a) date of the instrument: (insert date)
(b) nature of instrument: (insert type of instrument, eg mortgage)
(c) place of registration: (insert, if applicable)
(d) registered charge number: (insert, if applicable)
Dated
(administrator’s signature)
*Delete if not applicable
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Form 529B (subsection 449C(5))
Corporations Act 2001
NOTICE OF FIRST MEETING OF CREDITORS TO RATIFY APPOINTMENT OF
ADMINISTRATOR
Limited (administrator appointed)
1. On (insert date) *the company under section 449C(1) and subparagraph 449C(2)(b)(i), *the liquidator/provisional liquidator of the company under section 449C(2)(b)(ii), *a chargee of property of the company, under subsection 449C(1) and
subparagraph 449C(2)(b)(iii),
appointed (insert name) of (insert address) as the administrator of the company in place of
the previous administrator of the company.
2. The new administrator was appointed because the previous administrator (here set out the
applicable circumstances under paragraph 449C(1)(a), (b) or (c), as the case may be).
3. Notice is now given that a meeting of the creditors of the company will be held at (insert
address and place of meeting) on (insert date) at (insert time) *a.m./*p.m.
4. The purpose of the meeting is:
(a) to determine whether to remove the person appointed from office; and
(b) if so, to appoint someone else as administrator of the company.
*5. Details of the instrument under the terms of which the previous administrator was
appointed are:
(a) date of the instrument: (insert date)
(b) nature of instrument: (insert type of instrument, eg mortgage)
(c) place of registration: (insert, if applicable)
(d) registered charge number: (insert, if applicable)
Dated
(signature of convenor of the meeting) *Delete if not applicable
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Form 530 (regulation 5.6.13)
A.C.N. or A.R.B.N.:
Corporations Law
STATEMENT IN WRITING OF POSTING OF NOTICE OF MEETING
Limited
I (name) of (address) state:
1. on (date) a notice of the time and place of the meeting (insert a description of the
meeting) in the form of the annexure marked “A” (see note below) was sent by prepaid
post to each person appearing in the books of the company, or otherwise known to *me/*the convener of the meeting, as a creditor/*contributory/ *member/*debenture
holder;
*2. the notices were addressed to the creditors according to their names and addresses
appearing in the books of the company or to their last known addresses;
*2 the notices were addressed to the contributories according to their names and addresses
appearing in the books of the company or to their last known addresses;
*2 the notices were addressed to the debenture holders according to their names and
addresses appearing in the books of the company or to their last known addresses;
*3 the persons notified and their addresses specified in the notices sent to them are *set out in
the annexed list (see note below) / *identifiable by reference to the books of the company.
Signature
* Omit if inapplicable.
Note: Requirements relating to annexures are set out in regulation 1.0.06.
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Form 531A (paragraph 5.6.27(2)(a))
Corporations Regulations
A.C.N. or A.R.B.N.:
Corporations Act 2001
LIST OF PERSONS PRESENT AT MEETING OF: *MEMBERS/*CONTRIBUTORIES Limited
Meeting held at (place of meeting) on (date).
No. Name Represented by *Number of
shares
*Number of votes
(Signature of person
attending)
(NOTE: If a joint meeting of creditors and members is held, both Form 531A and 531B
should be completed)
*Delete if not applicable
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Form 531B (paragraph 5.6.27(2)(b))
Corporations Regulations
A.C.N. or A.R.B.N.:
Corporations Act 2001
LIST OF PERSONS PRESENT AT MEETING OF: *CREDITORS/*ELIGIBLE
EMPLOYEE CREDITORS/*DEBENTURE HOLDERS
Limited
Meeting held at (place of meeting) on (date).
No. Name Represented by
(signature of
person
attending)
Amount of
proof lodged
or
Amount of
debentures
held
Nature of any
security
Value of any
security, as
estimated by
the creditor
**Balance of
creditor’s debt
after
deducting the
value of the
security
(NOTE: If a joint meeting of creditors and members is held, both Form 531A and 531B
should be completed)
* Delete if not applicable
**Do not complete in the case of a meeting convened under Part 5.3A of the Corporations
Act 2001
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Form 531C (paragraph 5.6.27(2)(c))
Corporations Regulations
A.C.N. or A.R.B.N.
Corporations Act 2001
LIST OF PERSONS PRESENT AT MEETING OF: *COMMITTEE OF
INSPECTION/*COMMITTEE OF CREDITORS
Limited
Meeting held at (place of meeting) on (date).
No. Name Represented by
(Signature of person
attending)
* Delete if not applicable
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Form 532 (regulation 5.6.29)
A.C.N. or A.R.B.N.
Corporations Act 2001
APPOINTMENT OF PROXY
*I/*We (if a firm, strike out “I” and set out the full name of the firm) of (address), a
creditor/*contributory/ *debenture holder/*member of Limited, appoint (name,
address and description of the person appointed) or in his or her absence as *my/*our *general/*special proxy to vote at the *meeting of *creditors/*contributories*debenture
holders/*members/*joint meeting of members and creditors to be held on (date), or at any
adjournment of that meeting (if a special proxy add the words “to vote for” or the words “to
vote against” and specify the particular resolutions).
Dated
Signature
CERTIFICATE OF WITNESS
(This certificate is to be completed only if the person giving the proxy is blind or incapable of
writing. The signature of the creditor, contributory, debenture holder or member must not be
witnessed by the person nominated as proxy)
I (name), of (address), certify that the above instrument appointing a proxy was completed by
me in the presence of and at the request of the person appointing the proxy and read to him or
her before she signed or marked at the instrument.
Dated
Signature of witness
Description
Place of residence
* Omit if inapplicable.
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Form 535 (subregulation 5.6.49(2)
A.C.N or A.R.B.N:
Corporations Act 2001
FORMAL PROOF OF DEBT OR CLAIM (GENERAL FORM)
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
dollars and cents
Particulars of the debt are:
Date Consideration Amount Remarks
(state how the debt
arose)
(include details of voucher
substantiating payment)
$ c
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).
Date Drawer Acceptor Amount Due Date
$ c
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*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.
Dated
Signature
Occupation
Address
*Do not complete if this proof is made by the creditor personally
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Form 536 (subregulation 5.6.49(2))
A.C.N. or A.R.B.N:
Corporations Act 2001
FORMAL PROOF OF DEBT OR CLAIM ON BEHALF OF EMPLOYEES
To the liquidator of Limited
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:
SCHEDULE
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6
No Full name Address of
employee
Description Period for
which claim is
made (see note
below)
Amount of
claim
Dated
Signature
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Note: In case of a claim for annual leave or long service leave, insert a description of the
claim.
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Form 537 (subregulation 5.6.54(1))
A.C.N or A.R.B.N:
Corporations Act 2001
NOTICE OF REJECTION OF FORMAL PROOF OF DEBT OR CLAIM
Limited
To
of
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.
Dated
Signature of liquidator
Address
* Omit if inapplicable
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Form 538 (regulation 5.6.58)
A.C.N or A.R.B.N:
Corporations Act 2001
PROVISIONAL LIST OF CONTRIBUTORIES
Limited
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:
PART 1
PERSONS WHO ARE CONTRIBUTORIES
IN THEIR OWN RIGHT
Serial
No.
Name Address Description of
class of
contributory
Number
of shares
(or extent
of interest)
Amount
called up
at date of
start of
winding
up
Amount
paid up at
date of
start of
winding
up
Amount
not called
up at date
of start of
winding
up
PART 2
CONTRIBUTORIES WHO ARE REPRESENTATIVES OF, OR LIABLE FOR THE
DEBTS OF, OTHERS
Serial
No.
Name Address Description
of class of
contributory and
in what
character
included
Number
of shares
(or extent
of interest)
Amount
called up
at date of
start of
winding
up
Amount
paid up at
date of
start of
winding
up
Amount
not called
up at date
of start of
winding
up
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Dated
Signature of liquidator
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Form 539 (subregulation 5.6.59(1))
A.C.N or A.R.B.N:
Corporations Act 2001
NOTICE TO CONTRIBUTORIES OF APPOINTMENT TO SETTLE LIST OF
CONTRIBUTORIES
Limited
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.
Dated
Signature of liquidator
Serial No. Name Address Description
of class of
contributory and
in what
character
included
Number of
shares (or
extent of
interest)
Amount
called up
at date of
start of
winding
up
Amount
paid up at
date of
start of
winding
up
Amount
not called
up at date
of start of
winding
up
* Strike out whichever is inapplicable.
NOTES
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.
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3. A change of address may be notified by giving notice to the liquidator by post
before the date fixed for the appointment.
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Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Form 541 (subregulation 5.6.60(2))
A.C.N. or A.R.B.N.:
Corporations Act 2001
CERTIFICATE OF LIQUIDATOR OF FINAL SETTLEMENT OF LIST OF
CONTRIBUTORIES
Limited
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.
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SCHEDULE 1
PERSONS INCLUDED IN THE LIST OF CONTRIBUTORIES
PART 1: CONTRIBUTIONS IN THEIR OWN RIGHT
1 2 3 4 5 6 7 8 9
Serial No. Name Address Description of
class of
contributory and
in what character
included
Number of shares
(or extent of
interest)
Date when
included in list
Amount called up
at date of start of
winding up
Amount paid up
at date of start of
winding up
Amount not called
up at date of start
of winding up
PART 2: CONTRIBUTORIES WHO ARE REPRESENTATIVES OF, OR LIABLE FOR
THE DEBTS OF, OTHERS
1 2 3 4 5 6 7 8 9
No. Name Address Description of
class of
contributory and
in what character
included
Number of shares
(or extent of
interest)
Date when
included in list
Amount called up
at date of start of
winding up
Amount paid up
at date of start of
winding up
Amount not called
up at date of start
of winding up
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SCHEDULE 2
PERSONS EXCLUDED FROM THE LIST OF CONTRIBUTORIES
1 2 3 4 5 6
No. Name Address Description of class of
contributory and in what
character proposed to be
included
Number of shares (or extent
of interest)
Date when included in list
Dated
Signature of liquidator
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Form 542 (subregulation 5.6.61(1))
A.C.N or A.R.B.N.:
Corporations Act 2001
PROVISIONAL SUPPLEMENTARY LIST OF CONTRIBUTORIES
Limited
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)
Dated
Signature of liquidator
*Omit if inapplicable
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Form 543 (subregulation 5.6.61(1))
A.C.N. or A.R.B.N.:
Corporations Act 2001
CERTIFICATE OF LIQUIDATOR OF SETTLEMENT OF SUPPLEMENTARY LIST
OF CONTRIBUTORIES
Limited
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)
Dated
Signature of liquidator
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Form 544 (subregulation 5.6.62(4))
A.C.N. or A.R.B.N.:
Corporations Act 2001
NOTICE TO CONTRIBUTORY OF FINAL SETTLEMENT OF LIST OR
SUPPLEMENTARY LIST OF CONTRIBUTORIES AND OF INCLUSION IN LIST
Limited
To:
of:
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
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SCHEDULE
No. Name Address Description of
class of
contributory
and in what
character
included
Number of
shares (or
extent of
interest)
Amount called
up at date of
start of winding
up
Amount unpaid
at date of start
of winding up
Amount unpaid
at date of start
of winding up
Amount not
called up at date
of start winding
up
Dated
Signature of liquidator
* Omit if not applicable
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Form 547 (subregulation 5.6.65(1))
Corporations Act 2001
NOTICE TO CREDITOR OR PERSON CLAIMING TO BE A CREDITOR OF
INTENTION TO DECLARE A DIVIDEND
Limited
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.
Dated
Signature of liquidator
Address
*Omit if inapplicable.
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Form 548 (subregulation 5.6.65(1))
Corporations Act 2001
NOTICE TO CREDITOR OR PERSON CLAIMING TO BE A CREDITOR OF
INTENTION TO DECLARE A DIVIDEND
Limited
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.
Signature of liquidator
Address
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Form 549 (subregulation 5.6.67(3))
Corporations Act 2001
NOTICE OF DECLARATION OF DIVIDEND
Limited
(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 $ .
Dated
Signature of liquidator
Address
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Form 550 (regulation 5.6.70)
Corporations Act 2001
AUTHORITY TO LIQUIDATOR TO PAY DIVIDEND TO A PERSON NAMED
Limited
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.
Date
Signature of creditor
Name of creditor
*Omit if inapplicable
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Form 551 (subregulation 5.6.71(1))
Corporations Act 2001
(Note: Before completing this schedule please read carefully the “Direction for completing
Form 551” at the end of this form)
SCHEDULE OF CONTRIBUTORIES OR OTHER PERSONS TO WHOM A
DISTRIBUTION OF SURPLUS IS TO BE PAID
Limited
Serial No. in
settled list
Name of
contributory as
in settled list
Address 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
Signature of liquidator
Date
DIRECTION FOR COMPLETING FORM 551
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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.
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Form 552 (subregulation 5.6.71(2))
Corporations Act 2001
NOTICE OF DISTRIBUTION OF SURPLUS TO CONTRIBUTORIES OR OTHER
PERSONS
Limited
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.
Dated
Signature of liquidator
Address
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Form 553 (regulation 5.6.72)
Corporations Act 2001
AUTHORITY TO LIQUIDATOR TO PAY DISTRIBUTION OF SURPLUS TO A
PERSON NAMED
Limited
To the Liquidator
*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).
This authority remains in force until revoked by *me/*us in writing.
Dated
Signature
Name(s) of person(s) completing this authority
*Omit if inapplicable.
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Form 701
Data on intermediated business with APRA-authorised general insurers, Lloyd’s underwriters and unauthorised foreign
insurers
Australian business number
Australian financial services licence
number
Australian financial services licensee
name
Reporting period
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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:
i. APRA-authorised general insurers; or
ii. Lloyds underwriters; or
iii. unauthorised foreign insurers
Total
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.
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TABLE 2: TRANSACTION LEVEL DATA ON INTERMEDIATED BUSINESS PLACED DIRECTLY, OR INDIRECTLY THROUGH A
FOREIGN INTERMEDIARY, WITH UNAUTHORISED FOREIGN INSURERS
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Policy
transaction
type
Client
code
Policy
code
Invoice
date
Effective
date
APRA
class of
business
Premium Currency
of
premium
UFI
name
UFI
country
code
Exemption
type
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.
Lodgement requirements
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.
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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.
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Licensees lodging by email must lodge with APRA:
(a) the signed form in PDF (portable document format); 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 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.
Item Entity Person
1 A body that is not a foreign company A director or secretary
2 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
3 An individual An individual
4 A partnership (a) a partner; or
(b) if the partner is a company — a director or secretary of the company
5 A trust (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.
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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)
Firm/organisation
Contact name/position description
ASIC registered agent number (if applicable)
Telephone number
Postal address or DX address
Signature block
Name
Signature
Capacity
Entity name (if entity acting as local agent)
Date signed
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Form 719 (regulations 7.5.90 and 7.5.92)
Corporations Regulations 2001
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).
REPORT OF AUDITOR
*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.
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
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(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)
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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 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:
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(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
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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 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)
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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
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Form 721 (regulation 7.5.80)
Corporations Regulations 2001
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).
Yours sincerely,
(signature of an officer of the Corporation)
(under the signature add the words ‘for the Securities Exchanges Guarantee Corporation’)
(add the date of signature)
(If the claim has been partly disallowed, insert a heading
‘PARTICULARS OF PARTIAL DISALLOWANCE’
and specify the necessary particulars under it)
* Omit if not applicable
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Form 905
Registration no:
Corporations Act 2001
PARTICULARS OF CESSATION OR CHANGE RELATING TO A PERSON
REGISTERED AS AN AUDITOR UNDER SUBSECTION 1287(1)
Surname First or given names
Residential address
*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
from:
to:
*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:
to: (insert full address)
*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:
to:
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*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:
to:
Dated: (insert date)
(signature of the registered company auditor)
* Omit if not applicable
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Form 910 (section 1313)
Corporations Act 2001
PENALTY NOTICE
To (insert name of person alleged to have committed offence and, if a corporation, its
Australian Company Number or its Australian Registered Body Number)
1. It is alleged that at (insert place) on (insert date) you committed an offence under
or in relation to (insert provision under or in relation to which the offence is
alleged to have been committed) because you (set out particulars of alleged
offence, including description of alleged conduct constituting the offence. Where
applicable, include the name and Australia Company Number or Australian
Registered Body Number of any corporation in connection with which the offence
is alleged to have been committed).
This offence is a prescribed offence.
2. Prescribed penalty: $
Payable to: (insert name and address of the office of the Australian Securities and Investments
Commission)
*3. APPLIES IF THE PENALTY NOTICE RELATES TO AN OFFENCE
CONSTITUTED BY A FAILURE TO DO A PARTICULAR ACT OR THING
Take notice that:
(a) the obligation to (see Note below) continues, despite the service of this notice or
the payment of the prescribed penalty; and
(b) if, within 21 days after the date of service of this notice, you:
(i) pay the prescribed penalty to the authority specified in paragraph 2; and
(ii) (see Note below);
no further action will be taken against you in relation to the offence described in
paragraph 1; and
(c) if, at the end of 21 days after the date of service of this notice, you:
(i) have not paid the prescribed penalty to the authority specified in paragraph 2;
or
(ii) have not (see Note below);
proceedings may be instituted against you.
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*3. APPLIES IF THE PENALTY NOTICE RELATES TO AN OFFENCE OTHER
THAN ONE CONSTITUTED BY A FAILURE TO DO A PARTICULAR ACT
OR THING
Take notice that if, within 21 days after the date of service of this notice, you pay the
prescribed penalty to the authority specified in paragraph 2, no further action will be taken
against you in relation to the offence described in paragraph 1.
If, at the end of 21 days after the date of service of this notice, you have not paid the
prescribed penalty to the authority specified in paragraph 2, proceedings may be instituted
against you.
4. Payment of the penalty is not an admission of liability: see subsection 1313(6).
Given by on behalf of the Australian Securities and Investments
Commission at on
* Omit if not applicable
Note: insert a description of the particular act or thing that the person allegedly failed to do
in committing the alleged offence.
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Form 1
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Schedule 2A—Forms of transfer of Division 3
securities (regulation 7.11.04)
Form 1
DIVISION 3 SECURITY TRANSFER FORM MARKING STAMP
PART 1
Full name of company:
Description of Division 3 assets: Class: If not fully paid,
paid to: Register:
Quantity: [Words] [Figures]
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
on
(place and date of affixing stamp)
Authorised Version F2017C00544 registered 13/07/2017
Schedule 2A Forms of transfer of Division 3 securities
Form 1
92 Corporations Regulations 2001
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
PART 2
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:
PART 3
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 the Consolidated Transfer Form relating to
the Division 3 assets; 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:
Authorised Version F2017C00544 registered 13/07/2017
Forms of transfer of Division 3 securities Schedule 2A
Form 2
Corporations Regulations 2001 93
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Form 2
BROKER’S TRANSFER FORM MARKING STAMP
PART 1
Full name of company:
Description of Division 3 assets: Class: If not fully paid,
paid to: Register:
Quantity: [Words] [Figures]
Transfer identification number:
Full name(s) of transferor(s):
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
(b) that stamp duty, if payable, has been or will be paid.
[Transferor’s broker’s stamp]
Affixed at
on
(place and date of affixing stamp)
PART 2
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:
PART 3
Authorised Version F2017C00544 registered 13/07/2017
Schedule 2A Forms of transfer of Division 3 securities
Form 2
94 Corporations Regulations 2001
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
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 the Consolidated Transfer Form relating to
the assets; 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:
Authorised Version F2017C00544 registered 13/07/2017
Forms of transfer of Division 3 securities Schedule 2A
Form 3
Corporations Regulations 2001 95
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Form 3
SPLIT TRANSFER FORM MARKING STAMP
PART 1
Full name of company:
Description of Division 3 assets: Class: If not fully paid,
paid to: Register:
Quantity: [Words] [Figures]
Transfer identification number:
Full name(s) of transferor(s):
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]
Affixed at
on
(place and date of affixing stamp)
PART 2
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:
PART 3
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,
Authorised Version F2017C00544 registered 13/07/2017
Schedule 2A Forms of transfer of Division 3 securities
Form 3
96 Corporations Regulations 2001
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
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
(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:
Authorised Version F2017C00544 registered 13/07/2017
Forms of transfer of Division 3 securities Schedule 2A
Form 4
Corporations Regulations 2001 97
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Form 4
CONSOLIDATED TRANSFER FORM MARKING STAMP
PART 1
Full name of company:
Description of Division 3 assets: Class: If not fully paid,
paid to: Register:
Quantity: [Words] [Figures]
Transfer identification number:
Transfer Consolidation Number(s):
PART 2
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 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
(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 the transfer(s).
[Transferee’s broker’s stamp]
Date of affixing stamp:
Authorised Version F2017C00544 registered 13/07/2017
Schedule 2A Forms of transfer of Division 3 securities
Form 5
98 Corporations Regulations 2001
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Form 5
SECURITY RENUNCIATION AND TRANSFER FORM MARKING STAMP
PART 1
Full name of company:
Description of Division 3 rights: Register:
Quantity: [Words] [Figures]
Transfer identification number:
Full name(s) of transferor(s):
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) 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
on
(place and date of affixing stamp)
PART 2
Full name(s) and address(es) of
transferee(s):
Transferee’s broker hereby 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
(b) that stamp duty, if payable, has been or will be paid;
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.
Authorised Version F2017C00544 registered 13/07/2017
Forms of transfer of Division 3 securities Schedule 2A
Form 5
Corporations Regulations 2001 99
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
[Transferee’s broker’s stamp]
Date of affixing stamp:
PART 3
Transferee’s broker hereby 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 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
(b) that stamp duty, if payable, has been or will be paid;
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.
[Transferee’s broker’s stamp]
Date of affixing stamp:
Authorised Version F2017C00544 registered 13/07/2017
Schedule 2A Forms of transfer of Division 3 securities
Form 6
100 Corporations Regulations 2001
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Form 6
BROKER’S RENUNCIATION AND TRANSFER
FORM MARKING STAMP
PART 1
Full name of company:
Description of Division 3 rights: Register:
Quantity: [Words] [Figures]
Transfer identification number:
Full name(s) and address(es) of transferor(s):
Transferor’s broker hereby certifies:
(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
(b) that stamp duty, if payable, has been or will be paid.
[Transferor’s broker’s stamp]
Affixed at
on
(place and date of affixing stamp)
Authorised Version F2017C00544 registered 13/07/2017
Forms of transfer of Division 3 securities Schedule 2A
Form 6
Corporations Regulations 2001 101
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
PART 2
Full name(s) and address(es) of transferee(s):
Transferee’s broker hereby 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
(b) that stamp duty, if payable, has been or will be paid;
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.
[Transferee’s broker’s stamp]
Date of affixing stamp:
PART 3
Transferee’s broker hereby 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 the
Renunciation and Consolidated Transfer Form relating to the rights; and
(b) that stamp duty, if payable, has been or will be paid;
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.
[Transferee’s broker’s stamp]
Date of affixing stamp:
Authorised Version F2017C00544 registered 13/07/2017
Schedule 2A Forms of transfer of Division 3 securities
Form 7
102 Corporations Regulations 2001
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Form 7
RENUNCIATION AND SPLIT TRANSFER FORM MARKING STAMP
PART 1
Full name of company:
Description of Division 3 rights: Register:
Quantity: [Words] [Figures]
Transfer identification number:
Full name(s) of transferor(s):
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.
[Market licensee stamp]
Affixed at
on
(place and date of affixing stamp)
PART 2
Full name(s) and address(es) of transferee(s):
Transferee’s broker hereby 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
(b) that stamp duty, if payable, has been or will be paid;
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.
[Transferee’s broker’s stamp]
Date of affixing stamp:
PART 3
Transferee’s broker hereby certifies:
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Form 7
Corporations Regulations 2001 103
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
(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
(b) that stamp duty, if payable, has been or will be paid;
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.
(Transferee’s broker’s stamp)
Date of affixing stamp:
Authorised Version F2017C00544 registered 13/07/2017
Schedule 2A Forms of transfer of Division 3 securities
Form 8
104 Corporations Regulations 2001
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Form 8
RENUNCIATION AND CONSOLIDATION
TRANSFER FORM MARKING STAMP
PART 1
Full name of company:
Description of Division 3 rights: Register:
Quantity: [Words] [Figures]
Transfer identification number:
Transfer Consolidation Number:
PART 2
Full name(s) and address(es) of transferee(s):
Transferee’s broker hereby certifies:
(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
(b) that stamp duty, if payable, has been or will be paid;
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).
[Transferee’s broker’s stamp]
Date of affixing stamp:
Authorised Version F2017C00544 registered 13/07/2017
Forms of transfer of Division 3 securities Schedule 2A
Form 9
Corporations Regulations 2001 105
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Form 9
TRUSTEE TRANSFER FORM MARKING STAMP
PART 1
Full name of company:
Description of Division 3 assets: Class: If not fully paid,
paid to: Register:
Quantity: [Words] [Figures]
Transfer identification number, where
appropriate:
Full name(s) of transferor(s):
PART 2
Full name(s) and address(es) of transferee(s):
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):
Date of execution:
Authorised Version F2017C00544 registered 13/07/2017
Schedule 2A Forms of transfer of Division 3 securities
Form 10
106 Corporations Regulations 2001
Compilation No. 132 Compilation date: 2/7/17 Registered: 13/7/17
Form 10
TRUSTEE RENUNCIATION AND TRANSFER FORM
PART 1
Full name of company:
Description of Division 3 rights: Register:
Quantity: [Words] [Figures]
Transfer identification number, where
appropriate:
Full name(s) of transferor(s):
PART 2
Full name(s) and address(es) of transferee(s):
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.
Execution by the transferor(s):
Date of execution:
Authorised Version F2017C00544 registered 13/07/2017