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Corporations Regulations 2001

Authoritative Version
  • - F2009C00379
  • In force - Superseded Version
  • View Series
SR 2001 No. 193 Regulations as amended, taking into account amendments up to SLI 2009 No. 103
Administered by: Treasury
Registered 09 Jun 2009
Start Date 06 Jun 2009
End Date 30 Jun 2009
Table of contents.

Corporations Regulations 2001

Statutory Rules 2001 No. 193 as amended

made under the

This compilation was prepared on 6 June 2009
taking into account amendments up to SLI 2009 No. 103

The text of any of those amendments not in force
on that date is appended in the Notes section

[Note: For cessation details of subregulation 10.2.44A (2),
see subregulations 10.2.44A (3) and (4)]

This document has been split into seven volumes
Volume 1 contains Chapters 1, 2A–2C, 2E, 2G, 2K, 2M,
2N, 5, 5B, 5C, 6, 6A, 6CA and 6D,
Volume 2 contains Chapter 7 (Parts 7.1 to 7.6A),
Volume 3 contains Chapters 7 (Parts 7.7 to 7.12) and 8,
Volume 4 contains Chapters 9, 10 and 12,
Volume 5 contains Schedules 1, 2 (Forms) and 2A (Forms 1–10),
Volume 6 contains Schedules 3, 4, 5C, 6–8, 8A–8C, 9, 10,
10A, 10AA, 10B, 10D and 12, and
Volume 7 contains the Notes
Each volume has its own Table of Contents

Prepared by the Office of Legislative Drafting and Publishing,
Attorney‑General’s Department, Canberra


Contents

Schedule 1             List of forms in Schedule 2                                            4

Schedule 2             Forms                                                                          11

Form 2M01              Notice to lodging entity of proposed referral of financial report to Financial Reporting Panel by ASIC                                                                                    15

Form 2M02              Referral of financial report to Financial Reporting Panel by ASIC          16

Form 2M03              Referral of financial report to Financial Reporting Panel by lodging entity          17

Form 314                                                                                                     19

Form 501                                                                                                     21

Form 502                                                                                                     23

Form 503                                                                                                     25

Form 509A                                                                                                   26

Form 509B                                                                                                   27

Form 509C                                                                                                   28

Form 509E                                                                                                   29

Form 509H                                                                                                   30

Form 521                                                                                                     35

Form 5249                                                                                                   36

Form 527                                                                                                     38

Form 529A                                                                                                   41

Form 529B                                                                                                   42

Form 530                                                                                                     43

Form 531A                                                                                                   44

Form 531B                                                                                                   45

Form 531C                                                                                                   46

Form 532                                                                                                     47

Form 533                                                                                                     48

Form 534                                                                                                     49

Form 535                                                                                                     50

Form 536                                                                                                     52

Form 537                                                                                                     54

Form 538                                                                                                     55

Form 539                                                                                                     57

Form 541                                                                                                     59

Form 542                                                                                                     62

Form 543                                                                                                     63

Form 544                                                                                                     64

Form 546                                                                                                     66

Form 547                                                                                                     67

Form 548                                                                                                     68

Form 549                                                                                                     69

Form 550                                                                                                     70

Form 551                                                                                                     71

Form 552                                                                                                     73

Form 553                                                                                                     74

Form 719                                                                                                     83

Form 719A                                                                                                   85

Form 719B                                                                                                   87

Form 720                                                                                                     89

Form 721                                                                                                     91

Form 904                                                                                                     96

Form 905                                                                                                     97

Form 910                                                                                                   100

Schedule 2A           Forms of transfer of Division 3 securities                   103

Form 1                                                                                                       103

Form 2                                                                                                       105

Form 3                                                                                                       107

Form 4                                                                                                       109

Form 5                                                                                                       110

Form 6                                                                                                       112

Form 7                                                                                                       114

Form 8                                                                                                       116

Form 9                                                                                                       117

Form 10                                                                                                     118

 


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 2M   Financial reports and audit

5

Regulation 2M.3.30

Notice to lodging entity of proposed referral of financial report to Financial Reporting Panel by ASIC

2M01

6

Regulation 2M.3.31

Referral of financial report to Financial Reporting Panel by ASIC

2M02

7

Regulation 2M.3.32

Referral of financial report to Financial Reporting Panel by lodging entity

2M03

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 company to the administrator

509A

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 of debt or claim

534

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

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 9   Miscellaneous

148

Subsection 1279 (2)

Application for registration *as a liquidator or *as a liquidator of a specified body corporate under subsection 1279 (9)

903B

149

Subsection 1284 (3)

Notice of application for discharge of security under subsection 1284 (3)

904

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

Schedule 2        Forms

(regulations 1.0.02 and 1.0.03)


Form 2M01        Notice to lodging entity of proposed referral of financial report to Financial Reporting Panel by ASIC

(regulation 2M.3.30)

  

Corporations Regulations 2001

Australian Securities and Investments Commission

NOTICE TO LODGING ENTITY OF PROPOSED REFERRAL OF A FINANCIAL REPORT TO THE FINANCIAL REPORTING PANEL BY ASIC

Note   Under section 323EC of the Corporations Act 2001 (the Act), ASIC may refer a financial report to the Financial Reporting Panel (the Panel) if ASIC is of the opinion that the financial report does not comply with one or more of the financial reporting requirements.  Under subsections 323ED (1) and (2) of the Act, if ASIC proposes to refer a financial report to the Panel, ASIC must give the lodging entity written notice of the proposed referral. The notice must include the information and statement mentioned in paragraphs 323ED (2) (a), (b) and (c) of the Act and must be in the prescribed form.

 

To (name of lodging entity), ASIC is of the opinion that the financial report does not comply with one or more of the financial reporting requirements and proposes to refer the report to the Financial Reporting Panel.

 

Address of ASIC

Name and contact details of relevant officer at ASIC

 

 

 

 

Information and statement required by paragraphs 323ED (2) (a), (b) and (c) of the Corporations Act 2001

 

 

Form 2M02        Referral of financial report to Financial Reporting Panel by ASIC

(regulation 2M.3.31)

  

Corporations Regulations 2001

Australian Securities and Investments Commission

REFERRAL OF A FINANCIAL REPORT TO THE FINANCIAL REPORTING PANEL BY ASIC

Note   Under subsection 323EF (1) of the Corporations Act 2001 (the Act), a referral
by ASIC of a financial report to the Financial Reporting Panel must include the information, and be accompanied by the documents, mentioned in that subsection. Under subsection 323EF (2) of the Act, a referral must be in the prescribed form.

 

ASIC is referring a financial report of (name of lodging entity) to the Financial Reporting Panel under Subdivision B of Division 9 of Part 2M.3 of the Corporations Act 2001 (the Act).

 

The registered address of:

(a)           if the lodging entity is a registered scheme — the responsible entity; or

(b)           if the lodging entity is not a registered scheme — the lodging entity.

 

 

 

Address of ASIC

Name and contact details of relevant officer at ASIC

 

 

 

 

Information required by paragraphs 323EF (1) (a) and (b) of the Act

 

 

Form 2M03        Referral of financial report to Financial Reporting Panel by lodging entity

(regulation 2M.3.32)

  

Corporations Regulations 2001

REFERRAL OF A FINANCIAL REPORT TO THE FINANCIAL REPORTING PANEL BY THE LODGING ENTITY

Note   Under subsection 323EI (1) of the Corporations Act 2001 (the Act), a referral by a lodging entity of a financial report to the Financial Reporting Panel must include the information, and be accompanied by the document, mentioned in that subsection. Under subsection 323EI (2) of the Act, a referral must be in the prescribed form.

 

(Name of lodging entity) is referring a financial report to the Financial Reporting Panel under Subdivision C of Division 9 of Part 2M.3 of the Corporations Act 2001 (the Act).

 

ASIC consents to the referral of the financial report to the Financial Reporting Panel.

 

The registered address and the names of the directors of:

(a)           if the lodging entity is a registered scheme — the responsible entity; or

(b)           if the lodging entity is not a registered scheme — the lodging entity.

 

 

 

The ACN, ARBN or ARSN of the lodging entity

 

 

 

Name and contact details of contact person for the lodging entity

 

 

 

Information required by paragraphs 323EI (1) (a) and (b) of the Act

 

 


 

 


Form 314      

(paragraph 324 (2) (e))

 

Corporations Act 2001

 

RETURN OF MEMBERS OF FIRM OF AUDITORS

Name of firm:

 

Address of firm1:

 

The full names and addresses of all of the members of the firm are:

 

Surname

First or given names

Residential address

 

Dated

 

Signature2

 

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.


 


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:

 

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.


 

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:

(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.

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.

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)

 

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.

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

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

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 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:

(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


  

 


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.


Form 5249    [see Note 2]


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)


 


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

 

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

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.

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

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

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

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.

Form 533      

(subregulation 5.6.39 (3))

 

A.C.N or A.R.B.N:

 

Corporations Act 2001

NOTICE INVITING FORMAL PROOF OF DEBT OR CLAIM

Limited

 

Take notice that creditors of the company, whose debts or claims have not already been admitted, are required on or before (date) to prove their debts or claims and of any security held by them to me and, if subsequently required by notice in writing from me, must formally prove their debts or claims and establish any title they may have to priority by statement in writing.  If they do not comply with this notice they will be excluded from:

(a)  the benefit of any distribution made before their debts or claims are proved or their priority is established; and

(b)  objecting to the distribution

 

Dated

 

Signature of liquidator

 

Address

Form 534      

(subregulation 5.6.48 (3))

 

A.C.N or A.R.B.N:

 

Corporations Act 2001

NOTICE INVITING FORMAL PROOF OF DEBT OR CLAIM

Limited

 

Take notice that creditors of the company, whose debts or claims have not already been admitted, are required on or before (date) to prove their debts or claims and to establish any title they may have to priority by delivering or posting to me at my address a formal proof of debt or claim in accordance with Form 535 or 536 containing their respective debts or claims. If they do not they will be excluded from:

(a)  the benefit of any distribution made before their debts or claims are proved or their priority is established; and

(b)  objecting to the distribution

 

Form of proof may be obtained from me.

 

Dated

 

Signature of liquidator

 

Address

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

 

 

 

 

 

 

 

 

 

 

 

 

*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

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

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Note:  In case of a claim for annual leave or long service leave, insert a description of the claim.

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

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

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Dated

Signature of liquidator

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.

 

3.   A change of address may be notified by giving notice to the liquidator by post before the date fixed for the appointment.


 

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.

 


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

 

 

 

 

 

 

 

 

 

 

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


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

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

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

 


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


Form 546      

(subregulation 5.6.65 (1))

 

Corporations Act 2001

NOTICE 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.

 

Creditors whose debts or claims have not already been admitted are required on or before (date) formally to prove their debts or claims. If they do not, they will be excluded from the benefit of the dividend.

 

Dated

 

Signature of liquidator

 

Address

 

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.

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

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

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

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

 

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 a that date in respect of shares then held by those members or that class of members, or any other facts that may be required.

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

 

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.

 

  

 

 


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

(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 2001 is to allow:

(a)     a person to whom securities were transferred by the dealer without the authority of the owner of the securities; or

(b)     a successor in title of that person;

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

Under regulation 7.5.55 of the Corporations Regulations 2001, the following persons are not entitled to make a claim:

(a)     a person who knew that the owner of the securities had not authorised the dealer to transfer them;

(b)     a person who is connected with the dealer in a way described in regulation 7.5.04 of the Corporations Regulations 2001.

(signature of an officer of the SEGC)

(under the signature add the words ‘for the Securities Exchanges Guarantee Corporation’)

(add the date of signature)

* Omit if not applicable

Form 719B    

(subregulation 7.5.61 (4))

  

Corporations Regulations 2001

NOTICE CALLING FOR CLAIMS AGAINST SECURITIES EXCHANGES GUARANTEE CORPORATION

This notice relates to claims for pecuniary loss suffered in respect of a contravention of the ASTC certificate cancellation provisions by (insert name of dealer who is claimed to have contravened SCH certificate cancellation provisions) (in this notice called ‘the dealer’) *formerly carrying on business / *carrying on business at (insert business address of the dealer).

A person wishing to make a claim under subregulation 7.5.60 (1) of the Corporations Regulations 2001 for pecuniary loss suffered in respect of a contravention by the dealer of the SCH certificate cancellation provisions during the period beginning on and ending on (insert dates) is required to serve the claim on:

Securities Exchanges Guarantee Corporation

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

The claim must be made in writing and served on or before the end of (specify last application day — at least 3 months after last day of publication of notice).

(NOTES:

1.    Under subregulation 7.5.61 (3) of the Corporations Regulations 2001, a claim that is not served before the end of the day specified will be barred, unless the Board of the Securities Exchanges Guarantee Corporation (‘SEGC’) otherwise determines.

2.    Regulation 7.5.60 of the Corporations Regulations 2001 provides that a person who suffers pecuniary loss in respect of a contravention, by a dealer, of the ASTC certificate cancellation provisions may make a claim in respect of the loss. ASTC certificate cancellation provisions are provisions of the ASTC operating rules that deal with brokers cancelling certificates or other documents of title to Part 4 financial products or with matters incidental to that function.)

A person may not make a claim under regulation 7.5.60 of the Corporations Regulations 2001 if:

(a)     the loss is in respect of an unauthorised execution (within the meaning of regulation 7.5.53 of those Regulations) in respect of which the person has made, or is entitled to make a claim under Subdivision 4.7 of Part 7.5 of those Regulations; or

(b)     the person was involved in the contravention of the ASTC certificate cancellation provisions.

(signature of an officer of the SEGC)

for the Securities Exchanges Guarantee Corporation

(add the date of signature)

* Omit if not applicable

Form 720      

(subregulation 7.5.70 (1))

  

Corporations Regulations 2001

NOTICE CALLING FOR CLAIMS AGAINST THE SECURITIES EXCHANGES GUARANTEE CORPORATION

In relation to (insert name of dealer who has become insolvent) (in this notice called ‘the dealer’) of (insert residential address of the dealer), *formerly / carrying on business at (insert address of the principal place of business of the dealer, including State or Territory), a dealer who has become insolvent.

Persons wishing to make a claim under subregulation 7.5.64 (1) of the Corporations Regulations 2001 in respect of property that was, in the course of, or in connection with, the dealer’s business of dealing in securities, entrusted to or received by the dealer (or another person as provided under that subregulation) are required to lodge their claim with:

The Securities Exchanges Guarantee Corporation

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

The claim must be made in writing on or before (insert date).

Subject to regulation 7.5.70 of the Corporations Regulations 2001, claims not made on or before that date are barred unless the Board of the Securities Exchanges Guarantee Corporation otherwise determines.

Subregulation 7.5.64 (1) of the Corporations Regulations 2001 provides to the effect that, where the requirements of that provision are otherwise met, a person may make a claim in respect of property that was, in the course of, or in connection with, the dealer’s business of dealing in securities, entrusted to or received by:

(a)     unless paragraph (b) applies, the dealer or an employee of the dealer; or

(b)     if the dealer was, at the time the property was so entrusted or received, a partner in a participant, the participant, or a partner in, or an employee of, the participant.

(signature of an officer of the SEGC)

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

(add the date of signature)

* Omit if not applicable

Form 721      

(regulation 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

 

  


Form 904      

 

Registration no:

 

  

Corporations Act 2001

NOTICE OF APPLICATION FOR DISCHARGE OF SECURITY UNDER SUBSECTION 1284 (3)

1.   Notice is given that an application has been made to Australian Securities & Investments Commission (ASIC) for the discharge, wholly or in part, of the security lodged by (insert name and address of liquidator) in relation to the performance of his or her duties as *liquidator/*liquidator of (insert name of specified body corporate, if liquidator of specified body corporate).

 

2.   If you have any claim on that security, you are required to lodge particulars in writing with ASIC not later than, (insert a date not less than 3 months after the date of publication of the advertisement).

 

3.   Failure to lodge your claim before the specified date may result in the discharge of the security and the release of any surely from his or her obligations in relation to that claim.

 

Dated

 

 

(signature of the applicant)

 

*Omit if not applicable

 

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:

 

*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



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.

 

 

*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.



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)

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:

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

 

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:

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, 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:

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:

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.

[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:

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)

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:

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:

(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:

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:

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:

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: