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Corporations Regulations 2001

Authoritative Version
  • - F2012C00851
  • In force - Superseded Version
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SR 2001 No. 193 Regulations as amended, taking into account amendments up to Corporations Amendment Regulation 2012 (No. 10)
Principal Regulations. These Regulations repeal the Corporations Regulations 1990 and the Partnerships and Associations Application Order 1999 (No. 1)
Administered by: Treasury
Registered 03 Dec 2012
Start Date 27 Nov 2012
End Date 28 Feb 2013
Table of contents.
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Collapse Volume 1Volume 1
Collapse Chapter 1 Introductory 
Chapter 1 Introductory
Collapse Part 1.0 Miscellaneous 
Part 1.0 Miscellaneous
1.0.01 Name of Regulations [see Note 1]
1.0.01A Commencement [see Note 1]
1.0.02 Interpretation
1.0.02A Prescribed financial market
1.0.03 Prescribed forms (Act s 350)
1.0.03A Documents that must be in the prescribed form
1.0.03B Documents that must be lodged with ASIC
1.0.03C Documents that must be in a form approved by ASIC
1.0.04 Directions and instructions in forms
1.0.05 Documents and information required by forms
1.0.05A Lodgment with ASIC
1.0.06 Annexures accompanying forms
1.0.07 General requirements for documents
1.0.08 Information to accompany financial documents lodged for financial years
1.0.09 Information to accompany financial documents etc lodged for half-years
1.0.10 Continuous disclosure notices
1.0.11 Certain documents to be signed by personal representatives etc
1.0.12 Form of notice of resolution
1.0.13 Time for lodging documents
1.0.14 Address of registered office or place of business
1.0.15 Affidavits and statements in writing
1.0.16 Certification and verification of certain documents
1.0.17 Documents signed or sworn in accordance with the rules
1.0.18 Prescribed provisions (Act s 53)
1.0.20 Copies of orders to be lodged
1.0.21 Identification of lodged orders
1.0.22 Territorial application of Act
Expand Part 1.1 Prescribed amounts 
Part 1.1 Prescribed amounts
Expand Part 1.2 Interpretation 
Part 1.2 Interpretation
Expand Part 1.2A Disclosing entities 
Part 1.2A Disclosing entities
Expand Chapter 2A Registration of companies 
Chapter 2A Registration of companies
Expand Chapter 2B Basic features of a company 
Chapter 2B Basic features of a company
Expand Chapter 2C Registers 
Chapter 2C Registers
Expand Chapter 2D Officers and employees 
Chapter 2D Officers and employees
Expand Chapter 2E Related party transactions 
Chapter 2E Related party transactions
Expand Chapter 2G Meetings 
Chapter 2G Meetings
Expand Chapter 2K Charges 
Chapter 2K Charges
Expand Chapter 2L Debentures 
Chapter 2L Debentures
Expand Chapter 2M Financial reports and audit 
Chapter 2M Financial reports and audit
Expand Chapter 2N Updating ASIC information about companies and registered schemes 
Chapter 2N Updating ASIC information about companies and registered schemes
Expand Chapter 5 External administration 
Chapter 5 External administration
Expand Chapter 5B Bodies corporate registered as companies, and registrable bodies 
Chapter 5B Bodies corporate registered as companies, and registrable bodies
Expand Chapter 5C Managed investment schemes 
Chapter 5C Managed investment schemes
Expand Chapter 5D Licensed trustee companies 
Chapter 5D Licensed trustee companies
Expand Chapter 6 Takeovers 
Chapter 6 Takeovers
Expand Chapter 6A Compulsory acquisitions and buy-outs 
Chapter 6A Compulsory acquisitions and buy-outs
Expand Chapter 6CA Continuous disclosure 
Chapter 6CA Continuous disclosure
Expand Chapter 6D Fundraising 
Chapter 6D Fundraising
Expand Volume 2Volume 2
Expand Volume 3Volume 3
Expand Volume 4Volume 4
Expand Volume 5Volume 5
Expand Volume 6Volume 6
Expand Volume 7Volume 7

Corporations Regulations 2001

Statutory Rules 2001 No. 193 as amended

made under the

This compilation was prepared on 27 November 2012
taking into account amendments up to SLI 2012 No. 268

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 1–6D (Rr 1.0.01–6D.5.02)
Volume 2 contains Chapter 7 (Rr 7.1.02–7.6.08E)
Volume 3 contains Chapters 7 and 8 (Rr 7.7.01–8.4.02)
Volume 4 contains Chapters 9–12 (Rr 9.0.01–12.9.03)
Volume 5 contains Schedules 1, 2 and 2A
Volume 6 contains Schedules 3–12, and
Volume 7 contains the Notes
Each volume has its own Table of Contents

Prepared by the Office of Parliamentary Counsel, Canberra


Contents

Chapter 1             Introductory                                                                  

Part 1.0                      Miscellaneous                                                           

                 1.0.01      Name of Regulations [see Note 1]                                  15

               1.0.01A      Commencement [see Note 1]                                         15

                 1.0.02      Interpretation                                                                 15

               1.0.02A      Prescribed financial market                                            25

                 1.0.03      Prescribed forms (Act s 350)                                         26

               1.0.03A      Documents that must be in the prescribed form              26

               1.0.03B      Documents that must be lodged with ASIC                     28

               1.0.03C      Documents that must be in a form approved by ASIC     28

                 1.0.04      Directions and instructions in forms                               29

                 1.0.05      Documents and information required by forms               29

               1.0.05A      Lodgment with ASIC                                                      29

                 1.0.06      Annexures accompanying forms                                    30

                 1.0.07      General requirements for documents                              31

                 1.0.08      Information to accompany financial documents lodged for financial years     32

                 1.0.09      Information to accompany financial documents etc lodged for half‑years      33

                 1.0.10      Continuous disclosure notices                                       34

                 1.0.11      Certain documents to be signed by personal representatives etc      34

                 1.0.12      Form of notice of resolution                                          35

                 1.0.13      Time for lodging documents                                          35

                 1.0.14      Address of registered office or place of business          35

                 1.0.15      Affidavits and statements in writing                                35

                 1.0.16      Certification and verification of certain documents          36

                 1.0.17      Documents signed or sworn in accordance with the rules 36

                 1.0.18      Prescribed provisions (Act s 53)                                    36

                 1.0.20      Copies of orders to be lodged                                       36

                 1.0.21      Identification of lodged orders                                       37

                 1.0.22      Territorial application of Act                                           37

Part 1.1                      Prescribed amounts                                                

                 1.1.01      Prescribed amounts                                                      38

Part 1.2                      Interpretation                                                             

Division 1                    General                                                                           

                 1.2.01      Remuneration recommendations (Act s 9B)                     39

Part 1.2A                  Disclosing entities                                                    

               1.2A.01      Securities declared not to be ED securities                     40

               1.2A.02      Foreign companies issuing securities under foreign scrip offers etc exempt from disclosing entity provisions                                                            40

               1.2A.03      Foreign companies issuing securities under employee share scheme exempt from the disclosing entity provisions                                                            42

Chapter 2A         Registration of companies                                       

Part 2A.1                  Size of partnerships or associations (Act s 115 (2))      

               2A.1.01      Size of partnerships or associations                               43

Part 2A.2                  Change of place of registration of company (Act s 119A (3)) 

               2A.2.01      Approval of application for change of place of registration 45

               2A.2.02      Special resolution may be set aside by Court order         45

               2A.2.03      Application for change of place of registration               46

               2A.2.04      Change of place of registration                                      46

Chapter 2B         Basic features of a company                                   

Part 2B.6                  Names                                                                         

               2B.6.01      Availability of names (Act s 147)                                    47

               2B.6.02      Consents required for use of certain letters, words and expressions 47

               2B.6.03      Exemptions from requirement to set out name and ACN on certain documents (Act s 155)     48

Chapter 2C         Registers                                                                       

Part 2C.1                  Registers generally                                                  

Division 2C.1.1          Location of register                                                        

               2C.1.01      Form of notice                                                              49

Division 2C.1.2          Right to inspect and get copies of register                      

               2C.1.02      Form of register                                                            49

               2C.1.03      Improper purposes for getting copy of register               49

               2C.1.04      Information to be included in application for copy of register            49

Division 2C.1.3          Use of information on registers by bodies corporate      

               2C.1.05      Contact with members after failure to provide copy of register          50

Chapter 2D         Officers and employees                                            

Part 2D.2                  Restrictions on indemnities, insurance and termination payments 

Division 2D.2.2          Termination payments                                                    

               2D.2.01      Meaning of base salary                                                  53

               2D.2.02      Meaning of benefit                                                         54

               2D.2.03      When benefit given in connection with retirement from an office or a position            56

Part 2D.6                  Disqualification from managing corporations  

Division 2D.6.1          Automatic disqualification (Act s 206B)                           

               2D.6.01      Prescribed foreign jurisdictions (Act s 206B (7))              57

Part 2D.7                  Ban on hedging remuneration of key management personnel         

               2D.7.01      Hedging arrangements (Act s 206J (3))                           58

Chapter 2E         Related party transactions                                       

               2E.1.01      Small amounts given to related entity                             60

Chapter 2G         Meetings                                                                        

Part 2G.2                  Meetings of members of companies                   

Division 6                    Proxies and body corporate representatives                   

               2G.2.01      Authentication of appointment of proxy (Act s 250A)      61

Chapter 2K         Charges                                                                         

Part 2K.2                  Registration                                                               

               2K.2.01      Lien or charge on crop or wool, or stock mortgage, that is a registrable security: prescribed law  — subsection 262 (5) of the Act                              62

               2K.2.02      Time period for the provisional registration of charges    63

               2K.2.03      Charge that is a registrable security: specified law — paragraphs 273A (4) (b), 273B (3) (b) and 273C (3) (b) of the Act                                                   63

Chapter 2L          Debentures                                                                   

Part 2L.2                   Duties of borrower                                                   

               2L.2.01      Register relating to trustees for debenture holders          64

Chapter 2M         Financial reports and audit                                      

Part 2M.3                  Financial reporting                                                   

Division 1                    Annual financial reports and directors’ reports               

              2M.3.01      Disclosures required by notes to consolidated financial statements  — annual financial reports (Act s 295)                                                                    65

              2M.3.03      Prescribed details (Act s 300A)                                      66

Division 9                    Reference of financial report to the Financial Reporting Panel      

              2M.3.30      Notice to lodging entity of proposed referral of financial report to Financial Reporting Panel by ASIC (Act s 323ED)                                                       74

              2M.3.31      Referral of financial report to Financial Reporting Panel by ASIC (Act s 323EF)         74

              2M.3.32      Referral of financial report to Financial Reporting Panel by lodging entity (Act s 323EI)          74

Part 2M.4                  Auditor                                                                         

            2M.4.01A      Specified practising certificates (Act s 324BE)                75

              2M.4.01      Notice of appointment of auditors                                  75

Part 2M.4A              Annual transparency reports for auditors         

            2M.4A.01      Application                                                                   76

            2M.4A.02      Content of annual transparency report (Act s 332B)         76

Part 2M.6                  Modification of the operation of Chapter 2M of the Act

              2M.6.01      Modifications (Act s 343)                                               77

              2M.6.05      Conduct of auditor — relevant relationships                    77

Chapter 2N         Updating ASIC information about companies and registered schemes       

Part 2N.2                  Extract of particulars                                               

               2N.2.01      Particulars ASIC may require in an extract of particulars (Act s 346B)            78

Part 2N.4                  Return of particulars                                                

               2N.4.01      Particulars ASIC may require in a return of particulars (Act s 348B)    81

Chapter 5             External administration                                             

Part 5.1                      Arrangements and reconstructions                    

                 5.1.01      Prescribed information for paragraph 411 (3) (b) and subparagraph 412 (1) (a) (ii) of the Act  83

                 5.1.02      Giving notice under subsection 414 (2) or (9) of the Act   84

Part 5.2                      Receivers, and other controllers, of corporations        

                 5.2.01      Controller’s notice to owner or lessor of property — how given         85

                 5.2.01      Certified copies of reports                                             85

Part 5.3A                  Administration of a company’s affairs with a view to executing a deed of company arrangement                                            

               5.3A.01      Administrator’s notice of ending of administration           86

               5.3A.02      Administrator to specify voidable transactions in statement  86

               5.3A.03      Administrator to lodge notice of appointment                 86

             5.3A.03A      Notice of first meeting of creditors                                 87

          5.3A.03AB      Notice of meeting to decide the company’s future          87

               5.3A.04      Notice of change of administrator’s address                   88

               5.3A.05      Administrator’s notice to owner or lessor of property — how given   88

               5.3A.06      Provisions included in deed of company arrangement     89

             5.3A.06A      Notice of resolution to wind up voluntarily                      89

          5.3A.06AB      Notice of meeting of creditors                                       89

               5.3A.07      Administrator becomes liquidator — additional cases     89

             5.3A.07A      Notice of appointment of administrator                          91

Part 5.4                      Winding up in insolvency                                       

                 5.4.01      Application to Court for winding up — prescribed agency 92

               5.4.01A      Notice of application to wind up a company                   92

                 5.4.02      Compromise of debt by liquidator — prescribed amount 93

Part 5.4C                  Winding up by ASIC                                                 

               5.4C.01      Notice of intention to order winding up of a company     94

Part 5.5                      Voluntary winding up                                              

                 5.5.01      Notice of resolution to wind up voluntarily                      95

                 5.5.02      Notice of meeting of creditors                                       95

Part 5.6                      Winding up generally                                              

                 5.6.01      Matters for entry in liquidator’s or provisional liquidator’s books       96

                 5.6.02      Inspection of books kept under section 531 of the Act    96

                 5.6.06      Payment into liquidator’s general account                       96

                 5.6.07      Deposit of securities                                                     97

                 5.6.08      Delivery of securities                                                     97

                 5.6.09      Special bank account                                                    97

                 5.6.10      Payments out of liquidator’s general account                  98

                 5.6.11      Application                                                                   98

               5.6.11A      Electronic methods of giving or sending certain notices etc  99

                 5.6.12      Notice of meeting                                                        100

                 5.6.13      Proof of notice                                                            102

               5.6.13A      If telephone conference facilities are available               102

               5.6.13B      Persons, or their proxies or attorneys, participating by telephone      103

                 5.6.14      Time and place of meeting                                           104

               5.6.14A      Advertisement of a meeting                                         104

               5.6.14B      Meetings not convened in accordance with regulations  105

                 5.6.15      Costs of convening meetings of creditors etc               105

                 5.6.16      Quorum                                                                       105

                 5.6.17      Chairperson                                                                 107

                 5.6.18      Adjournment of meeting                                               107

                 5.6.19      Voting on resolutions                                                   108

                 5.6.20      Taking a poll                                                               109

                 5.6.21      Carrying of resolutions after a poll has been demanded at a meeting of creditors      109

                 5.6.22      Carrying of resolution after a poll has been demanded at a meeting of contributories or members                                                                                  110

                 5.6.23      Creditors who may vote                                               110

               5.6.23A      Voting status of persons by whom money is advanced to a company          112

                 5.6.24      Votes of secured creditors                                           112

                 5.6.26      Admission and rejection of proofs for purposes of voting 113

                 5.6.27      Minutes of meeting                                                      113

                 5.6.28      Appointment of proxies                                               115

                 5.6.29      Form of proxies                                                          116

                 5.6.30      Instruments of proxy                                                    117

                 5.6.31      Proxy forms to accompany notice of meetings             117

               5.6.31A      Person may attend and vote by attorney                       117

                 5.6.32      Liquidator etc may act as proxy                                   118

                 5.6.33      Voting by proxy if financially interested                        118

                 5.6.34      Liquidator etc may appoint deputy                               118

                 5.6.36      Time for lodging proxies                                              119

               5.6.36A      Facsimile copies of proxies                                         119

                 5.6.37      Establishing title to priority                                           119

                 5.6.39      Notice to submit particulars of debt or claim                 120

                 5.6.40      Preparation of a proof of debt or claim                        120

                 5.6.41      Disclosure of security                                                  120

                 5.6.42      Discounts                                                                   120

                 5.6.43      Periodical payments                                                    120

               5.6.43A      Debt or claim of uncertain value — appeal to Court       121

                 5.6.44      Debt discount rate (Act s 554B)                                    121

                 5.6.45      Employees’ wages                                                      121

                 5.6.46      Production of bill of exchange and promissory note     122

                 5.6.47      Admission of debt or claim without formal proof           122

                 5.6.48      Notice to creditors to submit formal proof                    123

                 5.6.49      Formal proof of debt or claim                                      123

                 5.6.50      Contents of formal proof of debt or claim                    124

                 5.6.51      Costs of proof                                                            124

                 5.6.52      Liquidator to notify receipt of proof of debt or claim     124

                 5.6.53      Time for liquidator to deal with proofs                          124

                 5.6.54      Grounds of rejection and notice to creditor                   125

                 5.6.55      Revocation or amendment of decision of liquidator       126

                 5.6.56      Withdrawal or variation of proof of debt or claim           127

                 5.6.57      Oaths                                                                          127

                 5.6.58      Liquidator to make out provisional list of contributories 128

                 5.6.59      Time and place for settlement of list                             128

                 5.6.60      Settlement of list of contributories                                129

                 5.6.61      Supplementary list                                                       129

                 5.6.62      Notice to contributories                                                129

                 5.6.63      Dividend payable only on admission of a debt or claim 130

                 5.6.64      Application of regulations 5.6.37 to 5.6.57                    131

                 5.6.65      Liquidator to give notice of intention to declare a dividend 131

                 5.6.66      Time allowed for dealing with formal proof of debt or claim  132

                 5.6.67      Declaration and distribution of dividend                        133

                 5.6.68      Rights of creditor who has not proved debt before declaration of dividend   133

                 5.6.69      Postponement of declaration                                       134

                 5.6.70      Payment of dividend to a person named                      134

               5.6.70A      Prescribed rate of interest on debts and claims from relevant date to date of payment          134

               5.6.70B      Notice of disclaimer                                                     134

                 5.6.71      Distribution of surplus in a winding up by the Court       135

                 5.6.72      Distribution of surplus as directed                                135

                 5.6.73      Eligible unsecured creditor                                           135

                 5.6.74      Interpretation: prescribed countries                               136

                 5.6.75      Publication in the prescribed manner                            136

Chapter 5B         Bodies corporate registered as companies, and registrable bodies  

Part 5B.2                  Registrable bodies                                                   

               5B.2.01      Certified copies of certificates of incorporation etc       138

               5B.2.02      Manner of certifying constituent documents                  138

               5B.2.03      Manner of sending letters (Act ss 601CC (2) and 601CL (3))  139

               5B.2.04      Manner of sending notices (Act ss 601CC (3) and 601CL (4))            139

               5B.2.05      Prescribed countries (Act s 601CDA (a))                       139

               5B.2.06      Notices (Act s 601CV (1))                                             140

Part 5B.3                  Names of registrable Australian bodies and foreign companies      

               5B.3.01      Availability of names (Act s 601DC)                              141

               5B.3.02      Consents required for use of certain letters, words and expressions 141

               5B.3.03      Exemptions from requirement to set out ARBN etc on certain documents (Act s 601DG)        142

               5B.3.04      Notices (Act s 601DH (1))                                             142

Chapter 5C         Managed investment schemes                               

Part 5C.1                  Registration of managed investment schemes

               5C.1.01      Applying for registration                                              143

               5C.1.02      Change of name of registered schemes                        143

               5C.1.03      Modification (Act s 601QB)                                          144

Part 5C.2                  The responsible entity                                            

               5C.2.01      Duty of responsible entities’ agents — surveillance checks 145

               5C.2.02      Appointment of temporary responsible entities             145

               5C.2.03      Form of notices (Act ss 601FL (2) and 601FM (2))         145

               5C.2.04      Notice of appointment of temporary responsible entities 145

               5C.2.05      Form of notices (Act s 601FP (3))                                 145

Part 5C.4                  The compliance plan                                               

               5C.4.01      Agents’ authorities to be lodged                                   146

               5C.4.02      Agents to assist auditors of compliance plans              146

Part 5C.5                  The compliance committee                                   

               5C.5.01      Responsible entities etc to assist compliance committees 147

Part 5C.9                  Winding up                                                                 

               5C.9.01      Notice of commencement of winding up                       148

Part 5C.11               Exemptions and modifications                             

Division 1                    Exemptions                                                                    

             5C.11.01      Certain funds not managed investment funds                149

Division 2                    Modifications                                                                  

             5C.11.02      Modifications                                                              149

             5C.11.03      Register of members of registered schemes  (Act s 169 (1)) 149

           5C.11.03A      How to work out the value of an interest                       149

             5C.11.04      Names of registered schemes (Act s 601EB (1))            150

           5C.11.05A      Schemes not required to be registered (Act s 601ED)    150

             5C.11.06      Liability of responsible entities (Act s 601FB (4))           150

Chapter 5D         Licensed trustee companies                                   

Part 5D.1                  Preliminary                                                                 

               5D.1.01      Prescribed requirements for publication                        151

           5D.1.01A       Meaning of trustee company                                        151

               5D.1.02      Meaning of traditional trustee company services and estate management functions     151

               5D.1.03      Meaning of mortgage-backed security                           154

               5D.1.04      Interaction between trustee company provisions and State and Territory laws            155

Part 5D.2                  Powers etc of licensed trustee companies       

Division 2.1                 Annual Information Returns                                            

               5D.2.01      Obligation on licensed trustee company to provide an annual information return if requested 157

               5D.2.02      Information to be included in annual information return  159

Division 2.2                 Common funds                                                               

               5D.2.03      Common funds                                                           159

               5D.2.04      Establishment of common funds                                  159

               5D.2.05      Deciding details about common funds                         160

               5D.2.06      Operation of common funds                                        161

               5D.2.07      Register of investments                                               164

               5D.2.08      Financial reports                                                          164

Part 5D.3                  Regulation of fees charged by licensed trustee companies  

               5D.3.01      Modification of section 601TAB of the Act: disclosure to clients of changed fees     166

Part 5D.4                  Obligations of receiving company after transfer           

               5D.4.01      Preserving rights under dispute resolution systems and compensation arrangements 167

Chapter 6             Takeovers                                                                     

Part 6.2                      Exceptions to the prohibition                                

                 6.2.01      Prescribed circumstances (Act s 611)                           168

                 6.2.02      Other prescribed circumstances (Act s 611)                  169

Part 6.5                      The takeover procedure                                         

                 6.5.01      Wholesale holder of securities — telephone monitoring during bid period      170

Part 6.6                      Variation of offers                                                     

                 6.6.01      Right to withdraw acceptance                                       171

Part 6.8                      Acceptances                                                              

                 6.8.01      Acceptance of offers made under off‑market bid          172

                 6.8.02      Acceptances by transferees and nominees of offers made under off‑market bid       172

Part 6.10                   Review and intervention                                         

               6.10.01      Application for review of Panel decision (Act s 657EA)  173

Chapter 6A         Compulsory acquisitions and buy‑outs               

Part 6A.1                  Compulsory acquisitions and buy‑outs after takeover bid    

               6A.1.01      Terms on which securities to be acquired                      174

Chapter 6CA     Continuous disclosure                                              

             6CA.1.01      Continuous disclosure: other disclosing entities            175

Chapter 6D         Fundraising                                                                  

Part 6D.2                  Disclosure to investors about securities           

               6D.2.01      Exemption — member shares                                      176

               6D.2.02      Exemption — foreign companies                                 176

               6D.2.03      Sophisticated investors                                               176

Part 6D.5                  Fundraising — miscellaneous                              

               6D.5.01      Warrants that are securities                                          177

               6D.5.02      Modification of paragraph 708 (8) (c) of the Act: renewal period for accountants’ certificates 177

 


Note about these Regulations

These Regulations are made under the Corporations Act 2001. To assist users of these Regulations, these Regulations follow, as far as possible, the drafting style, structure and numbering of the Corporations Regulations 1990 that were made under the Corporations Act 1989. Because some provisions of the Corporations Regulations 1990 are not remade in these Regulations, some gaps appear in the numbering of these Regulations. Also, the drafting style departs in minor ways from that used in the Corporations Regulations 1990.

Chapter 1    Introductory

Part 1.0              Miscellaneous

  

1.0.01     Name of Regulations [see Note 1]

                These Regulations are the Corporations Regulations 2001.

1.0.01A  Commencement [see Note 1]

                These Regulations commence on the same day as the Corporations Act 2001.

1.0.02     Interpretation

         (1)   In these Regulations:

ABN (Australian Business Number) has the meaning given by section 41 of the A New Tax System (Australian Business Number) Act 1999.

ACH means Australian Clearing House Pty Limited.

Act means the Corporations Act 2001.

agent means a person appointed under subsection 601CG (1) of the Act.

approved deposit fund (or ADF) has the same meaning as in the SIS Act.

approved foreign bank:

                (a)    in relation to a participant of a licensed market, means a bank:

                          (i)    established by or under the law of a foreign country; and

                         (ii)    in relation to which there is in force an approval given by the market licensee in accordance with its operating rules or by ASIC under the market integrity rules; and

               (b)    in relation to a financial services licensee other than a participant of a licensed market, means a bank:

                          (i)    regulated by an overseas regulator; and

                         (ii)    in relation to which there is in force an approval given by ASIC for the purposes of this definition.

approved form, in relation to a provision of the Act or of these Regulations, means the form that is approved under paragraph 350 (1) (b) of the Act for use for that provision.

associated provisions, in relation to provisions (the core provisions) of the relevant old legislation as in force at a particular time, include (but are not limited to):

                (a)    any regulations or other instruments that are or were in force for the purposes of any of the core provisions at that time; and

               (b)    any interpretation provisions that apply or applied in relation to any of the core provisions at that time (whether or not they also apply or applied for other purposes); and

                (c)    any provisions relating to liability (civil or criminal) that apply or applied in relation to any of the core provisions at that time (whether or not they also apply or applied for other purposes); and

               (d)    any provisions that limit or limited, or that otherwise affect or affected, the operation of any of the core provisions at that time (whether or not they also limit or limited, or affect or affected, the operation of other provisions).

ASTC means ASX Settlement and Transfer Corporation Pty Limited.

ASTC certificate cancellation provisions means the provisions of the ASTC operating rules that deal with:

                (a)    the cancellation of certificates or other documents of title to Division 4 financial products; and

               (b)    matters incidental to the cancellation of those certificates or documents.

ASTC‑regulated transfer means a transfer of a Division 4 financial product:

                (a)    within the meaning of:

                          (i)    Division 4 of Part 7.11 of the Act; and

                         (ii)    regulations relating to transfer made for sections 1074A and 1074E of the Act; and

               (b)    that is effected through ASTC; and

                (c)    that, according to the ASTC operating rules, is an ASTC‑ regulated transfer.

benefit fund has the meaning given by section 16B of the Life Insurance Act 1995.

building society has the same meaning as in section 16 of the RSA Act.

capital guaranteed, for a superannuation product or an RSA product, means that the contributions and accumulated earnings may not be reduced by a negative investment return or a reduction in the value of an asset in which the product is invested.

capital guaranteed FHSA product means an FHSA product:

                (a)    that is an FHSA deposit account or an FHSA life policy; and

               (b)    for which the balance may not be reduced other than by the debiting of fees.

capital guaranteed fund means a public offer superannuation fund, or a sub‑fund of a public offer superannuation fund, that has the following characteristics:

                (a)    its investments comprise 1 or more of the following only:

                          (i)    deposits with an ADI;

                         (ii)    investments in a capital guaranteed superannuation product or RSA product;

               (b)    the contributions and accumulated earnings of its members cannot be reduced by negative investment returns (within the meaning of subregulation 5.01 (1) of the SIS Regulations) or by any reduction in the value of its assets.

capital guaranteed member means a member whose interest in a public offer superannuation fund is fully invested in a capital guaranteed fund.

Division 3 asset means:

                (a)    shares mentioned in paragraph 1073A (1) (a) of the Act; or

               (b)    debentures mentioned in paragraph 1073A (1) (b) of the Act; or

                (c)    interests in a registered scheme mentioned in paragraph 1073A (1) (c) of the Act; or

              (ca)    a CGS depository interest mentioned in paragraph 1073A (1) (da) of the Act; or

               (d)    securities mentioned in paragraph 1073A (1) (e) of the Act.

Division 3 rights means:

                (a)    rights mentioned in paragraph 1073A (1) (d) of the Act; and

               (b)    rights related to securities mentioned in paragraph 1073A (1) (e) of the Act.

Division 3 securities means Division 3 assets and Division 3 rights.

Division 4 financial product has the meaning given by regulation 7.11.03.

enduring power of attorney means an enduring power of attorney that complies with a law of a State or Territory.

Exchange body means:

                (a)    Australian Stock Exchange Limited; or

               (b)    a subsidiary of Australian Stock Exchange Limited.

excluded ADF has the same meaning as in the SIS Act.

exempt public sector superannuation scheme (EPSSS) has the same meaning as in the SIS Act.

FHSA deposit account means an FHSA product of a kind mentioned in subparagraph (c) (i) of the meaning of FHSA in section 8 of the First Home Saver Accounts Act 2008.

FHSA life policy means an FHSA product of a kind mentioned in subparagraph (c) (ii) of the meaning of FHSA in section 8 of the First Home Saver Accounts Act 2008.

financial business means a business that:

                (a)    consists of, or includes, the provision of financial services; or

               (b)    relates wholly or partly to the provision of financial services.

form means an approved form or a prescribed form.

friendly society has the meaning given by section 16C of the Life Insurance Act 1995.

FSR commencement means the commencement of item 1 of Schedule 1 to the Financial Services Reform Act 2001.

income stream financial product means an annuity or other facility that is a financial product which provides an income stream, including:

                (a)    an income stream that is an investment life insurance product; or

               (b)    an income designated under section 9 of the Social Security Act 1991 or section 5H of the Veterans’ Entitlements Act 1986;

but does not include any of the following:

                (c)    a financial product under paragraph 764A (1) (ba) of the Act;

               (d)    anything that is not a financial product under section 765A of the Act;

                (e)    available money;

                (f)    deposit money;

               (g)    a managed investment product;

               (h)    a security;

                (i)    a loan that has not been repaid in full;

                (j)    gold, silver or platinum bullion.

Note   In accordance with subsections 761G (6) and (7) of the Act, superannuation products and RSA products are not income stream financial products.

investment‑based financial product means:

                (a)    a financial product under section 763B of the Act; or

               (b)    a financial product under paragraph 764A (1) (ba) or (j) of the Act; or

                (c)    a financial product under paragraph 764A (1) (m) of the Act that is specified to be an investment‑based financial product; or

               (d)    a security; or

                (e)    a managed investment product; or

                (f)    an investment life insurance product; or

               (g)    a deposit product; or

              (ga)    a carbon unit;

             (gb)    an Australian carbon credit unit;

              (gc)    an eligible international emissions unit;

but does not include any of the following:

               (h)    anything that is not a financial product under section 765A of the Act;

                (i)    an income stream financial product.

Note   In accordance with subsections 761G (6) and (7) of the Act, superannuation products and RSA products are not income stream financial products.

Lloyd’s has the same meaning as in the Insurance Act 1973.

margin loan, or margin lending, means a standard margin lending facility.

medical indemnity insurance product means an arrangement:

                (a)    under which medical indemnity cover is provided to:

                          (i)    a medical practitioner as defined in section 4 of the Medical Indemnity (Prudential Supervision and Product Standards) Act 2003; or

                         (ii)    a registered health professional prescribed by
the Medical Indemnity (Prudential Supervision
and Product Standards) Regulations 2003
for a provision of Part 3 of the Medical Indemnity (Prudential Supervision and Product Standards) Act 2003; and

               (b)    to which the Medical Indemnity (Prudential Supervision and Product Standards) Act 2003 applies.

minor fee, for a margin loan, means a fee or cost for the margin loan that does not relate to the ordinary acquisition, operation or closure of the loan and which is less than $10.

non‑cash payment financial product means a financial product under section 763D of the Act, other than:

                (a)    a derivative; or

               (b)    a financial product under paragraph 764A (1) (k) of the Act; or

                (c)    anything that is not a financial product under section 765A of the Act.

non‑Division 3 securities means financial products to which Division 3 or 4 of Part 7.11 of the Act applies because of a declaration made by ASIC under paragraph 1075A (1) (b) of the Act.

old Corporations Act means the Corporations Act 2001 as in force immediately before the FSR commencement.

policy committee has the same meaning as in the SIS Act.

pooled superannuation trust (or PST) has the same meaning as in the SIS Act.

pre‑FSR securities means securities defined in subsection 92 (3) of the old Corporations Act.

preserved benefits means preserved benefits under:

                (a)    Subdivision 6.1.2 of the SIS Regulations; or

               (b)    Subdivision 4.1.2 of the RSA Regulations.

proper ASTC transfer means:

                (a)    an ASTC‑regulated transfer of a Division 4 financial product effected:

                          (i)    through the prescribed CS facility operated by the ASTC; and

                         (ii)    in accordance with the operating rules of the ASTC; and

               (b)    an ASTC‑regulated transfer that the ASTC, in accordance with its operating rules, determines:

                          (i)    to comply substantially with the applicable provisions of those operating rules; and

                         (ii)    to be taken to be, and always to have been, a proper ASTC transfer.

public offer entity has the same meaning as in the SIS Act.

public offer superannuation fund has the same meaning as in the SIS Act.

registration number means:

                (a)    for a company — the number allotted to the company under paragraph 118 (1) (a) or 601BD (1) (a) of the Act; or

               (b)    for a registered body — the number allotted to it under section 601CB or 601CE of the Act; or

                (c)    for an auditor or a liquidator (including an official liquidator or a liquidator of a specified body corporate) — the number allotted to a person on registration of that person as an auditor or a liquidator.

regulated superannuation fund has the same meaning as in the SIS Act.

restricted non‑preserved benefits means restricted non‑ preserved benefits under:

                (a)    Subdivision 6.1.3 of the SIS Regulations; or

               (b)    Subdivision 4.1.3 of the RSA Regulations.

retirement savings account has the same meaning as in the RSA Act.

risk‑based financial product means:

                (a)    a financial product under section 763C of the Act; or

               (b)    a life risk insurance product;

but does not include any of the following:

                (c)    a derivative;

(d)    anything that is not a financial product under section 765A of the Act.

Note   In accordance with subsections 761G (5) and (7) of the Act, general insurance products are not risk‑based financial products.

RSA Act means the Retirement Savings Accounts Act 1997.

RSA Regulations means the Retirement Savings Accounts Regulations 1997.

settlement documents, in relation to a transaction, means:

                (a)    if the agreement for the transaction has not been discharged — documents the supply of which in accordance with the agreement is sufficient to discharge the obligations of the seller under the agreement, in so far as the obligations relate to the supply of documents in connection with the transaction; or

               (b)    if the agreement for the transaction has been discharged, whether by performance or otherwise — documents the supply of which in accordance with the agreement would, if the agreement had not been discharged, be sufficient to discharge the obligations of the seller under the agreement, in so far as the obligations relate to the supply of documents in connection with the transaction.

simple managed investment scheme means a registered management investment scheme which is or was offered because it meets 1 of the following requirements:

                (a)    the scheme invests at least 80% of its assets in money in an account with a bank on the basis that the money is available for withdrawal:

                          (i)    immediately during the bank’s normal business hours; or

                         (ii)    at the end of a fixed-term period that does not exceed 3 months;

               (b)    the scheme invests at least 80% of its assets in money on deposit with a bank on the basis that the money is available for withdrawal:

                          (i)    immediately during the bank’s normal business hours; or

                         (ii)    at the end of a fixed-term period that does not exceed 3 months;

                (c)    the scheme invests at least 80% of its assets under 1 or more arrangements by which the responsible entity of the scheme can reasonably expect to realise the investment, at the market value of the assets, within 10 days.

SIS Act means the Superannuation Industry (Supervision) Act 1993.

SIS Regulations means the Superannuation Industry (Supervision) Regulations 1994.

sub‑plan, in relation to a regulated superannuation fund, means a segment of the fund comprising a member or members of the fund, being a sub‑plan that the trustee determines should be made.

successor fund has the same meaning as in the SIS Regulations.

superannuation entity has the same meaning as in the SIS Act.

superannuation interest has the same meaning as in the SIS Act.

superannuation lump sum has the meaning given by subsection 995‑1 (1) of the Income Tax Assessment Act 1997.

superannuation scheme means a complying superannuation fund within the meaning of subsection 995‑1 (1) of the Income Tax Assessment Act 1997.

superannuation‑sourced money means money in relation to which:

                (a)    the provider of a financial service knows that the money:

                          (i)    will be paid to a person as a superannuation lump sum by the trustee of a regulated superannuation fund; or

                         (ii)    has been paid as an eligible termination payment (within the meaning of these Regulations as in
force immediately before 1 July 2007) or as a superannuation lump sum at any time during the previous 6 months; or

               (b)    the provider of the financial service ought reasonably to know that fact.

trustee in relation to a superannuation scheme, includes a person responsible for the administration and management of the scheme.

unrestricted non‑preserved benefits means unrestricted non‑preserved benefits under:

                (a)    Subdivision 6.1.4 of the SIS Regulations; or

               (b)    Subdivision 4.1.4 of the RSA Regulations.

warrant means a financial product:

                (a)    that is:

                          (i)    a derivative under section 761D of the Act; or

                         (ii)    a financial product that would, apart from the effect of paragraph 761D (3) (c) of the Act, be a derivative for section 761D of the Act, and is excluded by that paragraph only because:

                                   (A)     it is a security under paragraph (c) of the definition of security in section 761A of the Act; or

                                   (B)     it is a legal or equitable right or interest mentioned in subparagraph 764A (1) (b) (ii) of the Act; or

                                   (C)     it is a legal or equitable right or interest mentioned in subparagraph 764A (1) (ba) (ii) of the Act; and

               (b)    that is transferable.

         (2)   In these Regulations, a reference to a form by number is a reference to the form so numbered in Schedule 2.

1.0.02A  Prescribed financial market

                For the definition of prescribed financial market in section 9 of the Act, the following financial markets are prescribed:

                (a)    Asia Pacific Exchange Limited;

               (b)    ASX Limited;

                (c)    Chi-X Australia Pty Ltd;

               (d)    National Stock Exchange of Australia Limited;

                (e)    SIM Venture Securities Exchange Ltd.

1.0.03     Prescribed forms (Act s 350)

         (1)   A form in Schedule 2 mentioned in an item in column 4 of Schedule 1 is prescribed for the provision of the Act, or of these Regulations, that is specified in the item in column 2.

Note   Under section 350 of the Act, a document that the Act requires to be lodged with ASIC in a prescribed form must:

(a)   if a form for the document is prescribed in these Regulations, be in that prescribed form; and

(b)   if a form for the document is not prescribed in these Regulations but ASIC has approved a form for the document, be in that approved form.

         (2)   In a form, unless the contrary intention appears, a reference to a Chapter, Part, Division, section, subsection, paragraph or subparagraph is a reference to that Chapter, Part, Division, section, subsection, paragraph or subparagraph of the Act.

1.0.03A  Documents that must be in the prescribed form

                A document mentioned in the table under a provision of the Act mentioned in the table must be in the prescribed form.

 

Item

Document

Provision of the Act

1A

Certificate to the effect that all documents accompanying a notice lodged under section 263 or 264 of the Act have been duly stamped as required by any applicable law relating to stamp duty

Paragraph 265 (4) (b)

1B

Notice stating that a person other than the original chargee has become the holder of a registrable charge on property of a company

Subsection 268 (1)

1C

Notice setting out particulars of a variation in the terms of a registrable charge on property of a company

Subsection 268 (2)

1

Notice of appointment to administer a compromise or arrangement

Subsection 415 (1)

2

Notice that an order for the appointment of a receiver of property has been obtained or of the appointment of a receiver

Paragraph 427 (1) (a)

3

Notice of the appointment of a person to enter into possession or take control of the property of a corporation

Paragraph 427 (1A) (a)

4

Notice of entering into possession or taking control

Paragraph 427 (1B) (a)

5

Notice that the person has ceased to be a controller

Paragraph 427 (4) (a)

6

Written notice stating that a company is taken to have passed a resolution to wind up the company

Paragraph 446A (5) (a)

7

Notice of the appointment of an administrator

Paragraph 450A (1) (a)

8

Notice of failure to execute deed of company arrangement

Paragraph 450C (a)

9

Notice of termination of deed of company arrangement

Paragraph 450D (a)

10

Notice of filing of application to wind up a company

Paragraph 470 (1) (a)

11

Notice of making of order to wind up a company

Paragraph 470 (1) (b)

12

Notice of withdrawal or dismissal of application to wind up a company

Paragraph 470 (1) (c)

13

Return of the holding of a meeting with account attached

Subsection 509 (3) or (4)

14

Statement in writing verifying an account or statement

Paragraph 539 (1) (a) or (b)

15

Written notice disclaiming property

Subsection 568A (1)

16

Statement by a liquidator

Subsection 1288 (3) or (5)

Note   Under section 350 of the Act, a document that the Act requires to be lodged with ASIC in a prescribed form must:

(a)   if a form for the document is prescribed in these Regulations, be in that prescribed form; and

(b)   if a form for the document is not prescribed in these Regulations but ASIC has approved a form for the document, be in that approved form.

On 1 July 2007, forms for the documents mentioned in the table are not prescribed in these Regulations.

1.0.03B  Documents that must be lodged with ASIC

                A document mentioned in an item in the table for a provision mentioned in the item must be lodged:

                (a)    with ASIC; and

               (b)    if the document is mentioned for subsection 430 (1) of the Act — by a controller, within 7 days of the controller receiving a report under that subsection.

 

Item

Document

Provision of the Act

1

Statement in writing in the prescribed form verifying a report about the affairs of a company

Subsection 430 (1) or 475 (1) or (2)

2

Report about the affairs of a company

Subsection 430 (1)

Note   Under section 350 of the Act, a document that the Act requires to be lodged with ASIC in a prescribed form must:

(a)   if a form for the document is prescribed in these Regulations, be in that prescribed form; and

(b)   if a form for the document is not prescribed in these Regulations but ASIC has approved a form for the document, be in that approved form.

On 23 December 2004, forms for the documents mentioned in item 1 of the table are not prescribed in these Regulations.

1.0.03C  Documents that must be in a form approved by ASIC

                A document mentioned in the table under a provision of the Act mentioned in the table must be in a form approved by ASIC (if a form has been approved).

 

Item

Document

Provision of the Act

1

Statement about the company’s business, property, affairs and financial circumstances

Subsection 438B (2)

2

Report about a company’s business, property, affairs and financial circumstances

Paragraph 439A (4) (a)

3

Notice of termination of deed of company arrangement

Paragraph 450D (b)

Note   The documents mentioned in the table are not required to be lodged with ASIC under the Act, and are not documents to which section 350 of the Act applies.

1.0.04     Directions and instructions in forms

                A form must be completed in accordance with the directions and instructions specified in the form.

1.0.05     Documents and information required by forms

         (1)   If a form requires:

                (a)    the lodging of a document; or

               (b)    the giving of information:

                          (i)    by completing the form in the prescribed manner; or

                         (ii)    by supplying or completing another document;

                the document or information is taken to be the document or information required for the provision of the Act or of these Regulations for which the form is approved under paragraph 350 (1) (b) of the Act or included in Schedule 2.

         (2)   If the Act requires particulars to be provided by the giving of information in a form, the particulars included in the form are taken to be the particulars required:

                (a)    if the form is an approved form — for the provision of the Act for which the form is approved under paragraph 350 (1) (b) of the Act; and

               (b)    if the form is a prescribed form — for the provision of the Act for which the form is included in Schedule 2.

1.0.05A  Lodgment with ASIC

         (1)   For the definition of lodge with ASIC in section 761A of the Act, the definition relates to each provision of Chapter 7 of the Act that includes the expression lodge with ASIC.

         (2)   For paragraph 1364 (2) (c) of the Act:

                (a)    a statement that is to be given to ASIC in accordance with subsection 912C (1) of the Act may be lodged with ASIC in the prescribed form; and

               (b)    a report that is to be given to ASIC in accordance with subsection 912D (1) of the Act may be lodged with ASIC in the prescribed form; and

                (c)    written notice that is to be given to ASIC in accordance with subsection 912D (2) of the Act may be lodged with ASIC in the prescribed form; and

               (d)    information that is to be given to ASIC in accordance with subsection 912E (2) of the Act may be lodged with ASIC in the prescribed form; and

                (e)    information that is to be provided to ASIC in accordance with paragraph 913B (1) (ca) of the Act may be lodged with ASIC in the prescribed form; and

                (f)    a document that is to be lodged with ASIC for Part 10.2 of the Act must be lodged in the prescribed form.

1.0.06     Annexures accompanying forms

         (1)   In this regulation:

annexure includes a document that is with a form.

         (2)   An annexure to a form must:

                (a)    have an identifying mark; and

               (b)    be endorsed with the words:

                        ‘This is the annexure of (insert the number of pages) pages marked (insert an identifying mark) mentioned in the (insert a description of the form) signed by (insert ‘me’ or ‘us’) and dated (insert the date of signing)’; and

                (c)    be signed by each person signing the form to which the document is annexed.

         (3)   The pages in an annexure must be numbered consecutively.

         (4)   If a form has a document annexed, the following particulars of the annexure must be written on the form:

                (a)    the identifying mark; and

               (b)    the number of pages.

1.0.07     General requirements for documents

                Unless ASIC otherwise approves, a document to be lodged must:

                (a)    be on white or light pastel colour paper:

                          (i)    of international A4 size; and

                         (ii)    of medium weight and good quality; and

               (b)    be clearly printed or written in black or dark blue in a manner that is permanent and will make possible a reproduction, by photographic, computerised or other electronic means that is satisfactory to ASIC; and

                (c)    not be a carbon copy or a copy reproduced by any spirit duplication method; and

               (d)    subject to paragraph (h), have margins of not less than 10 millimetres on all sides; and

                (e)    if it comprises 2 or more sheets, be fastened together securely in the top left‑hand corner; and

                (f)    display on the first page of the document or, if the document is a single sheet, on that sheet:

                          (i)    subject to regulation 7.6.03:

                                   (A)     the ACN, ARBN or ARSN of the corporation or managed investment scheme; or

                                   (B)     if the last 9 digits of its ABN are the same, and in the same order, as the last 9 digits of its ACN, ARBN or ARSN (if the corporation or managed investment scheme has an ACN, ARBN or ARSN) — its ABN; and

                         (ii)    the name of the corporation or managed investment scheme; and

                        (iii)    the title of the document; and

                        (iv)    the section number of the Act under which the document is being lodged; and

               (g)    have the following information at the top left‑hand of the first sheet:

                          (i)    registered agent number (if any); and

                         (ii)    lodging party or agent name; and

                        (iii)    address; and

                        (iv)    telephone number; and

                         (v)    facsimile number (if any); and

                        (vi)    DX number and applicable suburb or city (if any); and

               (h)    at the top right‑hand of the first sheet, have a blank space that measures 35 millimetres from the top of the page and 65 millimetres from the right‑hand side of the page; and

                (j)    if the document is a form relating to a no liability company, be completed by inserting the words ‘No Liability’ in place of the word ‘Limited’; and

               (k)    in the case of an unlimited company, have the word ‘Limited’ omitted; and

                (l)    if the document contains maps or charts on which areas have been distinguished by colour, also distinguish those areas by hatching, numbering or lettering.

1.0.08     Information to accompany financial documents lodged for financial years

                A document lodged under subsection 319 (1) of the Act for a financial year must be accompanied by the approved form setting out the following information:

                (a)    if the disclosing entity is a company:

                          (i)    the ACN of the company or, if the last 9 digits of its ABN are the same, and in the same order, as the last 9 digits of its ACN, the ABN of the company; and

                         (ii)    the dates on which the financial year to which the document relates begins and ends; and

                        (iii)    a statement of certification in accordance with regulation 1.0.16; or

               (b)    if the disclosing entity is a body (other than a company):

                          (i)    the ARBN of the body or, if the last 9 digits of its ABN are the same, and in the same order, as the last 9 digits of its ARBN, the ABN of the body; and

                         (ii)    the dates on which the financial year to which the document relates begins and ends; and

                        (iii)    a statement of certification in accordance with regulation 1.0.16; or

                (c)    if the disclosing entity is a registered scheme:

                          (i)    the ARSN of the scheme or, if the last 9 digits of its ABN are the same, and in the same order, as the last 9 digits of its ARSN, the ABN of the scheme; and

                         (ii)    the dates of the beginning and end of the half‑year to which the document relates; and

                        (iii)    the name of the responsible entity of the scheme and the name of the scheme; and

                        (iv)    a statement of certification in accordance with regulation 1.0.16.

1.0.09     Information to accompany financial documents etc lodged for half‑years

                A document lodged under section 320 of the Act for a half‑year must be accompanied by the approved form setting out the following information:

                (a)    if the disclosing entity is a company:

                          (i)    the ACN of the company or, if the last 9 digits of its ABN are the same, and in the same order, as the last 9 digits of its ACN, the ABN of the company; and

                         (ii)    the dates on which the half‑year to which the document relates begins and ends; and

                        (iii)    a statement of certification in accordance with regulation 1.0.16; or

               (b)    if the disclosing entity is a body (other than a company):

                          (i)    the ARBN of the body or, if the last 9 digits of its ABN are the same, and in the same order, as the last 9 digits of its ARBN, the ABN of the body; and

                         (ii)    the dates on which the half‑year to which the document relates begins and ends; and

                        (iii)    a statement of certification in accordance with regulation 1.0.16; or

                (c)    if the disclosing entity is a registered scheme:

                          (i)    the ARSN of the scheme or, if the last 9 digits of its ABN are the same, and in the same order, as the last 9 digits of its ARSN, the ABN of the scheme; and

                         (ii)    the dates of the beginning and end of the half‑years to which the document relates; and

                        (iii)    the name of the responsible entity of the scheme and the name of the scheme; and

                        (iv)    a statement of certification in accordance with regulation 1.0.16.

1.0.10     Continuous disclosure notices

                A document lodged under section 1001B of the Act must
be accompanied by Form 1003 setting out the following information:

                (a)    if the disclosing entity is a body:

                          (i)    the ACN or ARBN of the body or, if the last 9 digits of its ABN are the same, and in the same order, as the last 9 digits of its ACN or ARBN, the ABN of the body; and

                         (ii)    a statement of certification in accordance with regulation 1.0.16; or

               (b)    if the disclosing entity is a registered scheme:

                          (i)    the ARSN of the scheme or, if the last 9 digits of its ABN are the same, and in the same order, as the last 9 digits of its ARSN, the ABN of the scheme; and

                         (ii)    the name of the responsible entity of the scheme and the name of the scheme; and

                        (iii)    a statement of certification in accordance with regulation 1.0.16.

1.0.11     Certain documents to be signed by personal representatives etc

                Unless these Regulations state otherwise, a document relating to a corporation that is a proprietary company to which section 201F of the Act applies that does not have a director or secretary must be signed by the personal representative or trustee mentioned in that section.

1.0.12     Form of notice of resolution

                A copy of a resolution lodged under subsection 136 (5), 157 (2), 162 (3), 246F (3), 254H (4), 254N (2), 256C (3), 260B (7), 461 (2), 491 (2), 506 (1B), 507 (11) or 510 (1A) of the Act must be set out in, or annexed to, a notice in accordance with  the approved form.

1.0.13     Time for lodging documents

                If:

                (a)    a document must be lodged; and

               (b)    the period within which the document must be lodged is not prescribed;

the document must be lodged:

                (c)    if paragraph (d) does not apply — within one month; or

               (d)    if the document is to be lodged by a foreign company
and ASIC allows a further period because of special circumstances — that further period;

after the happening of the event to which the document relates.

1.0.14     Address of registered office or place of business

                If notice must be given under these Regulations of:

                (a)    the address of an office or a proposed office; or

               (b)    the address of a place of business;

of a corporation or a person, the notice must include:

                (c)    if applicable, the number of the room in which; and

               (d)    if applicable, the number of the floor or level on which; and

                (e)    the place in Australia in which;

the office or place of business is, or is to be, situated.

1.0.15     Affidavits and statements in writing

         (1)   An affidavit or statement in writing must be sworn or made, on behalf of a corporation, by a director or a secretary of the corporation.

         (2)   If an affidavit is sworn outside Australia, the affidavit is sufficient if it appears to be sworn in accordance with the requirements of the law of that place.

1.0.16     Certification and verification of certain documents

                A document relating to a corporation or managed investment scheme that is to be certified or verified must be certified or verified in the approved form and signed by:

                (a)    a director or secretary of the corporation, or of the responsible entity of the scheme, who resides in Australia or an external territory; or

               (b)    an agent of the corporation or entity or, if the agent is a company, a director or secretary of the company who resides in Australia or an external territory.

1.0.17     Documents signed or sworn in accordance with the rules

         (1)   A document that is signed in accordance with the rules is taken to have been signed in accordance with regulation 1.0.11.

         (2)   An affidavit or statement that is sworn or made in accordance with the rules is taken to have been sworn or made in accordance with regulation 1.0.15.

1.0.18     Prescribed provisions (Act s 53)

                For section 53 of the Act, the following provisions of the Act are prescribed:

                (a)    section 657A;

               (b)    paragraphs 12 (2) (b) and (c) of the Act.

1.0.20     Copies of orders to be lodged

                A person who obtains an order of the Court under or for:

                (c)    subsection 266 (4); or

               (d)    section 274; or

                (e)    subsection 484 (1); or

              (ea)    paragraph 484 (2) (c); or

                (f)    section 583; or

               (g)    section 585; or

               (h)    section 601ND; or

                (j)    section 1322;

of the Act, must lodge an office copy of the order with ASIC.

1.0.21     Identification of lodged orders

                If an order or copy of an order of a court is lodged with ASIC, it must be accompanied by a cover page in Form 105 identifying the legislative provision or other law under which the order was made and the nature of the order.

1.0.22     Territorial application of Act

                For subsection 5 (9) of the Act, each of the external Territories is included in this jurisdiction for the purposes of Chapter 7 of the Act (other than Parts 7.2 to 7.5 and Part 7.11) in relation to:

                (a)    a superannuation product within the meaning of section 761A of the Act; and

               (b)    an RSA product within the meaning of section 761A of the Act; and

                (c)    a financial service that relates to a superannuation product within the meaning of section 761A of the Act; and

               (d)    a financial service that relates to an RSA product within the meaning of section 761A of the Act.


 

Part 1.1              Prescribed amounts

  

1.1.01     Prescribed amounts

                The amount specified in an item in column 3 of Schedule 4 is prescribed in relation to the matter specified in the item in column 2.


 

Part 1.2              Interpretation

Division 1              General

1.2.01     Remuneration recommendations (Act s 9B)

                For paragraph 9B (2) (f) of the Act, a recommendation, or advice or information, provided in relation to one or more members of the key management personnel for a company by an employee of a company within the same consolidated entity, is not a remuneration recommendation.

Part 1.2A            Disclosing entities

  

1.2A.01  Securities declared not to be ED securities

                For section 111AJ of the Act, the following securities are declared not to be ED securities:

                (a)    securities of a body that, under the listing rules of the Australian Stock Exchange Limited, is an exempt foreign entity; or

               (b)    securities that are quoted on Australian Bloodstock Exchange Limited.

1.2A.02  Foreign companies issuing securities under foreign scrip offers etc exempt from disclosing entity provisions

         (1)   For section 111AS of the Act, a foreign company is exempt from the disclosing entity provisions in respect of ED securities under section 111AG of the Act if:

                (a)    the company issues the securities in connection with a foreign takeover bid or foreign scheme of arrangement; and

               (b)    the securities issued are, at the time of issue, securities in a class of securities quoted on an approved foreign exchange; and

                (c)    the terms and conditions of the issue to citizens and Australian permanent residents are the same as those applying to each other person receiving securities that are in the same class; and

               (d)    the same notices, documents or other information
(or, where applicable, an English translation of these) (modified, if necessary, to include any additional information for the purposes of complying with Chapter 6D of the Act) are given to Australian citizens or permanent residents as are given to each other person; and

                (e)    the notices, documents and other information are given to Australian citizens and permanent residents at the same time, or as soon as practicable after, they are given to those other persons; and

                (f)    in relation to the issue — the company complies with all legislative and stock exchange requirements in the place in which is located:

                          (i)    the approved foreign exchange; or

                         (ii)    if more than one — the principal approved exchange;

                        on which the company’s securities are quoted.

         (2)   In this regulation:

approved foreign exchange includes:

                (a)    American Stock Exchange Inc.;

               (b)    New York Stock Exchange Inc.;

                (c)    New Zealand Stock Exchange;

               (d)    The Stock Exchange of Hong Kong Ltd;

                (e)    Stock Exchange of Singapore Limited;

                (f)    The Amsterdam Stock Exchange;

               (g)    the Frankfurt Stock Exchange;

               (h)    The International Stock Exchange of the United Kingdom and the Republic of Ireland Limited;

                (i)    the Milan Stock