Corporations Regulations 2001

SCHEDULE 2 - FORMS  

(regulations 1.0.02 and 1.0.03 )

Form 509A

Form 509B

Form 509C

Form 509D

Form 509E

Form 509F - 509G

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 the statutory period 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 the statutory period 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 (indicate if it is a judgment debt, giving the name of the court and the date of the order)	Amount of the debt
		*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 theFor 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. The statutory minimum is $2,000 or a greater amount prescribed by the regulations. From 1 July 2021, a greater amount of $4,000 is prescribed. However, for a 7-month period in 2021, a greater amount of $20,000 is prescribed in relation to a company that is eligible for temporary restructuring relief (see the Corporations Amendment (Corporate Insolvency Reforms) Regulations 2020 ).

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 of court.

4. A person may make a demand relating to a debt that is owed to the person as assignee.

5. The statutory period is 21 days or a longer period prescribed by the regulations. For a 7-month period in 2021, a longer period of 6 months is prescribed in relation to a company that is eligible for temporary restructuring relief (see the Corporations Amendment (Corporate Insolvency Reforms) Regulations 2020 ).

*Omit if inapplicable

Form 519

Form 520

Form 521

Forms 522 - 524

Form 5249

Form 525

Form 527

Form 529

Forms 529A - 532

Forms 533 - 534

Form 535

Form 536

Form 537

Form 538

Form 539

Form 540

Form 541

Form 542

Form 543

Form 544

Forms 545 - 546

Form 547

f175_90_14543826
            

Form 548

Form 549

Form 550

Form 551

Form 552

Form 553

]

Form 586

(subparagraph 206F(1)(b)(i))

Form 701

Corporations2001Vol5_Page_2
            

Form 587

(subsection 206F(3) )

Form 588

(subparagraph 206GAA(1)(b)(i))

Form 589

(subsection 206GAA(6) )

Form 6010

Form 603

Form 604

Form 605

Forms 702 - 718

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

Forms 802 - 902

Form 903A - 904

Form 905

Forms 905A - 908

Form 909

Form 910

(Repealed by FRLI No F2019L00392, Sch 1 [ 40] (effective 26 March 2019).)

Form 911