Corporations Amendment Regulations 2003 (No. 6) (194 of 2003)

Schedule 1   Amendments

[2]   After Chapter 2M

insert

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)

(1) For section 346B of the Act, the following particulars are prescribed for a company:

(a) ACN;

(b) name;

(c) address of registered office;

(d) address of principal place of business in this jurisdiction;

(e) for each director and company secretary:

(i) the person's name; and

(ii) the person's usual residential address, or, if the person is entitled to have an alternative address under subsection 205D (2) of the Act, that alternative address; and

(iii) the person's date and place of birth;

(f) the date of appointment or cessation of each director, secretary or alternate director;

(g) for issued shares:

(i) the classes into which the shares are divided; and

(ii) for each class of share issued:

(A) the number of shares in the class; and

(B) the total amount paid up for the class; and

(C) the total amount unpaid for the class;

(h) the names and addresses of:

(i) if the company has 20 or fewer members - all members; or

(ii) if the company has more than 20 members - the top 20 members in each class;

(i) if the company has a share capital:

(i) the total number of shares in each class held by each of the members mentioned in paragraph (h); and

(ii) whether or not the shares are fully paid; and

(iii) unless the company is a listed corporation - whether or not the shares are beneficially owned;

(j) for the ultimate holding company:

(i) its name; and

(ii) either:

(A) its ACN or ARBN if registered in this jurisdiction; or

(B) the place at which it was incorporated or formed if not registered in this jurisdiction.

(2) For section 346B of the Act, the following particulars are prescribed for a registered scheme:

(a) registration number;

(b) name;

(c) name and ACN of the responsible entity;

(d) if the scheme is a managed investment scheme that is a unit trust:

(i) issued interests in the scheme; and

(ii) the classes into which the interests are divided; and

(iii) for each class of interest issued:

(A) the number of interests in the class; and

(B) the total amount paid up for the class; and

(C) the total amount unpaid for the class;

(e) if the scheme is a managed investment scheme that is not a unit trust:

(i) issued interests in the scheme; and

(ii) a description of the nature of the interests (for example, interest in a limited partnership, right to participate in a timesharing scheme); and

(iii) the number of the interests; and

(iv) the total amount paid for the interests; and

(v) the total amount unpaid for the interests;

(f) the names and addresses of:

(i) if the scheme has 20 or fewer interest holders - all interest holders; or

(ii) if the scheme has more than 20 interest holders - the top 20 interest holders in each class;

(g) for each interest holder mentioned in paragraph (f):

(i) the total number of interests in each class held; and

(ii) whether or not the interests are fully paid.

Note Under section 346B of the Act, ASIC may require a company or responsible entity to provide a prescribed particular in response to an extract of particulars given by ASIC under section 346A.

Part 2N.4 Return of particulars

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

For section 348B of the Act, the following particulars are prescribed:

(a) the personal details of a director, secretary or alternate director mentioned in subsection 205B (3) of the Act;

(b) the date of appointment or cessation of a director, secretary or alternate director;

(c) the date of change of name or change of address of a director, secretary or alternate director;

(d) evidence that a specified person is (or is not) a director, secretary or alternate director;

(e) completion of a declaration indicating that the company is a special purpose company within the meaning of regulation 3 of the Corporations (Review Fees) Regulations 2003;

(f) the name of the ultimate holding company;

(g) the date on which a company became, or ceased to be, the ultimate holding company;

(h) the previous name, or the new name, of the ultimate holding company;

(i) the date of issue, cancellation, or transfer of shares;

(j) the date of any change to amounts paid on shares;

(k) a statement of whether or not shares for one or more members are beneficially owned;

(l) the date of any change to beneficial ownership of shares;

(m) any of the following information from the share structure table for a class of share:

(i) the share class code;

(ii) the full title of the class of share;

(iii) the total number of shares in the class that have been issued;

(iv) the total amount paid for shares in the class;

(v) the total amount unpaid for shares in the class;

(n) the date on which a new member's name was entered in the register of members;

(o) a statement that the company is:

(i) a small proprietary company mentioned in subsection 45A (2) of the Act; or

(ii) a large proprietary company mentioned in subsection 45A (3) of the Act; or

(iii) a foreign controlled small proprietary company mentioned in paragraph 292 (2) (b) of the Act;

(p) a statement that the company is listed (or not listed) on a financial market, and the name of the financial market (if any);

(q) the new name of the responsible entity in relation to a managed investment scheme;

(r) a statement of whether the company or registered scheme complies with subsection 348C (2) or (3) of the Act;

(s) information that a company is required to provide under subsection 142 (2), 146 (1), 205B (1) or (4), 254X (1) or 319 (1) of the Act.

Note 1 Under section 348B of the Act, ASIC may require a company or responsible entity to provide a prescribed particular in response to a return of particulars given by ASIC under section 348A.

Note 2 A member , for a managed investment scheme, includes an interest holder or unit holder - see section 9 of the Act.