Corporations Regulations 2001

CHAPTER 2N - UPDATING ASIC INFORMATION ABOUT COMPANIES AND REGISTERED SCHEMES  

PART 2N.4 - RETURN OF PARTICULARS  

REGULATION 2N.4.01   PARTICULARS ASIC MAY REQUIRE IN A RETURN OF PARTICULARS (ACT s 348B)  

Particulars for a company

2N.4.01(1)    

For the purposes of section 348B of the Act, the following particulars are prescribed for a company (other than a CCIV):

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

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

Particulars for a CCIV

2N.4.01(1A)    

For the purposes of section 348B of the Act, the following particulars are prescribed for a CCIV:

(a)    for the corporate director of the CCIV:

(i) the name of the corporate director; and

(ii) the address of the corporate director; and

(iii) the date of appointment or cessation of the corporate director; and

(iv) the date of change of name or change of address of the corporate director; and

(v) evidence that a specified person is (or is not) the corporate director;

(b)    the date on which a new member ' s name was entered in the register of members kept by the CCIV;

(c)    for each sub-fund of the CCIV:

(i) the date of issue, cancellation, or transfer of shares referable to the sub-fund; and

(ii) the classes of shares referable to the sub-fund; and

(iii) for each of those classes - the total number and value of shares referable to the sub-fund in the class; and

(iv) for each of those classes - the total amount paid up for shares referable to the sub-fund in the class; and

(v) for each of those classes - the total amount unpaid for shares referable to the sub-fund in the class;

(d)    for each sub-fund of the CCIV - a statement that the sub-fund is listed (or not listed) and, if the sub-fund is listed, the name of the prescribed financial market for which the sub-fund or the CCIV is included in the official list;

(e)    for each financial year specified in the return of particulars for each sub-fund of a retail CCIV - the name of each auditor of a financial report for the sub-fund for that year;

(f)    for a retail CCIV - the name of the auditor of the compliance plan for the retail CCIV;

(g)    if a sub-fund of the CCIV is an Australian passport fund - the name of the implementation reviewer for the Australian passport fund for each review period for the Australian passport fund specified in the return of particulars.

Particulars for a registered scheme

2N.4.01(2)    
For the purposes of section 348B of the Act, the following particulars are prescribed for a registered scheme:

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

(b)    the new name of the responsible entity of the scheme;

(c)    information that the scheme is required to provide under subsection 319(1) of the Act;

(d)    for each financial year for the scheme specified in the return of particulars - the name of each auditor of a financial report for the scheme for that year;

(e)    the name of the auditor of the compliance plan for the scheme;

(f)    if the scheme is an Australian passport fund - the name of the implementation reviewer for the fund for each review period for the fund specified in the return of particulars.

Particulars for a notified foreign passport fund

2N.4.01(3)    
For the purposes of section 348B of the Act, the following particulars are prescribed for a notified foreign passport fund:

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

(b)    the new name of the operator of the fund;

(c)    information that the fund is required to provide under subsection 319(1AA) of the Act;

(d)    for each financial year for the fund specified in the return of particulars - the name of each auditor of a report for the fund for that year that is prepared in accordance with the financial reporting requirements applying to the fund under the Passport Rules for the home economy for the fund;

(e)    the name of the implementation reviewer for the fund for each review period for the fund specified in the return of particulars.

Definitions

2N.4.01(4)    
In this regulation:

implementation reviewer
, for a passport fund, has the same meaning as in the Passport Rules for this jurisdiction.

review period
, for a passport fund, has the meaning given by subsection 15(1) of the Passport Rules for this jurisdiction.