CORPORATIONS REGULATIONS 2001 2001 NO. 193

Commonwealth Numbered Regulations

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CORPORATIONS REGULATIONS 2001 2001 NO. 193 - SCHEDULE 2

Forms

Form 314

Paragraph 324(2)(e)
Corporations Act 2001

RETURN OF MEMBERS OF FIRM OF AUDITORS
Name of firm:
Address of firm ¹:
The full names and addresses of all of the members of the firm are:

Surname

First or given names

Residential address

Dated
Signature ²
1. Give the address of each place of business of the firm. If there is more than one place of business, indicate the principal place of business.
2. To be signed by one of the members of the firm.

DIRECTION
Requirements relating to annexures are set out in regulation 1.0.06.
NOTE The completion of this form does not relieve members of the firm from any obligation under the law relating to business names.

Form 501

Subsection 414(2)
Australian Company Number:
Corporations Act 2001
NOTICE TO DISSENTING SHAREHOLDER
( Note that in this form "dissenting shareholder" means a shareholder who has not assented to the scheme or contract mentioned in paragraph B, or who has failed or refused to transfer his or her shares to the transferee in accordance with that scheme or contract)
1. To
of
A. (insert name of person giving notice, in this form called "the transferee") The transferee on ( insert date) made an offer to the holders of *shares in Limited/ *shares included in class of shares in Limited for the transfer of those shares to the transferee, not being an offer made under a scheme or contract arising out of the making of takeover offers or a takeover announcement under the law relating to the acquisition of shares; and
B. the scheme or contract involving the transfer of those shares to the transferee was on or before (insert date) approved by the holders of not less than nine-tenths in nominal value of the shares *in that company/*included in that class of shares, other than shares already held at the date of the offer by, or by a nominee for, the transferee (or, if the transferee is a company, its subsidiary); and
C. you are a dissenting shareholder of shares *in the company/*included in that class of shares.
2. The transferee gives you notice under subsection 414(2) that the transferee desires to acquire those shares held by you.
3. You are entitled under subsection 414(7) to require the transferee, by a demand in writing served on the transferee within one month after the date on which this notice is given, to furnish to you a statement in writing of the names and addresses of all other dissenting shareholders shown in the register of members.
*4. You are entitled not later than the expiration of one month after the date on which this notice is given or 14 days after the date on which a statement is supplied to you under subsection 414(7), whichever is the later, to elect, by notice to the transferee, which of the alternative terms offered to the approving shareholders under the scheme or contract you prefer. The alternative terms are as follows:
5. Unless, on application made by you within one month after the date on which this notice is given or within 14 days after a statement is supplied to you under subsection 414(7), the Federal Court of Australia or the Supreme Court of ( State or Territory) orders otherwise, the transferee will be entitled and bound subject to subsection 414(7) to acquire your shares:
(a) on the terms on which under the scheme or contract the shares of the approving shareholders are to be transferred to the transferee; or
(b) if alternative terms were offered - on the terms for which you have elected; or
(c) if you have not so elected - on whichever of those terms the transferee determines unless the Court otherwise orders.
Dated
(signature of transferee)
*Omit if not applicable
DIRECTION
Requirements relating to annexures are set out in regulation 1.0.06.
Form 502
Subsection 414(9)(a)
Australian Company Number:
Corporations Act 2001
NOTICE TO REMAINING SHAREHOLDER
1. To
of
A. ( insert name of person giving notice, in this form called "the transferee") The transferee in ( insert date) made offers to the holders of shares *in Limited/*included in class of shares in Limited for the transfer of those shares to the transferee, not being offers made under a scheme or contract arising out of the making of takeover offers or a takeover announcement under the law relating to the acquisition of shares; and
B. under the scheme or contract the transferee became an ( insert date) beneficially entitled to shares in that company which together with any other shares in that company to which the transferee, or the transferee and any corporation related to the transferee, is beneficially entitled, comprise or include nine-tenths in nominal value of the shares *in Limited/*included in that class of shares in Limited; and
C. you are the holder of remaining shares *in that company/*included in that class of shares in that company and have not assented to the scheme or contract or been given notice in respect of those shares by the transferee under subsection 414(2).
2. The transferee gives you notice under subsection 414(9) that under that scheme or contract the transferee on ( insert date) become beneficially entitled to shares in Limited and those shares together with any other shares in that company to which the transferee, or the transferee and any corporation related to the transferee, is beneficially entitled, comprise or included nine-tenths in nominal value of the shares (in that company/*included in that class of shares in that company.
3. You are entitled under subsection 414(9) within 3 months after the date on which this notice is given by notice to the transferee to require the transferee to acquire your shares.
*3. You are entitled under subsection 414 (9) within 3 months after the date on which this notice is given to elect by notice to the transferee which of the alternative terms offered to the approving shareholders under the scheme or contract you will accept. The alternative terms are as follows:
4. If you require the transferee to acquire the shares held by you the transferee will be entitled and bound to acquire those shares:
(a) on the terms that under the scheme or contract were offered to the approving shareholders; or
(b) if alternative terms were offered—on the terms for which you have elected;
(c) if you do not so elect
(i) on whichever of the terms the transferee determines or
(ii) on such other terms as are agreed or as the Federal Court of Australia or the Supreme Court of´ on the application of the transferee or of yourself orders.
Dated
(signature of transferee)
*Omit if not applicable
DIRECTION
Requirements relating to annexures are set out in regulation 1.0.06.
Form 503
Subsection 419A(3)
Corporations Act 2001

NOTICE OF CONTROLLER'S INTENTIN NOT TO EXERCISE PROPERTY RIGHTS

To: ( name ), of ( address ), the *owner/*lessor of property ("the specified property") being:
(name and description of property including, if appropriate, relevant reference numbers and account numbers identifying contracts such a s leasing arrangements in relation to that property)
I ( name), of ( address) , the controller of property of ( name of corporation) ("the corporation") give you notice that I do not propose to exercise rights in relation to the specified property as controller of the specified property, whether on behalf of the corporation or anyone else.
Dated

(Controller's signature)
*Delete if not applicable
NOTES:
1. Under subsection 419A(4) the controller is not liable for rent or other amounts by the corporation in relation to the specified property while this notice in force, but the notice does not affect a liability of the corporation.
2 Under subsection 419A(5), this notice ceases to have effect if the controller:
(a) revokes the notice, by writing to the owner/lessor; or
(b) exercises or purports to exercise a right in relation to the specified property the controller.

Form 507A
Subsections 430(1), 475(1) and (2)
Australian Company Number:
Corporations Act 2001
STATEMENT VERIFYING REPORT
I (insert name) of state:
1. I am *(insert description sufficient to show that the person making the statement is a person referred to in subsection 430(1), 475(1) or (2)) of Limited;
2. The particulars contained in the report as to affairs relating to Limited dated in the annexure marked "A" and signed by me are true to the best of my knowledge and belief.
Dated
(signature)
DIRECTION
Requirements relating to annexures are set out in regulation 1.0.06.

Form 509A
Subsection 438C(3)
A.C.N. or A.R.B.N.
Corporations Act 2001
NOTICE TO DELIVER BOOKS OF COMPANY TO THE ADMINISTRATOR
Limited (administrator appointed)
To: (name) of (address)
1. I ( name), of ( address), the administrator of the company, give you notice under subsection 438C(3) that I require you to deliver to me, at the above address, within ( insert number being not less than 3) business days of the date of this notice, the books specified in the Schedule, being books of the company, that are in your possession.
2. Note that under subsection 438C(5), you must comply with this notice except so far as you are entitled as against the company and the administrator, to retain possession of the books.
SCHEDULE
(insert specified books)
Dated
(administrator's signature)
Form 509B
Subsection 443B(3)
Corporations Act 2001
NOTICE OF ADMINISTRATOR'S INTENTION NOT TO EXERCISE PROPERTY RIGHTS
Limited (administrator appointed)
To: ( name), of ( address), the *owner/*lessor of property ("the specified property") being:
( name and description of property, including, if appropriate, relevant reference numbers and account numbers identifying contracts such as leasing arrangements in relation to that property)
I ( name), of ( address), the administrator of ( name of company) ("the company") give you notice that I do not propose to exercise rights in relation to the specified property.
Dated
(administrator's signature)
*Delete if not applicable
NOTES
1. Under subsection 443B(4), the administrator is not liable for rent or other amounts payable by the company in relation to the specified property while this notice is in force, but the notice does not affect a liability of the company.
2. Under subsection 443B(5), this notice ceases to have effect if:
(a) the administrator revokes the notice, by writing to the owner/lessor; or
(b) the company exercises or purports to exercise a right in relation to the specified property.
Form 509C
Paragraph 445F(2)(a)
A.C.N. or A.R.B.N.
Corporations Act 2001
NOTICE OF MEETING OF CREDITORS TO VARY OR TERMINATE DEED OF COMPANY ARRANGEMENT
Limited (subject to deed of company arrangement)
1. Notice is given that a meeting of the creditors of the company will be held at ( insert address and place of meeting ) on ( insert date ) at ( insert time ) *a.m./*p.m.
2. The purpose of the meeting is to consider and vote on the following resolutions:
( Set out each resolution under section 445A or paragraph 445C(b) that the administrator of the deed of company arrangement proposes to be voted on at the meeting or, as the case may be, that creditors, in a request made under paragraph 445F(1)(b), have proposed to be voted on at the meeting. )
Dated
(signature of administrator)
*Delete if not applicable

Form 509E
Paragraph 450B(a)
Corporations Act 2001
NOTICE TO CREDITORS OF EXECUTION OF A DEED OF COMPANY ARRANGEMENT
Limited (subject to deed of company arrangement)
*To ( name) of (address)
*To creditors of the company
1. Notice is given under section 450B that the company executed a deed of arrangement on (insert date) .
2. A copy of the deed may be inspected at ( insert address).
Dated
(Signature of administrator of the
deed of company arrangement)
*Delete if not applicable

Form 509H
Paragraph 459E(2)(e)
Corporations Act 2001
CREDITOR'S STATUTORY DEMAND FOR PAYMENT OF DEBT
To ( name and A.C.N. or A.R.B.N. of debtor company) of (address of the company's registered office)
1. The company owes ( name) of ( address) ( "the creditor")
*the amount of $( insert amount), being the amount of the debt described in the Schedule.
*the amount of $( insert total amount), being the total of the amounts of the debts described in the Schedule.
*2. The amount is due and payable by the company.
*2. Attached is the affidavit of ( insert name of deponent of the affidavit) , dated ( insert date of affidavit), verifying that the amount is due and payable by the company
3. The creditor requires the company, within 21 days after service on the company of this demand:
(a) to pay to the creditor the *amount of the debt/*total of the amounts of the debts; or
(b) to secure or compound for the *amount of the debt/*total of the amounts of the debts, to the creditor's reasonable satisfaction.
4. The creditor may rely on a failure to comply with this demand within the period for compliance set out in subsection 459F(2) as grounds for an application to a court having jurisdiction under the Corporations Act 2001 for the winding up of the company.
5. Section 459G of the Corporations Act 2001 provides that a company served with a demand may apply to a court having jurisdiction under the Corporations Law for an order setting the demand aside. An application must be made within 21 days after the demand is served and, within the same period:
(a) an affidavit supporting the application must be filed with the court; and
(b) a copy of the application and a copy of the affidavit must be served on the person who served the demand.
6. The address of the creditor for service of copies of any application and affidavit is (insert the address for service of the documents in the State or Territory in which the demand is served on the company, being, if solicitors are acting for the creditor, the address of the solicitors).
SCHEDULE
Description of the debt Amount of the debt
(indicate if it is a judgment debt,
giving the name of the court
and the date of the order)

*Total Amount

Dated:
signed:
Print name: capacity:
Corporation or partnership name (if applicable):
NOTES:
1. The form must be signed by the creditor or the creditor's solicitor. It may be signed on behalf of a partnership by a partner, and on behalf of a corporation by a director or by the secretary or an executive officer of the corporation.
2. The amount of the debt or, if there is more than one debt, the total of the amounts of the debts, must exceed the statutory minimum of $2,000.
3. Unless the debt, or each of the debts, is a judgment debt, the demand must be accompanied by an affidavit that:
(a) verifies that the debt, or the total of the amounts of the debts, is due and payable by the company; and
(b) complies with the rules.
4. A person may make a demand relating to a debt that is owed to the person as assignee.
*Delete if not applicable

Form 521
Subsection 496(2)
Subregulation 5.6.12(6)
Corporations Act 2001

NOTICE OF MEETING OF CREDITORS UNDER SECTION 496
Limited
I, ( insert name) of insert address) give notice that, under subsection 496(1), a meeting of the creditors of the company will be held at ( insert place of meeting) on ( insert date of meeting) at *a.m./p.m.
The winding up of the company commenced on and I was appointed liquidator by resolution of the members of the company. As the directors declared that the company would be able to pay its debts in full within a period not exceeding 12 months after the commencement of the winding up, the liquidation is proceeding as a members' voluntary winding up.
A list of creditors prepared in accordance with subsection 496(2) is annexed.
I have formed the opinion that the company will not be able to pay or provide for the payment of its debts in full within that period and this meeting is summoned in order that the creditors may, if they so wish, exercise their right under subsection 496(5) to appoint some person other than myself to be the liquidate of the company for the purpose of winding up the affairs and distributing the property of the company.
A statement of the assets and liabilities of the company will be laid before the meeting.
Dated
(signature of liquidator)
*Omit if not applicable
DIRECTION
Requirements relating to annexures are set out in regulation 1.0.06.

Form 525
Subsection 568A(1)
Corporations Act 2001
NOTICE OF DISCLAIMER OF ONEROUS PROPERTY
Limited (in liquidation)
To
1. I ( insert name ), of ( insert address ), the liquidator of the company, for the purposes of paragraph 568A(1)*(a)*(b)*(c)*(d) give notice that I disclaim the property described in the Schedule.
2. The property is property of the company and consists of *land burdened with onerous covenants *shares *property that is unsaleable or is not readily saleable *property that may give rise to a liability to pay money or some other onerous obligation *property where it is reasonable to expect that the costs, charges and expenses that would be incurred in realising the property would exceed the proceeds of realising the property *a contract.
*2. The Court granted leave to disclaim the property on ( insert date ).
SCHEDULE
( Here set out a description of the disclaimed property )
Dated
( signature of liquidator)
*Delete if not applicable
NOTES:
1. A person claiming an interest in the disclaimed property may apply to the Court, within the time permitted by subsection 568B(1), for the disclaimer to be set aside.
2. A disclaimer, as from the day on which it takes effect under subsection 568C(3), is taken to have terminated the company's rights, interests, liabilities and property in or in respect of the disclaimed property, but does not affect any other person's rights or liabilities except in so far as is necessary in order to release the company and its property from liability.
Form 527
Paragraph 568(8)(a)
Australian Company Number:
Corporations Act 2001
APPLICATION REQUIRING LIQUIDATOR TO DECIDE WHETHER TO DISCLAIM PROPERTY
Limited
To ( insert name ), the liquidator of the company.
Under paragraph 568(8)(a), application is made to you by ( full name, address and occupation of applicant ) requiring you to decide whether you will disclaim the property described in the Schedule to this notice or not.
The applicant has the following interest in the property:
SCHEDULE
Dated
( signature of applicant)

Form 529A
Subregulation 5.6.12(6)
Corporations Act 2001
NOTICE OF FIRST MEETING OF CREDITORS OF COMPANY UNDER ADMINISTRATION
Limited (administrator appointed)
1. On ( insert date )
*the company under section 436A
*The liquidator/provisional liquidator of the company under section 436B
*a chargee of property of the company under section 436C
appointed ( insert name ) of ( insert address ) as the administrator of the company.
2. Notice is now given that a meeting of the creditors of the company will be held at ( insert address and place of meeting ) on ( insert date ) at ( insert time ) *a.m./*p.m.
3. The purpose of the meeting is to determine:
(a) whether to appoint a committee of creditors; and
(b) if so, who are to be the committee's members.
4. At the meeting, creditors may also, by resolution:
(a) remove the administrator from office; and
(b) appoint someone else as administrator of the company.
*5. Details of the instrument under the terms of which the administrator was appointed are:
(a) date of the instrument: ( insert date )
(b) nature of instrument: ( insert type of instrument, eg mortgage )
(c) place of registration: ( insert, if applicable )
(d) registered charge number: ( insert, if applicable )
Dated
( administrator's signature )
*Delete if not applicable
Form 529B
Subsection 449C(5)
Corporations Act 2001
NOTICE OF FIRST MEETING OF CREDITORS TO RATIFY APPOINTMENT OF ADMINISTRATOR
Limited (administrator appointed)
1. On (insert date)
*the company under section 449C(1) and subparagraph 449C(2)(b)(i),
*the liquidator/provisional liquidator of the company under section 449C(2)(b)(ii),
*a chargee of property of the company, under subsection 449C(1) and subparagraph 449C(2)(b)(iii),
appointed (insert name) of (insert address) as the administrator of the company in place of the previous administrator of the company.
2. The new administrator was appointed because the previous administrator (here set out the applicable circumstances under paragraph 449C(1)(a), (b) or (c), as the case may be).
3. Notice is now given that a meeting of the creditors of the company will be held at (insert address and place of meeting) on (insert date) at (insert time) *a.m./*p.m.
4. The purpose of the meeting is:
(a) to determine whether to remove the person appointed from office; and
(b) if so, to appoint someone else as administrator of the company.
*5. Details of the instrument under the terms of which the previous administrator was appointed are:
(a) date of the instrument: ( insert date )
(b) nature of instrument: ( insert type of instrument, eg mortgage )
(c) place of registration: ( insert, if applicable )
(d) registered charge number: ( insert, if applicable )
Dated
( signature of convenor of the meeting)
*Delete if not applicable
Form 530
Regulation 5.6.13
A.C.N. or A.R.B.N.:
Corporations Law
STATEMENT IN WRITING OF POSTING OF NOTICE OF MEETING
Limited
I ( name ) of ( address ) state:
1. on ( date ) a notice of the time and place of the meeting ( insert a description of the meeting ) in the form of the annexure marked "A" ( see note below ) was sent by prepaid post to each person appearing in the books of the company, or otherwise known to *me/*the convener of the meeting, as a creditor/*contributory/ *member/*debenture holder;
*2. the notices were addressed to the creditors according to their names and addresses appearing in the books of the company or to their last known addresses;
*2 the notices were addressed to the contributories according to their names and addresses appearing in the books of the company or to their last known addresses;
*2 the notices were addressed to the debenture holders according to their names and addresses appearing in the books of the company or to their last known addresses;
*3 the persons notified and their addresses specified in the notices sent to them are *set out in the annexed list (see note below) / *identifiable by reference to the books of the company.
Signature
* Omit if inapplicable.
"Note": Requirements relating to annexures are set out in regulation 1.0.06.
Form 531A
Paragraph 5.6.27(2)(a)
Corporations Regulations
A.C.N. or A.R.B.N.:
Corporations Act 2001
LIST OF PERSONS PRESENT AT MEETING OF: *MEMBERS/*CONTRIBUTORIES
Limited
Meeting held at ( place of meeting ) on ( date ).


No.	Name	Represented by	*Number of shares	*Number of votes
		(Signature of person attending )

(NOTE: If a joint meeting of creditors and members is held, both Form 531A and 531B should be completed)
*Delete if not applicable
Form 531B
Paragraph 5.6.27(2)(b)
Corporations Regulations
A.C.N. or A.R.B.N.:
Corporations Act 2001

LIST OF PERSONS PRESENT AT MEETING OF:
*CREDITORS/*DEBENTURE HOLDERS
Limited
Meeting held at ( place of meeting ) on ( date ).


No.	Name	Represented by ( signature of person attending )	Amount of proof lodged or Amount of debentures held	Nature of any security	Value of any security, as estimated by the creditor	**Balance of creditor's debt after deducting the value of the security

(NOTE: If a joint meeting of creditors and members is held, both Form 531A and 531B should be completed)
* Delete if not applicable
**Do not complete in the case of a meeting convened under Part 5.3A of the Corporations Act 2001
Form 531C
Paragraph 5.6.27(2)(c)
Corporations Regulations
A.C.N. or A.R.B.N.
Corporations Act 2001

LIST OF PERSONS PRESENT AT MEETING OF: *COMMITTEE OF INSPECTION/*COMMITTEE OF CREDITORS
Limited
Meeting held at ( place of meeting ) on ( date ).


No.	Name	Represented by ( Signature of person attending )

* Delete if not applicable
Form 532
Regulation 5.6.29
A.C.N. or A.R.B.N.
Corporations Act 2001

APPOINTMENT OF PROXY
*I/*We ( if a firm, strike out "I" and set out the full name of the firm ) of ( address ), a creditor/*contributory/ *debenture holder/*member of Limited, appoint ( name, address and description of the person appointed ) or in his or her absence as *my/*our *general/*special proxy to vote at the *meeting of *creditors/*contributories*debenture holders/*members/*joint meeting of members and creditors to be held on ( date ), or at any adjournment of that meeting ( if a special proxy add the words "to vote for" or the words "to vote against" and specify the particular resolution s).
Dated
Signature
CERTIFICATE OF WITNESS
( This certificate is to be completed only if the person giving the proxy is blind or incapable of writing. The signature of the creditor, contributory, debenture holder or member must not be witnessed by the person nominated as proxy )
I ( name ), of ( address ), certify that the above instrument appointing a proxy was completed by me in the presence of and at the request of the person appointing the proxy and read to him or her before she signed or marked at the instrument.
Dated
Signature of witness
Description
Place of residence
* Omit if inapplicable.
Form 533
Subregulation 5.6.39(3)
A.C.N or A.R.B.N:
Corporations Act 2001
NOTICE INVITING FORMAL PROOF OF DEBT OR CLAIM
Limited
Take notice that creditors of the company, whose debts or claims have not already been admitted, are required on or before ( date ) to prove their debts or claims and of any security held by them to me and, if subsequently required by notice in writing from me, must formally prove their debts or claims and establish any title they may have to priority by statement in writing. If they do not comply with this notice they will be excluded from:
(a) the benefit of any distribution made before their debts or claims are proved or their priority is established; and
(b) objecting to the distribution
Dated
Signature of liquidator
Address
Form 534
Subregulation 5.6.48(3)
A.C.N or A.R.B.N:
Corporations Act 2001
NOTICE INVITING FORMAL PROOF OF DEBT OR CLAIM
Limited
Take notice that creditors of the company, whose debts or claims have not already been admitted, are required on or before ( date ) to prove their debts or claims and to establish any title they may have to priority by delivering or posting to me at my address a formal proof of debt or claim in accordance with Form 535 or 536 containing their respective debts or claims. If they do not they will be excluded from:
(a) the benefit of any distribution made before their debts or claims are proved or their priority is established; and
(b) objecting to the distribution
Form of proof may be obtained from me.
Dated
Signature of liquidator
Address
Form 535
Subregulation 5.6.49(2)
A.C.N or A.R.B.N:
Corporations Act 2001
FORMAL PROOF OF DEBT OR CLAIM (GENERAL FORM)
To the liquidator of Limited
1. This is to state that the company was on (date of court order in winding up by the Court, or date of resolution to wind up, if a voluntary winding up), and still is, justly and truly indebted to (full name and address of the creditor and, if applicable, the creditor's partners. If prepared by an employee or agent of the creditor, also insert a description of the occupation of the creditor) for
dollars and cents
Particulars of the debt are:


Date	Consideration	Amount	Remarks
	( state how the debt arose )		( include details of voucher substantiating payment)

		$ c

2. To my knowledge or belief the creditor has not, nor has any person by the creditor's order, had or received any satisfaction or security for the sum or any part of it except for the following: ( insert particulars of all securities held. If the securities are on the property of the company, assess the value of those securities. If any bills or other negotiable securities are held, show them in a schedule in the following form ).


Date	Drawer	Acceptor	Amount	Due Date


			$ c

*3. I am employed by the creditor and authorised in writing by the creditor to make this statement. I know that the debt was incurred for the consideration stated and that the debt, to the best of my knowledge and belief, remains unpaid and unsatisfied.
*3. I am the creditor's agent authorised in writing to make this statement in writing. I know the debt was incurred for the consideration stated and that the debt, to the best of my knowledge and belief, remains unpaid and unsatisfied.
Dated
Signature
Occupation
Address
*Do not complete if this proof is made by the creditor personally
Form 536
Subregulation 5.6.49(2)
A.C.N. or A.R.B.N:
Corporations Act 2001

FORMAL PROOF OF DEBT OR CLAIM ON BEHALF OF EMPLOYEES
To the liquidator of Limited
I ( full name of person making the statement ) of ( full address ) being ( occupation ) state:
1. the company was, on ( date of court order in winding up, if winding up was by the Court, or date of resolution to wind up if a voluntary winding up ), and still is, indebted to the persons whose names, addresses and descriptions appear in Columns 2, 3 and 4 in the Schedule;
2. the debt is for wages, salaries, annual leave, retrenchment payments or long service leave, due to them for services rendered while employed by the company during the periods set out in Column 5 against the names of the persons;
3. the debt of the company due to each person is for the amount set out in Column 6 against the name of that person;
4. none of those persons has had or received any satisfaction or security in respect of that debt;
5. I am authorised as and the source of my information is as follows:
SCHEDULE

Column 1	Column 2	Column 3	Column 4	Column 5	Column 6
No	Full name	Address of employee	Description	Period for which claim is made ( see note below )	Amount of claim




Dated
Signature

Note: In case of a claim for annual leave or long service leave, insert a description of the claim.
Form 537
Subregulation 5.6.54(1)
A.C.N or A.R.B.N:
Corporations Act 2001

NOTICE OF REJECTION OF FORMAL PROOF OF DEBT OR CLAIM
Limited
To
of
1. Your claim against the company set out in the formal proof of debt or claim of ( name of person submitting original proof of debt or claim) made on (date ) has been *wholly disallowed/*disallowed to the extent of ( particulars of part of claim disallowed )/*allowed in the sum of $ /*allowed to the extent of your claim for ( particulars of part of claim allowed ).
2. My grounds for disallowance of ( particulars of part of claim referred to ) are as follows:
3. If you are dissatisfied with my determination as set out above, you may appeal against it, no later than ( number of days, being not less than 14 ) days after the service of this notice or, if the Court allows, within any further period, to the *Federal Court of Australia/*the Supreme court of ( State or Territory ). If you do not do so, your claim will be assessed in accordance with this determination.
Dated
Signature of liquidator
Address
* Omit if inapplicable
Form 538
Regulation 5.6.58
A.C.N or A.R.B.N:
Corporations Act 2001
PROVISIONAL LIST OF CONTRIBUTORIES
Limited
The following is a provisional list of persons to be placed on the list of contributories that I have made from the records of the company, together with the number of their shares or the extent of their interest, their address and other participants:
PART 1
PERSONS WHO ARE CONTRIBUTORIES IN THEIR OWN RIGHT

Serial No.	Name	Address	Description of class of contributory	Number of shares (or extent of interest)	Amount called up at date of start of winding up	Amount paid up at date of start of winding up	Amount not called up at date of start of winding up

PART 2
CONTRIBUTORIES WHO ARE REPRESENTATIVES OF, OR LIABLE FOR THE DEBTS OF, OTHERS

Serial No.	Name	Address	Description of class of contributory and in what character included	Number of shares (or extent of interest)	Amount called up at date of start of winding up	Amount paid up at date of start of winding up	Amount not called up at date of start of winding up

Dated
Signature of liquidator
Form 539
Subregulation 5.6.59(1)
A.C.N or A.R.B.N:
Corporations Act 2001

NOTICE TO CONTRIBUTORIES OF APPOINTMENT TO SETTLE LIST OF CONTRIBUTORIES
Limited
Take notice that I ( name ) of ( address ), the liquidator of the company, have appointed ( time ) *a.m./*p.m. on ( date ) at ( address of place appointed for settlement ), at which I must settle the list of the contributories of the company that I have made. You are at present included in that list.
Particulars of your inclusion are set out below. Unless, before or at the time appointed for the settlement, you give me sufficient reason for your exclusion, your name will be included in the settled list.
Dated
Signature of liquidator

Serial No.	Name	Address	Description of class of contributory and in what character included	Number of shares (or extent of interest)	Amount called up at date of start of winding up	Amount paid up at date of start of winding up	Amount not called up at date of start of winding up

* Strike out whichever is inapplicable.
NOTES
1. Contributories do not have to attend the appointment referred to in this notice if they are satisfied that the particulars contained in the notice are correct.
2. A shareholder's name cannot be omitted from the list of contributories because he or she is unable to pay calls; this question will be dealt with when application is made for payment of the calls.
3. A change of address may be notified by giving notice to the liquidator by post before the date fixed for the appointment.
Form 540
Subregulation 5.6.59(2)
Corporations Act 2001

STATEMENT IN WRITING OF POSTING OF NOTICES OF APPOINTMENT TO SETTLE LIST OR SUPPLEMENTARY LIST OF CONTRIBUTORIES
Limited
1. On ( date ) a notice of the time and place appointed to settle the *list/*supplementary list of contributories in there form of the annexure marked "A" ( see Note below ) was sent by prepaid post to each person included in the liquidator's *provisional list/*provisional supplementary list of contributories of the company dated (date ).
2. The notices were addressed to the contributories in the *provisional list/*provisional supplementary list according to their names and last known addresses appearing the records of the company.
Signature
Name of person completing the statement
Address
* Strike out whichever is inapplicable.
"Note": Requirements relating to annexures are set out in regulation 1.0.06.
Form 541
Subregulation 5.6.60(2)
A.C.N. or A.R.B.N.:
Corporations Act 2001
CERTIFICATE OF LIQUIDATOR OF FINAL SETTLEMENT OF LIST OF CONTRIBUTORIES
Limited
I ( name ), the liquidator of the company, certify that the result of the settlement of the list of contributories of the company is as follows:
1. The persons named in Column 2 of Schedule 1 have been included in the list of contributories as contributories of the company in respect of the number of shares or extent of interest set out opposite their names. I have listed in Part 1 of Schedule 1, contributories in their own right and, in Part 2 of Schedule 1, contributories who are representatives of, or liable for the debts of, others.
2. The persons named in Column 2 of Schedule 2 were included in the provisional list of contributories, but have been excluded from the settled list of contributories.
3. In Column 6 of Schedule 1 and in Column 6 of Schedule 2, I have set out opposite the name of each person the date when that person was included in or excluded from the list of contributories.
4. In Columns 7 and 8 of Schedule 1, I have set out opposite the name of each person the amount called up at the date of the commencement of the winding up and the amount paid up at that date in respect of the shares, or interest, of that person.
SCHEDULE 1
PERSONS INCLUDED IN THE LIST OF CONTRIBUTORIES
PART 1: CONTRIBUTIONS IN THEIR OWN RIGHT

1	2	3	4	5	6	7	8	9
Serial No.	Name	Address	Description of class of contributory and in what character included	Number of shares (or extent of interest)	Date when included in list	Amount called up at date of start of winding up	Amount paid up at date of start of winding up	Amount not called up at date of start of winding up

PART 2: CONTRIBUTORIES WHO ARE REPRESENTATIVES OF, OR LIABLE FOR THE DEBTS OF, OTHERS

1	2	3	4	5	6	7	8	9
No.	Name	Address	Description of class of contributory and in what character included	Number of shares (or extent of interest)	Date when included in list	Amount called up at date of start of winding up	Amount paid up at date of start of winding up	Amount not called up at date of start of winding up

SCHEDULE 2
PERSONS EXCLUDED FROM THE LIST OF CONTRIBUTORIES

1	2	3	4	5	6
No.	Name	Address	Description of class of contributory and in what character proposed to be included	Number of shares (or extent of interest)	Date when included in list

Dated
Signature of liquidator
Form 542
Subregulation 5.6.61(1)
A.C.N or A.R.B.N.:
Corporations Act 2001

PROVISIONAL SUPPLEMENTARY LIST OF CONTRIBUTORIES
Limited
The following is a list of persons that I have found, since making out the annexed list of contributories dated , to be, or to have been, *holders of shares in/*members of the company, and who to the best of my knowledge and belief are contributories of the company:
(insert list in the same form as the original list: see Form 538)
Dated
Signature of liquidator
*Omit if inapplicable
Form 543
Subregulation 5.6.61(1)
A.C.N. or A.R.B.N.:
Corporations Act 2001
CERTIFICATE OF LIQUIDATOR OF SETTLEMENT OF SUPPLEMENTARY LIST OF CONTRIBUTORIES
Limited
I ( name ), the liquidator of the company, certify that the result of the settlement of the provisional supplementary list of contributories of the company that I made out on ( date ) is as follows:
( set out the Certificate and Schedules as in Form 541 )
Dated
Signature of liquidator
Form 544
Subregulation 5.6.62(4)
A.C.N. or A.R.B.N.:
Corporations Act 2001
NOTICE TO CONTRIBUTORY OF FINAL SETTLEMENT OF LIST OR SUPPLEMENTARY LIST OF CONTRIBUTORIES AND OF INCLUSION IN LIST
Limited
To:
of:
Take notice that I ( name ), the liquidator of the company, on ( date ) settled the list of contributories of the company. You are included in that list. The character, if applicable, in which, and the number of share, or extent of interest, for which, you are included, and the amounts called dup, paid up and unpaid in respect of those shares or that interest are stated in the Schedule.
You may apply to vary the list of contributories, or to remove your name from the list, by making an application to *the Federal Court of Australia/*the Supreme court of ( State or Territory ) within 21 days from the service on you of this notice or, if the Court allows, any further period.
You may inspect the list at my office at ( address ) from Monday to Friday inclusive between the hours of ( insert times making up not less than 3 hours during the normal working day ) and
SCHEDULE

No.	Name	Address	Description of class of contributory and in what character included	Number of shares (or extent of interest)	Amount called up at date of start of winding up	Amount unpaid at date of start of winding up	Amount unpaid at date of start of winding up	Amount not called up at date of start winding up

Dated
Signature of liquidator
* Omit if not applicable
Form 545
Subregulation 5.6.62(5)
Corporations Act 2001

STATEMENT IN WRITING OF GIVING NOTICE TO PERSONS PLACED ON THE LIST OR SUPPLEMENTARY LIST OF CONTRIBUTORIES
Limited
I ( name ), the liquidator of the company, state:
1. I did on ( date ) send by prepaid post to each person named in Schedule 1 to the liquidator's certificate of the final settlement of the *list/*supplementary list of contributories of the company dated a copy of the notice in the form of the annexure marked "A" ( see note below );
2. At the foot of each copy, I inserted the same particulars under the respective headings as are set out in that Schedule;
3. The notices were addressed to the contributories in the *list/*supplementary list according to their names and last know addresses appearing in the records of the company.
Signature
Address
*Omit if inapplicable
"Note": Requirements relating to annexures are set out in regulation 1.0.06.
Form 546
Subregulation 5.6.65(1)
Corporations Act 2001
NOTICE OF INTENTION TO DECLARE A DIVIDEND
Limited
A dividend (state the number of the dividend, e.g. "first", "second ") is to be declared on ( date ) for the company.
Creditors whose debts or claims have not already been admitted are required on or before ( date ) formally to prove their debts or claims. If they do not, they will be excluded from the benefit of the dividend.
Dated
Signature of liquidator
Address
Form 547
Subregulation 5.6.65(1)
Corporations Act 2001
NOTICE TO CREDITOR OR PERSON CLAIMING TO BE A CREDITOR OF INTENTION TO DECLARE A DIVIDEND
Limited
A dividend ( state the number of the dividend, e.g. "first", "second") is to be declared on (date ) for the company.
*You are listed as a creditor in the report on the affairs of the company;
*You are known to me to claim to be a creditor, but your debt or claim has not yet been admitted.
You are required formally to prove your debt or claim on or before ( date ). If you do not, you will be excluded from the benefit of the dividend.
Dated
Signature of liquidator
Address
*Omit if inapplicable.
Form 548
Subregulation 5.6.65(1)
Corporations Act 2001
NOTICE TO CREDITOR OR PERSON CLAIMING TO BE A CREDITOR OF INTENTION TO DECLARE A DIVIDEND
Limited
A final dividend is to be declared on ( date ) for the company.
You are required formally to prove your debt or claim on or before ( date ).
If you do not, I will exclude your claim from participation, and I will proceed to make a final dividend without having regard to it.
Signature of liquidator
Address
Form 549
Subregulation 5.6.67(3)
Corporations Act 2001
NOTICE OF DECLARATION OF DIVIDEND
Limited
(State the number of the dividend, e.g. "First", "Second") dividend.
A dividend at the rate of in the dollar has been declared for the company and a cheque is attached for $ calculated at that rate on your debt as admitted to rank for dividend for $ .
Dated
Signature of liquidator
Address
Form 550
Regulation 5.6.70
Corporations Act 2001
AUTHORITY TO LIQUIDATOR TO PAY DIVIDEND TO A PERSON NAMED
Limited
To the liquidator
*I/*We authorise and request you to pay to ( name ) of ( address ) all dividends as they are declared for the company, and that become due and payable to *me/*us in respect of *my/ *our claim for $ against the company.
*I/*We further request that cheques drawn for those dividends are made payable to the order of ( name ).
This authority remains in force until revoked by *me/*us in writing.
Date
Signature of creditor
Name of creditor
*Omit if inapplicable
Form 551
Subregulation 5.6.71(1)
Corporations Act 2001
(Note: Before completing this schedule please read carefully the
"Direction for completing Form 551" at the end of this form)
SCHEDULE OF CONTRIBUTORIES OR OTHER PERSONS TO WHOM A DISTRIBUTION OF SURPLUS IS TO BE PAID
Limited

Serial No. in settled list	Name of contributory as in settled list	Address	Number of shares held as set out in settled list	Total amount called up	Total amount paid up

SCHEDULE OF CONTRIBUTORIES OR OTHER PERSONS, TO WHOM A DISTRIBUTION OF SURPLUS IS TO BE PAID

Arrears of calls at date of return	Previous distributions of capital appropriated by liquidator for arrears of calls	Amount of distribution payable per share	Net distribution payable	Date and particulars of transfer of interest or other variation in list

Signature of liquidator
Date

DIRECTION FOR COMPLETING FORM 551
If the Articles:
(a) provide that the amount divisible among members or any class of members must be dividable in proportion to the amount paid up or that ought to have been paid up at the date of winding up; or
(b) contain any other provision that requires further information before a distribution can be made;
columns should be added showing the amount called up and the amount paid up a that date in respect of shares then held by those members or that class of members, or any other facts that may be required.
Form 552
Subregulation 5.6.71(2)
Corporations Act 2001
NOTICE OF DISTRIBUTION OF SURPLUS TO CONTRIBUTORIES OR OTHER PERSONS
Limited
A distribution of surplus at the rate of per share has been declared for the company and a cheque is attached for $ calculated at that rate per share on your ( number ) shares.
Dated
Signature of liquidator
Address
Form 553
Regulation 5.6.72
Corporations Act 2001
AUTHORITY TO LIQUIDATOR TO PAY DISTRIBUTION OF SURPLUS TO A PERSON NAMED
Limited
To the Liquidator
*I/*We authorise and request you to pay to ( name ) of ( address ) any distribution of surplus payable to *me/*us for the company.
*I/*We further request that the cheque drawn for that distribution be made payable to the order of ( name ).
This authority remains in force until revoked by *me/*us in writing.
Dated
Signature
Name(s) of person(s) completing this authority
*Omit if inapplicable.

Form 709
Paragraph 857(3)(b)
Corporations Act 2001
RETURN OF MEMBERS OF FIRM OF AUDITORS
Note: Before completing this return please read carefully the "Directions for completing Form 709" at the end of this form, especially clause 3.
1. Name of firm:
2. Particulars of the place of business or the principal place of business of the firm are as follows:

Business address or principal business address (includes State or Territory and postcode):
Telephone No:	Facsimile No:
Telex No:	Document exchange No:
( specify STD codes if appropriate )

3. Addresses of all other places, whether in Australia or elsewhere, at which the firm carries on business are as follows:
4. Specify here the name and residential address of each member of the firm:

Surname:

Other names:

Residential address:

Dated
(signature of one of the members of the firm)
(under the signature add the name of the firm)

DIRECTIONS FOR COMPLETING FORM 709
Obligations under business names law not affected
1. Completion of Form 709 does not relieve the firm of an obligation under the law relating to business names.
Separate annexures to be used if insufficient space on forms
2. If there is insufficient space in a return of the type in Form 709 in which to give the required information, the information is to be shown in a separate annexure. Requirements relating to annexures are set out in regulation 1.0.06.
Penalties relating to false or misleading statements
3. (1)
Subsection 1308(2) provides:
"(2) A person who, in a document required by or for the purposes of this Act or lodged with or submitted to ASIC, makes or authorises the making of a statement that to the person's knowledge is false or misleading in a material particular, or omits or authorises the omission of any matter or thing without which the document is to the person's knowledge misleading in a material respect, is guilty of an offence."
(2) In accordance with sections 1311 and 1312, the penalty applicable on conviction of an offence against subsection 1308(2) is:
(a) if the offender is a natural person - a fine not exceeding 100 penalty units or imprisonment for 2 years, or both; or
(b) if the offender is a body corporate - a fine not exceeding 500 penalty units.
(3) Subsection 1308(4) provides:
"(4) A person who, in a document required by or for the purposes of this Act or lodged:
(a) makes or authorises the making of a statement that is false or misleading in a material particular; or
(b) omits or authorises the omission of any matter or thing without which the document is misleading in a material respect;
without having taken reasonable steps to ensure that the statement was not false or misleading or to ensure that the statement did not omit any matter or thing without which the document would be misleading, as the case may be, is guilty of an offence."
(4) In accordance with sections 1311 and 1312, the penalty applicable on conviction of an offence against subsection 1308(4) is a fine not exceeding:
(a) if the offender is a natural person - 5 penalty units; or
(b) if the offender is a body corporate - 25 penalty units.
Form 710
Subsection 860(2)
Corporations Act 2001
ACCOUNTS PREPARED BY A DEALER WHO IS NOT A BODY CORPORATE
Note: Before completing these accounts please read carefully the "Directions for completing Form 710" at the end of this form.
PRELIMINARY PARTICULARS
1. The surname and other names of the person to whom the accounts relate are as follows:

Surname

Other names

and in this form that person is called "the dealer". (If the dealer held his or her dealers licence under another name, that name should be specified in this item).
*2. If the dealer carries on business under his or her dealer's licence in partnership, specify here the name of the partnership:
3. Specify here the number of the dealer's licence held by the dealer:
4. The accounts relate to the financial year ending on 30/6/ .
*5. If the financial year to which the accounts relate is not a period of 12 months, specify here the date on which the financial year began: / / .
6. In the accounts and any attachments to the accounts, unless the contrary intention appears:
"associated person" means a person who is an associate within the meaning of Division 2 of Part 1.2 of the Act;
"current asset" means an asset expected to be realised within 12 months in the ordinary course of events;
"current liability" means a liability that would, in the ordinary course of events, be payable within 12 months after the end of the financial year to which the accounts relate;
"immediate family", in relation to a person, means the spouse and children of the person;
"last year" means the financial year (if any) immediately preceding this year;
"secured amounts" includes amounts secured by equitable charges and charges whether registered or unregistered;
"this year" means the financial year to which the accounts relate.

PROFIT AND LOSS ACCOUNT FOR THE YEAR ENDED 30 JUNE [YEAR]
Last year This year
$ $
Revenue:
Profits (losses) from trading in securities
Brokerage
Underwriting commission
Profits (losses) from trading other than in securities
Dividends
Interest
Other revenue ( specify particulars here )
Total Revenue
Expenses
Bad debts written off
Amounts provided for doubtful debts
Interest
Salaries (including all bonuses but excluding partners'
salaries)
Other expenses ( specify particulars here )
Total Expenses
Operating Profit before Income Tax
Less
*Income tax expense/*provision for income tax
Operating profit
Extraordinary items (net of Income Tax where applicable)
( attach list detailing gains and losses separately and any income tax involvements )
Operating Profit and Extraordinary Items for the year
BALANCE SHEET AS AT 30 JUNE [YEAR]
Notes Last year This year

$ $
Proprietor's funds represented by:
Current Assets:
Govt and semi-Govt securities (market value this year
$ , last year $ )
Certificates of deposit at a bank
Securities quoted on a securities exchange 2
(market value this year $ , last year $ )
Bills of Exchange 3
Amount owed by: 4
Dealers (after providing for doubtful debts this
year $ , last year $ )
Clients (after providing for doubtful debts this year
$ , last year $ )
Partners' immediate families, family bodies
corporate and trusts (after providing for
doubtful debts this year $ , last year
$ )
BALANCE SHEET AS AT 30 JUNE [YEAR]
Notes Last year This year

$ $
Employees, employees' immediate families, family
bodies corporate and trusts (after providing for
doubtful debts this year $ , last year $ )
Other associated persons (after providing for
doubtful debts this year $ , last year $
Loans and deposits 5
Cash at bank and in hand (excluding amounts held in trust)
Sundry debtors (after providing for doubtful debts)
Other current assets
(s pecify particulars here )
Total Current Assets
Current liabilities:
Bank overdraft and other bank facilities 6
Bills of exchange 3
Amount owed to: 4
Dealers
Clients (excluding amount held in trust)
Partners' immediate families, family bodies
corporate and trusts
Employees, employees' immediate families,
family bodies corporate and trusts
Other associated persons
Loans and deposits 5
Sundry creditors
Sundry provisions 7
Other current liabilities 6
( specify particulars here)
Total Current Liabilities
Net Current Assets
Non-Current Assets
Investments: 2
Securities quoted on a securities exchange
(market value this year $ , last year
$ - at cost)
Securities not quoted on a securities exchange -
at cost
Furniture, fittings, equipment, motor vehicles
etc - at cost less provision for depreciation
(provision for depreciation this year $ ,
last year $ )
Freehold property - at cost less provision for
depreciation (provision for depreciation this
year $ , last year $ )
Amounts owed by:
Partners' immediate families, family bodies
corporate and trusts
Employees, employees' immediate families, 4
family bodies corporate and trusts
Other associated persons
Loans and deposits 5
Other non-current assets ( specify particulars here )

Total Non-Current Assets
BALANCE SHEET AS AT 30 JUNE [YEAR]
Notes Last year This year

$ $
Non-Current Liabilities
Bank Loans 6
Other loans and deposits 5, 6
Amounts owed to:
Partners' immediate families, family bodies corporate
and trusts
Employees, employees' immediate families, family
bodies corporate and trusts
Other associated persons 4
Other non-current liabilities
( specify particulars here ) 6
Total Non-Current Liabilities
Net Non-Current Assets
Total Net Assets
Contingent liabilities and capital commitments
NOTES TO THE BALANCE SHEET
1. Money in trust accounts is not to be regarded as current assets or current liabilities.
2. The name, number, balance sheet valuation and basis of valuation of all securities held that were acquired during the year as a result of an underwriting or sub-underwriting agreement are as follows:
Name of security Number Balance Sheet Basis of
valuation valuation
3. Bills of exchange:
Last year This year
$ $
(a) Current assets - to mature within:
30 days
90 days
180 days
Current assets - over 180 days
(b) Current liabilities - to mature within:
30 days
90 days
180 days
Current liabilities - over 180 days
4. Secured assets/liabilities - associate persons:
(a) Current assets:
Secured amounts included in the following categories ( state in each case the nature and extent of the security, and show the market value ):
Amount Nature and extent Market value
of security of security
Partners' immediate families, family
bodies corporate and trusts
Employees, employees' immediate
families, family bodies corporate
and trusts
Other associated persons
(b) Non-current assets:
Secured amounts included in the following categories ( state in each case the nature and extent of the security, and show the market value ):
Amount Nature and extent Market value
of security of security
Partners' immediate families, family
bodies corporate and trusts
Employees, employees' immediate
families, family bodies corporate
and trusts

Other associated persons
(c) Current liabilities:
Secured amount included in the following categories ( state in each case the nature and extent of the security, the market value, and whether or not the security asset is owned by the dealer or, where he or she carries on business in partnership, by the firm):
Amount Nature and Market value Market value
extent of of security of security
security not owned
disclosed in by dealer
Balance or firm
Sheet
Partners' immediate families,
family bodies corporate
and trusts
Employees, employees' immediate
families, family bodies
corporate and trusts
Other associated persons
(d) Non-current liabilities:
Secured amounts included in the following categories ( state in each case the nature and extent of the security, the market value, and whether or not the security asset is owned by the dealer or where he or she carries on business in partnership, by the firm ):
Amount Nature and Market value Market value
extent of of security of security
security not owned
disclosed in by dealer
Balance or firm
Sheet
Partners' immediate families,
family bodies corporate
and trusts
Employees, employees' immediate
families, family bodies
corporate and trusts
Other associated persons
5. Loans and deposits
( full details to be given relating to whether each loan is secured or unsecured and totals are to include accrued interest):
Last year This year
$ $
(a) Current assets:
At call
Other
Provision for doubtful debts

Last year This year
$ $
(b) Non-current assets:
Due within 1-2 years
Due after 2 years
Provision for doubtful debts

(d) Non-current liabilities:
Due within 1-2 years
Due after 2 years

6. Secured Liabilities - general:
The balance sheet includes liabilities in the following categories secured by assets ( state in each case the nature and extent of the security, the market value, and whether or not the security asset is owned by the dealer or, where he or she carries on business in partnership, by the firm ).
Amount Nature and Market value Market value
extent of of security of security
security disclosed not owned
in Balance by dealer
Sheet or firm
(a) Current liabilities:
Bank overdraft and
other bank facilities
Loans/Deposits
Other ( specify
particulars here )
(b) Non-current liabilities:
Bank facilities
(not overdraft)
Loans/Deposits
Other ( specify
particulars here )
7. Sundry Provisions
( totals are to agree with balance sheet totals ):
Last year This year
$ $
Holiday pay
Long service leave pay
Other ( specify particulars here )

8. Contingent liabilities and capital commitments:
Last year This year
$ $
Contingent liabilities:
(a) Underwriting
Sub-underwriting
less amounts covered by sub-underwriting with other persons

Last year This year
$ $
Other contingent liabilities ( specify particulars here )
(b) Capital commitments ( specify particulars here )
(c) Leasing commitments ( specify particulars here )
9. Trust Accounts:
Last year This year
$ $
Cash at bank and in hand
Deposit with Stock Exchange
10. Proprietors' funds:
Equity Current or Total
trading accounts
$ $ $
(a) Partners ( specify separately for each ):

(b) Reconciliation:
Opening balance
Funds introduced
Reclassification of funds
Funds withdrawn
*Profit/*Loss
Closing balance

11. Return of debtors as at:

ANALYSIS OF AMOUNTS OWED - AGED FROM DATE OF CONTRACT
Class Less 1-3 Over 3 Unable Total
of than one months months to be
amounts month aged
$ $ $ $ $ $
Dealers (other than ASX
members)
Clients
Partners' immediate families,
family bodies corporate and trusts
Employees, employees' im-
mediate families, family
bodies corporate and
trusts
Other associated persons
12. CHECKING GUIDE ( use is optional ):
1. (a) Name of dealer
(b) Licence No
(c) Accounts lodged for year ending
(d) Extension for lodging accounts granted to
2. ( if one of the following forms has not been checked, or is not in order, give particulars ):
Checked
(a) Annual statement (Form 705) *Yes/*No
(b) Annual accounts *Yes/*No
(c) Auditor's report relating to the keeping of records (Form 712) *Yes/*No
3. (a) Current assets (as in balance sheet) $
(b) Current liabilities $
(c) Working capital $
(d) Non-current liabilities $

Total liabilities $

(e) Deduct any assets not allowed in liquid
funds calculation $

(f) Add any additional assets in liquid funds
calculation $

% to Total liabilities %

(g) Liquid funds
Non-liquid assets excluding amounts $
under (f) above

Amounts deducted under (e) above

Net tangible assets $

Intangible assets

Shareholders' funds $

% to Total liabilities %

Comments
4. Auditor's report relating to the keeping of records (Form 712) ( specify details of any qualifications, etc ):
5. Remarks by examining officer:
/ /
( signature of examining officer )
*Omit if inapplicable

NOTE TO THE PROFIT AND LOSS ACCOUNT AND BALANCE SHEET
The transactions conducted by *me/*us during the financial year *were without exception on *my/*our own account *included transactions on account of persons other than *me/*us.
The assets and liabilities of each company controlled by *me/*us or any other venture in which *I/*we have a financial interest *are/*are not in *my/*our opinion such as to affect adversely *my/*our financial position.
*I/*We certify that the above profit and loss account and balance sheet have, to the best of *my/*our knowledge and belief, been drawn up to comply with the requirements of subsection 860(2) of the Act. ( If the dealer carries on business under his, dealer's licence in partnership, all the partners are to sign here ):
( signature )
Dated
AUDITOR'S REPORT
In *my/*our opinion, the dealer's accounts referred to above *show/*do not show a true and fair view of the dealer's position at ( insert date ) and of the profit or loss of the dealer for the year in accordance with statements issued by the Institute of Chartered Accountants in Australia or the Australian Society of Accountants, or both ( if the auditor is not satisfied about the accounts, add the word "because" and set out the auditor's reasons for not being satisfied ).
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)
DIRECTIONS FOR COMPLETING FORM 710
Definition
1. In this Form:
"accounts" means the accounts required under subsection 860(2).
Obligation to prepare and lodge accounts
2. A licensee is required to prepare and lodge true and fair accounts within the time limits laid down in section 860.
Licence held by 2 or more persons
3. If 2 or more persons hold dealers licences and carry on business in partnership as a dealer, the particulars required by this Form must be supplied in respect of each person.
True and fair view to be given
4. In addition to the information and explanations specifically required by this Form in respect of a person's financial position, further information and explanations must be provided if necessary to give a true and fair view of the person's financial position.
Omission of inapplicable matter prefixed by an asterisk
5. Inapplicable matter in a form of accounts that is prefixed by the symbol "*" is to be omitted.
Separate annexures to be used if insufficient space on forms
6. If there is insufficient space in a form of accounts in which to give the required information, the information is to be shown in a separate annexure. Requirements relating to annexures are set out in regulation 1.0.06.
Penalties relating to false or misleading statements
7. (1)
Subsection 1308(2) provides:
"(2) A person who, in a document required by or for the purposes of this Act or lodged with or submitted to ASIC, makes or authorises the making of a statement that to the person's knowledge is false or misleading in a material particular, or omits or authorises the omission of any matter or thing without which the document is to the person's knowledge misleading in a material respect, is guilty of an offence."
(2) In accordance with sections 1311 and 1312, the penalty applicable on conviction of an offence against subsection 1308(2) is:
(a) if the offender is a natural person - a fine not exceeding 100 penalty units or imprisonment for 2 years, or both; or
(b) if the offender is a body corporate - a fine not exceeding 500 penalty units.
(3) Subsection 1308(4) provides:
"(4) A person who, in a document required by or for the purposes of this Act or lodged:
(a) makes or authorises the making of a statement that is false or misleading in a material particular; or
(b) omits or authorises the omission of any matter or thing without which the document is misleading in a material respect;
without having taken reasonable steps to ensure that the statement was not false or misleading or to ensure that the statement did not omit any matter or thing without which the document would be misleading, as the case may be, is guilty of an offence."
(4) In accordance with sections 1311 and 1312, the penalty applicable on conviction of an offence against subsection 1308(4) is a fine not exceeding:
(a) if the offender is a natural person - 5 penalty units; or
(b) if the offender is a body corporate - 25 penalty units.
Form 711
Subsection 860(2)
Corporations Act 2001
STATEMENT RELATING TO ACCOUNTS OF A DEALER THAT IS A BODY CORPORATE
Note: Before completing this statement please read carefully the "Directions for completing Form 711" at the end of this form
1. The name of the body corporate to which the accounts relate is and in this statement that body corporate is called "the dealer".
2. Specify here the number of the dealers licence held by the dealer:
3. The accounts are a true copy of the audited accounts of the dealer relating to the financial year ending on ( insert date) and the Auditor's Report attached to the accounts is a true copy of the Auditor's Report on the audited accounts.
4. The following supplementary information is submitted in support of the accounts:
INFORMATION SUPPLEMENTING THE PROFIT AND LOSS ACCOUNT

			Last year	This year
			$	$

1. (a) Revenue:
Profit (losses) from trading in securities
Brokerage
Underwriting Commission
Profit (losses) from trading other than in securities
Dividends
Interest
Other
Total Revenue
(b) Less Expenses -
Bad debts written off
Amount provided for doubtful debts
Interest
Other Expenses
Total Expenses
(c) Operating profit before Income Tax
less *Income Tax Expense/*Provision for income tax
Operating profit
Extraordinary items (net of Income Tax where applicable)
( attach list detailing gains and loses separately and any
income tax involvements)
Operating profit and extraordinary Items for the year
2. The transactions conducted by the dealer during the financial year:
(a) were without exception on the dealer's own account; or
(b) included transactions on account of persons other than the dealer.

INFORMATION SUPPLEMENTING THE BALANCE SHEET
4. Assets:
(a) Bills of Exchange: show separately bills to mature within:
30 days
90 days
180 days
Bills of Exchange to mature over 180 days
(b) Debtors
Amounts owed by:
Dealers (less provision for doubtful debts this year $ ,
last year $ )
Clients (less provision for doubtful debts this year $ ,
last year $ )
Other debtors (less provision for doubtful debts this year $ ,
last year $ )
(c) Loans and Deposits:
At call
Other (show current and non-current separately)
(d) Cash at Bank:
General accounts
Trust accounts
(e) Securities quoted on a securities exchange (at cost or market value, whichever is the
(f) Prepayments
(g) Other liquid capital (specify particulars here)
5. Liabilities:
(a) Bills of Exchange - show separately bills to mature within:
30 days
90 days
180 days
Bills of Exchange to mature over 180 days
(b) Creditors:
Amounts owed to:
Dealers
Clients
Other creditors
(c) Loans and Deposits:
At call
Other ( show current and non-current separately)
6. Contingent Liabilities and Capital Commitments:
(a) Contingent liabilities:
Underwriting
Sub-underwriting
less amounts covered by sub-underwriting with other persons
Other ( specify particulars here)
(b) Capital commitments ( specify particulars here)
(c) Leasing commitments ( specify particulars here)
7. Standby credit facilities - show for each facility:
(i) amount
(ii) type
(iii) source
(iv) terms and availability
8. Subordinated loans - show for each loan:
(i) amount
(ii) source
(iii) duration
9. Foreign Exchange exposure - to the extent not disclosed in the attached accounts show the gain or loss that would be realised at prevailing rates of exchange.
10. The assets and liabilities of each body corporate controlled by the dealer or any other venture in which the dealer has a financial interest *are/*are not in our opinion such as to affect adversely to a material extent the dealer's financial position
Checking Guide (use is optional)
1. (a) Name of dealer
(b) Licence No
(c) Accounts lodged for year ending
(d) Extension for lodging accounts granted to
2. ( If one of the following forms has not been checked, or is not in order, give particulars):
checked
(a) Annual statement (Form 706) *Yes/*No
(b) Annual accounts *Yes/*No
(c) Auditor's report relating to the keeping of records (Form 712) *Yes/*No
3. (a) Current assets $
(as in balance sheet)
(b) Current liabilities $
(c) Working capital $
(d) Non-current liabilities $ Total liabilities $

(e) Deduct any assets not
allowed in
liquid funds calculation $

(f) Add any additional
assets not allowed in liquid funds
calculation $ % to Total liabilities %
(g) Liquid funds
Non-liquid assets
excluding amounts under
(f) above
Amounts deducted
under (e) above $
Net tangible assets $
Intangible assets $
% to Total liabilities %
Shareholders' funds $
Comments
4. Auditor's report relating to the keeping of records (Form 712) ( specify details of any qualifications, etc):
5. Remarks by examining officer: / /
( signature of examining officer)
We, the directors of the dealer, certify that the information in this statement is, to the best of our knowledge and belief, true and correct.
Dated
(signature) (signature)
(under each signature, add the name of the person signing)
AUDITOR'S REPORT
*I/*We report that in *my/*our opinion the above statement relating to the accounts of:
has been properly drawn up so as to provide the information required by these Regulations.
In *my/*our opinion, the attached dealer's accounts referred to above *show/*do not show a true and fair view of the dealer's position at / / and of the profit or loss of the dealer for the year in accordance with statements of accounting standards issued by the Institute of Chartered Accountants in Australia or the Australian Society of Accountants, or both ( if the auditor is not satisfied about the accounts, add the word " because" and set out the auditor's reasons for not being satisfied).
Dated
(Signature of auditor)
(under the signature add the name under which
the auditor practices or the name of the firm in
which the auditor is employed)
DIRECTIONS FOR COMPLETING FORM 711
Definition
1. In these Directions:
"accounts" means the accounts required under subsection 860(2).
Obligation to prepare and lodge accounts
2. A licensee is required to prepare and lodge true and fair accounts within the time limits laid down in section 860.
Licence held by 2 or more persons
3. If 2 or more persons hold dealers licences and carry on business in partnership as a dealer, the particulars required by this Form must be supplied in respect of each person.
True and fair view to be given
4. In addition to the information and explanations specifically required by this Form in respect of a person's financial position, further information and explanations must be provided if necessary to give a true and fair view of the person's financial position.
Omission of inapplicable matter prefixed by an asterisk
5. Inapplicable matter in a form of accounts that is prefixed by the symbol "*" is to be omitted.
Separate annexures to be used if insufficient space on forms
6. If there is insufficient space in a form of accounts in which to give the required information, the information is to be shown in a separate annexure. Requirements relating to annexures are set out in regulation 1.0.06.
Penalties relating to false or misleading statements
7. (1)
Subsection 1308(2) provides:
"(2) A person who, in a document required by or for the purposes of this Act or lodged with or submitted to ASIC, makes or authorises the making of a statement that to the person's knowledge is false or misleading in a material particular, or omits or authorises the omission of any matter or thing without which the document is to the person's knowledge misleading in a material respect, is guilty of an offence."
(2) In accordance with sections 1311 and 1312, the penalty applicable on conviction of an offence against subsection 1308(2) is:
(a) if the offender is a natural person - a fine not exceeding 100 penalty units or imprisonment for 2 years, or both; or
(b) if the offender is a body corporate - a fine not exceeding 500 penalty units.
(3) Subsection 1308(4) provides:
"(4) A person who, in a document required by or for the purposes of this Act or lodged:
(a) makes or authorises the making of a statement that is false or misleading in a material particular; or
(b) omits or authorises the omission of any matter or thing without which the document is misleading in a material respect;
without having taken reasonable steps to ensure that the statement was not false or misleading or to ensure that the statement did not omit any matter or thing without which the document would be misleading, as the case may be, is guilty of an offence."
(4) In accordance with sections 1311 and 1312, the penalty applicable on conviction of an offence against subsection 1308(4) is a fine not exceeding:
(a) if the offender is a natural person - 5 penalty units; or
(b) if the offender is a body corporate - 25 penalty units.
Form 712
Subsection 860(2)
Corporations Act 2001
AUDITOR'S REPORT
Note: Before making this report please read carefully the "Directions for completing Form 712" at the end of this form, especially clause 4.
PRELIMINARY PARTICULARS
1. The auditor making the following report practises under the following name or is employed by the following firm:
2. The name of the person whose accounts have been audited and the financial year to which they relate are as follows:

Name	Financial year
The year ending

and in the following report that person is called "the dealer". (If the dealer held his or her dealers licence under another name, that name should be specified in this item).

REPORT
3. *I/*We have inspected the dealers *licence/*licences of the dealer and have noted:
(a) any conditions or restrictions *it contains/*they contain;
(b) any applicable conditions or restrictions under these Regulations.
4. After conducting, a check or test examination and making sufficient enquiries *I am/*we are of the opinion that:
(a) the accounting and other records kept by the dealer *comply/*do not comply with sections 856 and 872;
(b) the internal control procedures of the dealer are *adequate/*inadequate having regard to the nature and size of the business of the dealer;
(c) client's securities *have/*have not been pledged by the dealer otherwise than in accordance with section 873;
(d) securities held for sale or for safe custody(or any other purpose) or purchased for clients and paid for by them*have/*have not been held unencumbered by the dealer;
(e) the trust account *has/*has not been maintained at all times during the year in accordance with sections 866 to 871(inclusive) and the accounting for the trust account is *adequate/*inadequate;
(f) the dealer *has/*has not properly held or disposed of all securities received by the dealer;
(g) the internal procedures designed to ensure compliance with all the conditions or restrictions applicable to the dealers licence are *adequate/*inadequate;
(h) no *matter/*other matter has arisen during the year which would have required *me/*us to report to ASIC under section 861 ( reference should be made to any report made in accordance with that section identifying the date of the report and the provisions to which the report refers);
*(i) all conditions or restrictions of a financial nature applicable to the dealers licence have been complied with;
*(i) the following conditions or restrictions of a financial nature have not been complied with (specify particulars here):
*5. If the dealer is a stockbroker:
(a) *I/*we conducted a further check or test examination and after making sufficient enquiries *I am/*we are of the opinion that:
*the deposit required by section 889 *has/*has not been kept by the dealer with the Securities Exchange of which he or she is a member
*the dealer was not required to keep a deposit under section 889 because of subsection 890(2); and
(b) *I/*We have inspected a current indemnity Insurance Policy No for $ issued by in favour of the dealer for a total cover determined by the Committee of the Securities Exchange of which he or she is a member.
6. The checks and test examinations referred to in this report, the audit of the accompanying Balance Sheet of the dealer as at , the Profit and Loss Account for the year ended on that date and Notes *have/*have not been carried out in accordance with generally accepted auditing standards and standard auditing practice promulgated by the Institute of Chartered Accountants in Australia or the Australian Society of Accountants or both and *included/*did not include such tests of the accounting records and such other auditing procedures as *I/*we considered necessary.
*7. The dealer placed no restriction on the scope of the audit and all information and explanations required were received.
*7. The dealer restricted the scope of the audit and the following information or explanations were not received.
(specify details here):
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)
DIRECTIONS FOR COMPLETING FORM 712
Comprehensive particulars required if report qualified
1. If any part of a report is qualified, comprehensive particulars are to be given.
Omission of inapplicable matter prefixed by an asterisk
2. Inapplicable matter in a report form that is prefixed by the symbol "*" is to be omitted.
Separate annexures to be used if insufficient space on forms
3. If there is insufficient space in a report form in which to give the required information, the information is to be shown in a separate annexure. Requirements relating to annexures are set out in regulation 1.06.
Penalties relating to false or misleading statements
4. (1)
Subsection 1308(2) provides:
"(2) A person who, in a document required by or for the purposes of this Act or lodged with or submitted to ASIC, makes or authorises the making of a statement that to the person's knowledge is false or misleading in a material particular, or omits or authorises the omission of any matter or thing without which the document is to the person's knowledge misleading in a material respect, is guilty of an offence."
(2) In accordance with sections 1311 and 1312, the penalty applicable on conviction of an offence against subsection 1308(2) is:
(a) if the offender is a natural person - a fine not exceeding 100 penalty units or imprisonment for 2 years, or both; or
(b) if the offender is a body corporate - a fine not exceeding 500 penalty units.
(3) Subsection 1308(4) provides:
"(4) A person who, in a document required by or for the purposes of this Act or lodged:
(a) makes or authorises the making of a statement that is false or misleading in a material particular; or
(b) omits or authorises the omission of any matter or thing without which the document is misleading in a material respect;
without having taken reasonable steps to ensure that the statement was not false or misleading or to ensure that the statement did not omit any matter or thing without which the document would be misleading, as the case may be, is guilty of an offence."
(4) In accordance with sections 1311 and 1312, the penalty applicable on conviction of an offence against subsection 1308(4) is a fine not exceeding:
(a) if the offender is a natural person - 5 penalty units; or
(b) if the offender is a body corporate - 25 penalty units.
Form 713
Subsection 872(3)
Corporations Act 2001
DISCLOSURE DOCUMENT
( specify the date on which this document is given or sent to the client)
Dear *Mr/*Mrs/*Ms ( insert the surname of the client)
We confirm your arrangements with us concerning the money owing to you in the sum of $ , or such other balance as will be due to you from the time agreed to lend to for the purpose of investing in re-payable on at an interest rate of % per year with interest payments to be made on
In lending this money to for use within its business it is acknowledged by you that your loan is not protected.
On receipt of the duplicate of this letter, signed by you below, we will transfer the appropriate funds from our trust account under this arrangement.
Yours sincerely,
(signature of dealer)
(under the signature add the name of the dealer)
(specify the name and address of the dealer and an appropriate form of salutation)
*I/*We agree to the terms set out in your letter dated ( specify the date on which this document is given or sent to the client)
Dated
(signature of client)
(under the signature add the name of the client)
*Omit if not applicable.
Form 714
Subsection 881(1)
Corporations Act 2001
REGISTER OF INTERESTS IN SECURITIES
Name of person having relevant interest:
Name of body corporate by which securities issued or made available:

Date of entry	Description of securities	Number of securities to which the relevant interest or the change in interest including the acquisition or disposal of a relevant interest, relates	Nature of relevant interest	Date of acquisition or disposal of relevant interest or of other change in interest	Particulars of change in relevant interest	Valuable consideration and nature of that part of consideration that did not consist of money	(If the securities are not registered in the name of the person having the relevant interest)
							Name of person who is registered as the holder of the securities	Name of person who is entitled to become registered as the holder of the securities

Form 716
Subsection 910(1)
Corporations Act 2001

NOTICE CALLING FOR CLAIMS FOR COMPENSATION FROM A SECURITIES EXCHANGE FIDELITY FUND
*In relation to ( insert name of the member of a securities exchange, or the partner in a member firm, whose defalcation or fraud has caused pecuniary loss) (in this notice called "the relevant person")
*In relation to an employee of ( insert name of the member of a securities exchange, or the partner in a member firm, whose employee's defalcation or fraud has caused pecuniary loss) (which employer in this notice is called "the relevant person")
of ( if it is known, insert residential address of the relevant person)
*formerly carrying on business at ( insert address of the principal place of business of the relevant person, including State or Territory)
Persons claiming to have suffered pecuniary loss because of a defalcation or fraudulent misuse of securities or documents of title to securities or of other property by *the relevant person/*an employee of the relevant person, in relation to any money or other property entrusted to or received by *the relevant person/*a partner of/*an employee of the relevant person are required to lodge their claim with:
(insert name and address of the securities exchange, including State or Territory and postcode)
The claim must be made in writing on or before .
Claims not made on or before that date are barred unless the Securities Exchange otherwise determines.
(signature of an officer of the Securities Exchange)
(under the signature add the words
"For the (insert name of the Securities Exchange) ")
(add the date of signature)
*Omit if not applicable.
Form 717
Subsection 909(2)
Corporations Act 2001
NOTICE OF APPEAL
In (insert name of court)
Applicant: ( insert name and address of the applicant)
Respondent: ( insert name and address of the respondent)
The applicant hereby appeals to ( insert name of court) under subsection 909(2) of the Act against the determination of the Board of the ( insert name of the Securities Exchange).
Dated
(signature of the applicant or the applicant's solicitor)
(Under the signature, add the name of the applicant or, if the applicant is a body corporate, add the words "Signed by ( name of person signing))
*Director/*Secretary, for an on behalf of ( name of the body corporate or, if signed by a solicitor, the name under which the solicitor practises or the name of the firm in which the solicitor is employed)
*Omit if not applicable.
Form 718
Subsection 911(4)
Corporations Act 2001
NOTICE OF DISALLOWANCE OF CLAIMS FOR COMPENSATION FROM A SECURITIES EXCHANGE FIDELITY FUND
(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 member of a Securities Exchange, or the partner in a member firm, whose defalcation or fraud has caused pecuniary loss) (in this notice called "the relevant person")
*In relation to an employee of (insert name of the member of a Securities Exchange, or the partner in a member firm, whose employee's defalcation or fraud has caused pecuniary loss) (which employer in the notice is called "the relevant person")
of ( if it is known, insert residential address of the relevant person) *formerly carrying on business at (insert address of principal place of business of the relevant person, including State or Territory )
The Board of the (insert name of the Securities Exchange) has considered your claim against the (insert the name of the Securities Exchange Fidelity Fund) in respect of pecuniary loss alleged to have been suffered from a defalcation or fraudulent misuse of securities or documents of title to securities or of other property by *the relevant person/*an employee of the relevant person.
After considering all the available evidence, the Board has decided that the claim should be *disallowed/*partly disallowed to the extent set out below.
If you are not satisfied with this decision, you may bring proceedings against the Exchange but those proceedings must be brought within 3 months after service of this notice (see subsection 911(5) of the Act).
Yours sincerely,
(signature of an officer of the Securities Exchange)
(under the signature add the words "For the (insert name of the Securities Exchange) " )
(If the claim has been partly disallowed, insert a heading:
"PARTICULARS OF PARTIAL DISALLOWANCE"
and specify the necessary particulars under it)
*Omit if not applicable
Form 719
Section 947
Corporations Act 2001
STATEMENT ABOUT PAYMENTS OUT OF DEVELOPMENT ACCOUNT
1. The name of the participating Exchange to which this statement relates is ( insert name of exchange) and in this form is called "the Exchange".
2. This statement relates to the financial year ending on and in this Form is called "the relevant financial year".
3. Specify in respect of each purpose approved by the Minister under subsection 945(3) of the Act:
(a) the terms of the purpose as so approved are as follows:
(b) the date of that approval was ;
(c) the amount of payments made for that purpose during the relevant financial year was $

;
(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 $ ;
(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 $ .
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 Exchange 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 Exchange ) has accepted the information contained in the statement and resolved that the statement be lodged with ASIC.
Dated
(signature of officer of the Exchange)
(under the signature add the name of the person signing)
Form 719A
Section 959
Corporations Act 2001
COMPENSATION FOR LOSSES RESULTING FROM THE UNAUTHORISED EXECUTION OF A DOCUMENT OF TRANSFER OF RIGHTS, SHARES, DEBENTURES OR OTHER SECURITIES BY DEALER
This notice relates to the unauthorised execution of a document of transfer of securities by (insert name of dealer who is claimed to have executed the document of transfer of 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 section 957 or 958 of the Corporations Act 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 subsection 959(3) of the Corporations Act 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 section 957 of the Corporations Act 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 subsection 958(1) of the Corporations Act 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 section 958 of the Corporations Act 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 section 921 of the Corporations Act 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
Subsection 961E(4)
Corporations Act 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 SCH 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 subsection 961D(1) of the Corporations Act 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 subsection 961E(3) of the Act, 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. Section 961D of the Act provides that a person who suffers pecuniary loss in respect of a contravention, by a dealer, of the SCH certificate cancellation provisions may make a claim in respect of the loss. SCH certificate cancellation provisions are provisions of the SCH business rules that deal with brokers cancelling certificates or other documents of title to quoted securities or quoted rights or with matters incidental to that function.)
A person may not make a claim under section 961D of the Act if:
(a) the loss is in respect of an unauthorised execution (within the meaning of section 956 of the Act) in respect of which the person has made, or is entitled to make a claim under Division 7 of Part 7.10 of the Act; or
(b) the person was involved in the contravention of the SCH 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
Subsection 969(1)
Corporations Act 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 subsection 963(1) of the Act 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 subsection) 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 .
Subject to section 969 of the Act, claims not made on or before that date are barred unless the Board of the Securities Exchanges Guarantee Corporation otherwise determines.
Subsection 963(1) 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 member organisation, the member organisation, or a partner in, or an employee of, the member organisation.
( 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
Section 975
Corporations Act 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/the TDS nominee ), *formerly carrying on/*carrying on business at ( insert business address of the dealer or the nominee ).
The *Board of the Securities Exchanges Guarantee Corporation/*delegate of the Board of the Securities Exchanges Guarantee Corporation under section 927 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 *section ( insert relevant section number )/*sections ( insert relevant section 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 subsection 976(1) of the Act).
Yours sincerely,
( signature of an officer of the Corporation )
( under the signature add the words "for the Securities Exchanges Guarantee Corporation")
( add the date of signature )
( If the claim has been partly disallowed, insert a heading
"PARTICULARS OF PARTIAL DISALLOWANCE"
and specify the necessary particulars under it )
*Omit if not applicable

Form 803C
Paragraph 1206(1)(b)
Corporations Act 2001
AGREEMENT TO WAIVE THE OPERATION OF PARAGRAPH 1206(1)(b) OF THE CORPORATIONS ACT 2001 IN RELATION TO THE ISSUE OF CONTRACT NOTES
1. *I/*We ( insert the full name of the futures broker's client )
have authorised ( insert the full name of the futures broker ),
a futures broker licensed under the Corporations Act 2001 , to operate on *my/*our behalf a discretionary account.
2. *I/*We agree to waive the operation of paragraph 1206(1)(b) of the Corporations Act 2001 and do not require the broker to give *me/*us a contract note in respect of any acquisition or disposal of a futures contract effected by the broker on that discretionary account.
(signature of the client)
* Omit if not applicable.
Form 804
Subparagraph 1210(a)(iii)
Corporations Act 2001
RISK DISCLOSURE STATEMENT
To ( insert full name(s) of prospective client(s) ), prospective clients:
This statement is given to you as required by section 1210 of the Act.
The risk of loss in trading in futures contracts can be substantial. You should therefore carefully consider whether that kind of trading is appropriate for you in the light of your financial circumstances. In deciding whether or not you will become involved in that kind of trading, you should be aware of the following matters:
(a) You could sustain a total loss of the initial margin funds that you deposit with your futures broker to establish or maintain a position in a futures market.
(b) If the futures market moves against your position, you may be required, at short notice, to deposit with your futures broker additional margin funds in order to maintain your position. Those additional funds may be substantial. If you fail to provide those additional funds within the required time, your position may be liquidated at a loss and in that event you will be liable for any shortfall in your account resulting from that failure.
(c) Under certain conditions, it could become difficult or impossible for you to liquidate a position (this can, for example, happen when there is a significant change in prices over a short period).
(d) The placing of contingent orders (such as a "stop-loss" order) may not always limit your losses to the amounts that you may want. Market conditions may make it impossible to execute such orders.
(e) A "spread" position is not necessarily less risky than a simple "long" or "short" position.
(f) The high degree of leverage that is obtainable in futures trading because of small margin requirements can work against you as well as for you. The use of leverage can lead to large losses as well as large gains.
(g) If you propose to trade in futures options, the maximum loss in buying an option is the amount of the premium, but the risks in selling an option are the same as in other futures trading.
This statement does not disclose all of the risks and other significant aspects involved in trading on a futures market. You should therefore study futures trading carefully before becoming involved in it.
Specify here:
(a) Full name(s) of the prospective client(s) ( please print ):
(b) Date on which the statement is given to the prospective client:
(c) Signature of the futures broker by whom this statement is given:
(d) Full name and the address of the futures broker by whom this statement is given: (include State or Territory and postcode):
*I/*We confirm that *I/*we have read and understand this risk disclosure statement and that the futures contracts trading terms used in it have been explained to *me/*us by the giver of this statement.
(signature of the prospective client)
(under the signature add the date on which the statement is signed by the prospective client)
Form 805
Paragraph 1215(3)(e)
Corporations Act 2001
RETURN OF MEMBERS OF FIRM OF AUDITORS
Note: Before completing this return please read carefully the "Directions for completing Form 805" at the end of this form
1. Name of firm:
2. Particulars of the place of business or the principal place of business of the firm are as follows:

Business address or principal business address (include State or Territory and postcode):
Telephone No:	Facsimile No:
Telex No:	Document exchange No:
(specify STD codes if appropriate)

3. Addresses of all other places, whether in Australia or elsewhere, at which the firm carries on business are as follows:
4. Specify here the name and residential address of each member of the firm:

Surname

Other names

Residential address

Dated
(signature of one of the members of the firm)
(under the signature add the name of the firm)

DIRECTIONS FOR COMPLETING FORM 805
Obligations under business names law not affected
1. Completion of Form 805 does not relieve the firm of any obligation under the law relating to business names.
Separate annexures to be used if insufficient space on forms
2. If there is insufficient space in a return of the type in Form 805 in which to give the required information, the information is to be shown in a separate annexure.
Requirements relating to annexures are set out in regulation 1.0.06.
Form 806
Subsection 1218(2)
Corporations Act 2001
PROFIT AND LOSS ACCOUNT AND BALANCE SHEET OF A FUTURES BROKER THAT IS A BODY CORPORATE
Note: Before completing this statement please read carefully the "Directions for completing Form 806" at the end of this form
1. The name of the body corporate to which the accounts relate is:
and in this statement that body corporate is called "the broker".
2. Specify here the number of the futures brokers licence held by the broker:
3. The accounts are a true copy of the audited accounts of the broker relating to the financial year ending on / / and the Auditor's Report attached to the accounts is a true copy of the Auditor's Report on the audited accounts.
4. The following supplementary information is submitted in support of the accounts:
INFORMATION SUPPLEMENTING THE PROFIT AND LOSS ACCOUNT

	Last year	This year
	(date)	(date)
	$	$
1. (a) Revenue:
Profit (losses) from trading in futures contracts
Brokerage
Underwriting Commission
Profit (losses) from trading other than by dealing in futures contracts
Dividends
Interest
Other
Total Revenue
(b) Less Expenses:
Bad debts written off
Amount provided for doubtful debts
Interest
Other Expenses
Total Expenses
(c) Operating Profit before Income Tax:
less Income Tax Expense/Provision applicable thereto
Operating Profit
Extraordinary Items (net of Income Tax where applicable)
(attach list detailing gains and losses separately and any income tax involvements)
Operating Profit and Extraordinary Items for the year
2. The transactions conducted by the broker during the financial year:
(a) were without exception on the broker's own account; or
(b) included transactions on account of persons other than the broker.

INFORMATION SUPPLEMENTING THE BALANCE SHEET

	Last year	This year
	(date)	(date)
	$	$
3. Contingent Liabilities and Capital Commitments:
(a) Contingent liabilities:
Underwriting
Sub-underwriting
less Amounts covered by sub-underwriting with other persons
Other ( specify particulars here )
(b) Capital Commitments (specify particulars here):
4. Standby credit facilities - show for each facility:
(i) amount
(ii) type
(iii) source
(iv) terms and availability
5. Subordinated loans - show for each loan:
(i) amount
(ii) source
(iii) duration
6. Foreign Exchange exposure - to the extent not disclosed in the attached accounts show the gain or loss that would be realised at prevailing rates of exchange.
7. The assets and liabilities of each company controlled by the broker or any other venture in which the broker has a financial interest are/are not in our opinion such as to affect adversely to a material extent the broker's financial position.
8. Liquid Capital:
Securities listed on a stock exchange (at cost or market value,
whichever is the lower)
Amounts owed by:
Brokers
Clients
Others
Sundry debtors (after providing for doubtful debts)
Prepayments
Other liquid capital ( specify particulars here )
less total liabilities
	TOTAL LIQUID FUNDS

9. Assets:
(a) Bills of Exchange: show separately bills to mature within:
30 days
90 days
180 days
Bills of Exchange to mature over 180 days
(b) Debtors:
Amounts owed by:
Futures brokers (less provision for doubtful debts this
year $ , last year $ )
Clients (less provision for doubtful debts this
year $ , last year $ )
Other Debtors (less provision for doubtful debts this
year $ , last year $ )
(c) Loans and Deposits:
At call
Other (show current and non-current separately)
(d) Cash at Bank:
General accounts
Trust account
10. Liabilities:
(a) Bills of Exchange — show separately bills to mature within:
30 days
90 days
180 days
Bills of Exchange to mature over 180 days
(b) Creditors:
Amounts owed to:
Futures brokers
Clients
Other creditors
(c) Loans and Deposits:
At call
Other ( show current and non-current separately )

11. Checking Guide ( use is optional ):
1.
(a) Name of broker
(b) Licence No
(c) Accounts lodged for year ending 19
(d) Extension for lodging accounts granted to 19
2. ( If one of the following forms has not been checked, or is not in order, give particulars ):
Checked
(a) Annual statement (Form 803B) *Yes/*No
(b) Annual accounts (Form 807) *Yes/*No
(c) Auditor's report relating to the keeping of records (Form 807A) *Yes/*No
3. (a) Current assets (as in balance sheet) $
(b) Current liabilities $
(c) Working capital $
(d) Non-current liabilities $

Total liabilities $

(e) Deduct any assets not allowed in liquid funds calculation

(f) Add any additional assets in liquid funds calculation
% to Total Liabilities

(g) Liquid funds Non-liquid assets excluding amounts under (f) above Amounts
deducted under (e) above

Net tangible assets $
Intangible assets $ % to Total liabilities

Shareholders' funds

Comments
4. Auditor's report relating to the keeping of records (Form 807A) ( specify details of any qualifications, etc):
5. Remarks by examining officer:
Dated
( signature of examining officer )
We, the directors of the broker, certify that the information in this statement is, to the best of our knowledge and belief, true and correct.
Dated
( signature ) ( signature)
( under each signature, add the name of the person signing )

AUDITOR'S REPORT
*I/*We report that in *my/*our opinion the above statement relating to the accounts of
has been properly drawn up so as to provide the information required by these Regulations.
In *my/*our opinion, the attached broker's accounts referred to above *show/*do not show a true and fair view of the broker's position at ( insert date ) and of the profit or loss of the broker for the year in accordance with statements of accounting standards issued by the Institute of Chartered Accountants in Australia or the Australian Society of Accountants, or both ( if the auditor is not satisfied about the accounts, add the word " because" and set out the auditor's reasons for not being satisfied ).
Dated
( signature of auditor )
( under the signature add the name under which the auditor practices
or the name of the firm in which the auditor is employed )
*Omit if not applicable
DIRECTIONS FOR COMPLETING FORM 806
Definitions
1. In this form:
"accounts" means the accounts required under subsection 1218(2) of the Corporations Act 2001 .
Obligation to prepare and lodge accounts
2. Under section 1218 of the Corporations Act 2001 , the licensee must prepare and lodge true and fair accounts within the time limits specified in that section.
Licence held by 2 or more persons
3. If 2 or more persons hold brokers licences and carry on business in partnership as a broker, the particulars required by Form 806 must be supplied in respect of each person.
True and fair view to be given
4. In addition to the information and explanations specifically required by Form 806 in respect of a person's financial position, further information and explanations must be provided if necessary to give a true and fair view of the person's financial position.
Omission of inapplicable matter prefixed by an asterisk
5. Inapplicable matter in a form of accounts that is prefixed by the symbol "*" is to be omitted.
Separate annexures to be used if insufficient space on forms
6. If there is insufficient space in a form of accounts in which to give the required information, the information is to be shown in a separate annexure.
Requirements relating to annexures are set out in regulation 1.0.06.
Form 807
Subsection 1218(2)
Corporations Act 2001
PROFIT AND LOSS ACCOUNT AND BALANCE SHEET OF A FUTURES BROKER WHO IS NOT A BODY CORPORATE
Note: Before completing these accounts please read carefully the "Directions for completing Form 807" at the end of this form.
PRELIMINARY PARTICULARS
1. The surname and other names of the person to whom the accounts relate are as follows:

Surname

Other names

and in this form that person is called "the broker". (If the broker held his or her futures brokers licence under another name, that name should be specified in this item).
*2. If the broker carries on business under his or her futures brokers licence in partnership, specify here the name of the partnership:
3. Specify here the number of the futures brokers licence held by the broker:
4. The accounts relate to the financial year ending on 30/06/ .
*5. If the financial year to which the accounts relate is not a period of 12 months, specify here the date on which the financial year began: / / .
6. In the accounts and any attachments to the accounts, unless the contrary intention appears:
"associated person" means a person who is an associate within the meaning of Division 2 of Part 1.2 of the Corporations Act 2001 ;
"current asset" means an asset expected to be realised within 12 months in the ordinary course of events;
"current liability" means a liability that would, in the ordinary course of events, be payable within 12 months after the end of the financial year to which the accounts relate;
"immediate family", in relation to a person, means the spouse and children of the person;
"last year" means the financial year (if any) immediately preceding this year;
"secured amounts" includes amounts secured by equitable charges and charges whether registered or unregistered;
"this year" means the financial year to which the accounts relate.

PROFIT AND LOSS ACCOUNT FOR THE YEAR ENDED 30 JUNE (year)

	Last year	This year
	(year)	(year)
	$	$
Revenue:
Profit (losses) from trading in futures contracts
Commission from dealing in futures contracts and
brokerage (if any) from other activities
Underwriting commission
Profit (losses) from trading other than by dealing in futures contracts
Dividends
Interest
Other ( specify particulars here )
Total Revenue
Expenses:
Bad debts written off
Amount provided for doubtful debts
Interest
Salaries (including all bonuses excluding partners' salaries)
Other Expenses ( specify particulars here ):
Total Expenses
Operating profit before Income Tax
Less Income Tax expense/provision for income tax
Operating Profit
Extraordinary items (net of Income Tax where applicable)
( attach list detailing gains and losses separately and
any income tax involvements )
Operating Profit and Extraordinary Items for the year

BALANCE SHEET AS AT 30 JUNE (year)

	Last year	This year
	(year)	(year)
	$	$
Proprietors' funds
Represented by:
Current Assets:
Govt and semi-Govt securities
(market value this year $ , last year $ )
Certificates of deposit at a bank
Securities quoted on a securities exchange (market value
this year $ , last year $ )
Bills of Exchange
Amount owed by:
Futures brokers (after providing for doubtful debts
this year $ , last year $ )
Clients (after providing for doubtful debts
this year $ , Last year $ )
Partners' immediate families, family bodies corporate and trusts (after providing for doubtful debts
this year $ , last year $ )
Employees, employees' immediate families, family bodies corporate and trusts (after providing for doubtful debts
this year $ , last year $ )
Other associated persons (after providing for doubtful debts
this year $ , last year $ )
Loans and deposits
Cash at bank and in hand (excluding amounts held in
clients' segregated accounts)
Sundry debtors (after providing for doubtful debts)
Prepayments
Other current assets ( specify particulars here )
Total Current Assets
Current Liabilities:
Bank overdraft and other bank facilities
Bills of Exchange
Amount owed to:
Futures brokers
Clients (excluding amounts held in trust)
Partners' immediate families, family bodies
corporate and trusts
Employees, employees' immediate families, family
bodies corporate and trusts
Other associated persons
Loans and deposits
Sundry creditors
Sundry provisions
Other current liabilities ( specify particulars here)
Total Current Liabilities
Net Current Assets
Non-Current Assets
Investments:
Securities quoted on a securities exchange (market value
this year $ , last year $ ) - at cost
Securities not quoted on a stock exchange - at cost
Furniture, fittings, equipment, motor vehicles etc
- at cost less provision for depreciation
(provision for depreciation this year $ , last year $ )
Freehold property - at cost
less provision for depreciation (provision
for depreciation this year $ , last year $ )

	Last year	This year
Amounts owed by:
Partners' immediate families, family bodies corporate and trusts
Employees, employees' immediate families, family
bodies corporate and trusts
Other associated persons
Loans and deposits
	(year)	(year)
	$	$
Other non-current assets ( specify particulars here )
Total Non-Current Assets
Non-Current Liabilities
Bank loans
Other loans and deposits
Amounts owed to:
Partners' immediate families, family bodies corporate
and trusts
Employees, employees' immediate families, family bodies
corporate and trusts
Other associated persons
Other non-current liabilities ( specify particulars here )
Total Non-Current Liabilities
Net Non-Current Assets
Total Net Assets
Contingent liabilities and capital commitments

NOTES TO THE BALANCE SHEET
1. The name, number, balance sheet valuation and basis of valuation of all securities held that were acquired during the year as a result of an underwriting or sub-underwriting agreement are as follows:

Name of security	Number	Balance sheet valuation	Basis of valuation

2. Bills of exchange:

	Last year	This year
	$	$
(a) Current assets - to mature within:
30 days
90 days
180 days
Current assets - over 180 days

(b) Current liabilities - to mature within:
30 days
90 days
180 days
Current liabilities — over 180 days

3. Secured assets/liabilities - associated persons:
(a) Current assets:
Secured amounts included in the following categories ( state in each case the nature and extent of the security, and show the market value ):

	Amount	Nature and	Market
		extent of	value of
		security	security
Employees, employees' immediate families,
family bodies corporate and trusts
Other associated persons

(b) Non-current assets:
Secured amounts included in the following categories ( state in each case the nature and extent of the security, and show the market value ).

	Amount	Nature and extent of security	Market value of security
Partners
Partners' immediate families, family bodies
corporate and trusts
Employees, employees' immediate families, family bodies corporate and trusts
Other associated persons

(c) Current Liabilities:
Secured amounts included in the following categories ( state in each case the nature and extent of the security, the market value, and whether or not the security asset is owned by the broker or, where he or she carries on business in partnership, by the firm ):

	Amount	Nature and extent of security	Market value of security disclosed in Balance Sheet	Market value of security not owned by broker of firm
Partners' immediate families, family bodies corporate and trusts
Employees, employees' immediate families, family bodies corporate and trusts
Other associated persons

(d) Non-current liabilities:
Secured amounts included in the following categories ( state in each case the nature and extent of the security, the market value, and whether or not the security asset is owned by the broker or where he or she carries on business in partnership, by the firm ):

	Amount	Nature	Market	Market
		and	value of	value of
		extent of	security	security
		security	disclosed	not owned
			in Balance	by broker
			Sheet	of firm
Partners' immediate families, family bodies
corporate and trusts
Employees, employees' immediate families,
family bodies corporate and trusts
Other associated persons

4. Loans and deposits
( full details to be given relating to whether each loan is secured or unsecured and totals are to include accrued interest ):

	Last year	This year
	$	$
(a) Current assets:
At call
Other
Provision for doubtful debts

(b) Non-current assets:
Due within 1-2 years
Due after 2 years
Provision for doubtful debts

(c) Current liabilities:
At call
Other

(d) Non-current liabilities:
Due within 1-2 years
Due after 2 years

5. Secured Liabilities - general:
The balance sheet includes liabilities in the following categories secured by assets ( state in each case the nature and extent of the security, the market value, and whether or not the security asset is owned by the broker or, where he or she carries on business in partnership, by the firm ).

	Amount	Nature and extent of security	Market value of security disclosed in Balance Sheet	Market value of security not owned by broker of firm
(a) Current liabilities:
Bank overdraft and other bank facilities
Loans/Deposits
Other ( specify particulars here )

(b) Non-current liabilities:
Bank facilities (not overdraft)
Loans/deposits
Other ( specify particulars here )

6. Sundry Provisions
( totals are to agree with balance sheet totals ):

	Last year	This year
	$	$
Holiday pay
Long service leave pay
Other ( specify particulars here )

7. Contingent liabilities and capital commitments:

	Last year	This year
	$	$
Contingent liabilities:
(a) Underwriting
Sub-underwriting
less amounts covered by sub-underwriting with other persons


Other contingent liabilities ( specify particulars here )
(b) Capital commitments ( specify particulars here )
(c) Leasing commitments ( specify particulars here )

8. Clients' segregated Accounts:

	Last year	This year
	$	$
Cash at bank and in hand
Deposit with Stock Exchange

Moneys in clients' segregated accounts are not to be regarded as current assets or current liabilities.
9. Proprietors' funds:

	Equity	Current or trading accounts	Total
	$	$	$
(a) Partners ( specify separately for each ):


(b) Reconciliation:
Opening balance
Funds introduced
Reclassification of fund
Funds withdrawn
Profit/Loss

Closing balance

10. Return of debtors as at (insert date) :

ANALYSIS OF AMOUNTS OWED - AGED FROM DATE OF CONTRACT

Class of debtor	Less than	1-3	Over	Unable to	Total
	one month	months	3 months	be aged
	$	$	$	$	$
Futures brokers (other than as
members)
Clients
Partners' immediate
families, family bodies
corporate and trusts
Employees, employees'
immediate families, family
bodies corporate and trusts
Other associated persons

11. Checking Guide ( use is optional ):
(a) Name of broker
(b) Licence No
(c) Accounts lodged for year ending 19
(d) Extension for lodging accounts granted to 19
2. ( If one of the following forms has not been checked, or is not in order, give particulars ):
Checked
(a) Annual statement (Form 803B) *Yes/*No
(b) Annual accounts (Form 807) *Yes/*No
(c) Auditor's report relating to the keeping of records (Form 807A) *Yes/*No
3. (a) Current assets (as in balance sheet) $
(b) Current liabilities $
(c) Working capital $
(d) Non-current liabilities $

Total liabilities $

(e) Deduct any assets not allowed in liquid funds calculation

(f) Add any additional assets in liquid funds calculation
% to Total Liabilities

(g) Liquid funds
Non-liquid assets excluding amounts under (f) above Amounts deducted under (e) above

Net tangible assets $
Intangible assets $ % to Total Liabilities

Shareholders' funds $

4. Auditor's report relating to the keeping of records (Form 807A) ( specify details of any qualifications, etc ):
5. Remarks by examining officer:
( date ) ( signature of examining officer )
* Omit if inapplicable

NOTE TO THE PROFIT AND LOSS ACCOUNT AND BALANCE SHEET
The transactions conducted by *me/*us during the financial year:
*were without exception on *my/*our own account.
*included transactions on account of persons other than *me/*us.
The assets and liabilities of each company controlled by *me/*us or any other venture in which *I/*we have a financial interest *are/*are not in *my/*our opinion such as to affect adversely *my/*our financial position.
*I/*We certify that the above profit and loss account and balance sheet have, to the best of *my/*our knowledge and belief, been drawn up to comply with the requirements of subsection 1218(2) of the Corporations Act 2001 ( if the broker carries on business under his or her broker's licence in partnership, all the partners are to sign here ):
( signature )
Dated
AUDITOR'S REPORT
In *my/*our opinion, the broker's accounts referred to above *show/*do not show a true and fair view of the broker's position at ( insert date ) and of the profit or loss of the broker for the year in accordance with statements of accounting standards issued by the Institute of Chartered Accountants in Australia or the Australian Society of Accountants, or both ( if the auditor is not satisfied about the accounts, add the word "because" and set out the auditor's reasons for not being satisfied ).
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 )
DIRECTIONS FOR COMPLETING FORM 807
Definitions
1. In this form:
"accounts" means the accounts required under subsection 1218(2) of the Corporations Act 2001 .
Obligations to prepare and lodge accounts
2. Under section 1218 of the Corporations Act 2001 , the licensee must prepare and lodge true and fair accounts within the time limits specified in that section.
Licence held by 2 or more persons
3. If 2 or more persons hold futures brokers licences and carry on business in partnership as a broker, the particulars required by Form 807 must be supplied in respect of each person.
True and fair view to be given
4. In addition to the information and explanations specifically required by Form 807 in respect of a person's financial position, further information and explanations must be provided if necessary to give a true and fair view of the person's financial position.
Omission of inapplicable matter prefixed by an asterisk
5. Inapplicable matter in a form of accounts that is prefixed by the symbol "*" is to be omitted.
Separate annexures to be used if insufficient space on forms.
6. If there is insufficient space in a form of accounts in which to give the required information, the information is to be shown in a separate annexure.
Requirements relating to annexures are set out in regulation 1.0.06.
Form 807A
Subsection 1218(2)
Corporations Act 2001
AUDITOR'S REPORT
Note: Before making this report please read carefully the "Directions for completing Form 807A" at the end of this form
PRELIMINARY PARTICULARS
1. The auditor making the following report practises under the following name or is employed by the following firm:
2. The name of the person whose accounts have been audited and the financial year to which they relate are as follows:

Name	Financial year
The year ending / /

and in the following report that person is called "the broker". (If the broker held his or her futures brokers licence under another name, that name should be specified in this item).

REPORT
3. *I/*We have inspected the futures brokers *licence/*licences of the broker and have noted:
(a) any conditions or restrictions *it contains/*they contain; and
(b) any applicable conditions or restrictions under these Regulations.
4. After conducting a check or test examination and making sufficient enquiries *I am/*we are of the opinion that:
(a) the accounting and other records kept by the broker *comply/*do not comply with sections 1209 and 1213 of the Corporations Act 2001 ;
(b) the internal control procedures of the broker are *adequate/*inadequate having regard to the nature and size of the business of the broker;
(c) the client's property *has/*has not been dealt with by the broker otherwise than in accordance with sections 1209 and 1214 of the Corporations Act 2001 ;
(d) property held for sale or for safe custody (or any other purpose) or purchased for clients and paid for by them *has/*has not been held *encumbered/*unencumbered by the broker;
(e) the clients' segregated accounts *have/*have not been maintained at all times during the financial year in accordance with section 1209 of the Corporations Act 2001 and the accounting in respect of those segregated accounts is *adequate/*inadequate;
(f) the broker *has/*has not properly held or disposed of all property received by the broker;
(g) the internal procedures designed to ensure compliance with all the conditions or restrictions applicable to the futures brokers licence are *adequate/*inadequate;
(h) the internal procedures designed to ensure compliance with all the conditions or restrictions applicable to the brokers licence are *adequate/*inadequate;
(i) the broker *has/*has not maintained the required level of net tangible assets in connection with the broker's business of dealing in futures contracts;
(j) the broker *has/*has not kept proper records of deposits and margins received from the broker's clients;
(k) the broker *has/*has not dealt with those deposits and margins in accordance with the business rules of the futures exchange or futures association of which the broker is a member;
(l) the broker *has/*has not properly calculated and dealt with the excess funds (if any) of the broker's clients;
(m) the broker *has/*has not kept proper records of, or relating to, those clients' acknowledgments, agreements and consents that are required, by or under the Corporations Act 2001 , to be obtained by the broker with respect to dealings in futures contracts;
(n) the broker *has/*has not kept proper records of money and other property held by the broker on behalf of the broker's clients;
(o) the broker *has/*has not kept records of commissions received by the broker in relation to dealings by the broker in futures contracts;
(p) no *matter/*other matter has arisen during the financial year which would have required *me/*us to report to the Commission under section 1220 of the Corporations Act 2001 ( reference should be made to any report made in accordance with that section identifying the date of the report and the provisions of the Corporations Act 2001 to which the report refer s);
*(q) all conditions or restrictions of a financial nature applicable to the brokers licence have been complied with;
*(q) the following conditions or restrictions of a financial nature have not been complied with ( specify particulars here ):
5. The checks and test examinations referred to in this report, the audit of the accompanying Balance Sheet of the broker as at / / , the Profit and Loss Account for the year ended on that date and Notes *have/*have not been carried out in accordance with generally accepted auditing standards and standard auditing practice promulgated by the Institute of Chartered Accountants in Australia or the Australian Society of Accountants or both and *included/*did not include such tests of the accounting records and such other auditing procedures as *I/*we considered necessary.
*6. The broker placed no restriction on the scope of the audit and all information and explanations required were received.
*6. The broker restricted the scope of the audit and the following information or explanations were not received (specify details here):
Dated
( signature of auditor )
( under the signature, add
the name under which the
auditor practices or the
name of the firm in which
the auditor is employed )
DIRECTIONS FOR COMPLETING FORM 807A
Comprehensive particulars required if report qualified
1. If any part of a report is qualified, comprehensive particulars are to be given.
Omission of inapplicable matter prefixed by an asterisk
2. Inapplicable matter in a report form that is prefixed by the symbol "*" is to be omitted.
Separate annexures to be used if insufficient space on forms.
3. If there is insufficient space in a report form in which to give the required information, the information is to be shown in a separate annexure.
Requirements relating to annexures are set out in regulation 1.0.06.
Form 808
Subsection 1241(2)
Corporations Act 2001
NOTICE OF APPEAL
In *The Federal Court of Australia
*The Supreme Court of (State or Territory)
COURT ORDER NUMBER: YEAR:
Applicant: ( insert name and address of the applicant )
Respondent: ( insert name and address of the respondent )
The applicant hereby appeals to ( insert name of court ) under subsection 1241(2) of the Corporations Act 2001 against the determination of the Board of the ( insert name of the futures exchange ).
Dated
( signature of the applicant or the applicant's solicitor )
( Under the signature, add the name of the applicant or,
if the applicant is a body corporate, add the words
"Signed by ( name of person signing ), *Director/ *Secretary,
for and on behalf of ( name of the body corporate or, if
signed by a solicitor, the name under which the solicitor
practises or the name of the firm in which the solicitor is
employed ))
*Omit if not applicable
Form 809
Subsection 1242(1)
Corporations Act 2001
NOTICE CALLING FOR CLAIMS FOR COMPENSATION FROM THE FIDELITY FUND OF A FUTURES ORGANISATION
*In relation to ( insert name of the member of a futures organisation, or the partner in a member firm, whose defalcation or fraud has caused pecuniary loss ) (who in this notice is called "the relevant person")
*In relation to a director, partner, officer or employee of ( insert name of the member of a futures organisation, or the partner in a member firm, whose employee's defalcation or fraud has caused pecuniary loss ) (who in this notice is called "the relevant person")
of ( insert residential address of the relevant person ) carrying on business at ( insert address of the principal place of business of the relevant person, including State or Territory )
Persons claiming to have suffered pecuniary loss because of a defalcation or fraudulent misuse of money or of other property by *the relevant person/*a director, partner, officer or employee of the relevant person, in relation to any money or other property entrusted to or received by *the relevant person/*a partner of/*a director, officer or employee of the relevant person are required to lodge their claim with:
(insert name and address of the futures organisation,
including State or Territory and postcode)
The claim must be made in writing on or before ( insert date ).
Claims not made on or before that date are barred unless the futures organisation otherwise determines.
( signature of an officer of the futures organisation )
( under the signature add the words "For the (insert name of the futures organisation )"
( add the date of signature )
*Omit if not applicable.
Form 810
Subsection 1243(4)
Corporations Act 2001
NOTICE OF DISALLOWANCE OF CLAIMS FOR COMPENSATION FROM THE FIDELITY FUND OF A FUTURES ORGANISATION
( 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 member of a futures organisation, or the partner in a member firm, whose defalcation or fraud has caused pecuniary loss ) (in this notice called "the relevant person")
*In relation to a director, partner, officer or employee of ( insert name of the member of a futures organisation, or the partner in a member firm, whose employee's defalcation or fraud has caused pecuniary loss ) (which employer in the notice is called "the relevant person")
of ( insert residential address of the relevant person ) carrying on business at ( insert address of principal place of business of the relevant persons including State or Territory )
The Board of the ( insert name of the futures organisation ) has considered your claim against the ( insert the name of the futures organisation fidelity fund ) in respect of pecuniary loss alleged to have been suffered from a defalcation or fraudulent misuse of money or of other property by *the relevant person/*a director, partner, officer or employee of the relevant person.
After considering all the available evidence, the Board has decided that the claim should be *disallowed/*partly disallowed to the extent set out below.
If you are not satisfied with this decision, and you are not otherwise excluded by section 1243 of the Corporations Act 2001 , you may bring proceedings against the futures organisation, but those proceedings must be brought within 3 months after service of this notice (see section 1243 of the Corporations Act 2001 ).
Yours sincerely,
(signature of an officer of the futures organisation)
(under the signature add the words
" For the (insert name of the futures organisation)") .
( If the claim has been partly disallowed, insert a heading
"PARTICULARS OF PARTIAL DISALLOWANCE"
and specify the necessary particulars under it )
* Omit if not applicable

Form 904
Registration no:
Corporations Act 2001
NOTICE OF APPLICATION FOR DISCHARGE OF SECURITY UNDER SUBSECTION 1284(3)
1. Notice is given that an application has been made to Australian Securities & Investments Commission (ASIC) for the discharge, wholly or in part, of the security lodged by ( insert name and address of liquidator ) in relation to the performance of his or her duties as *liquidator/*liquidator of ( insert name of specified body corporate, if liquidator of specified body corporate ).
2. If you have any claim on that security, you are required to lodge particulars in writing with ASIC not later than, ( insert a date not less than 3 months after the date of publication of the advertisement ).
3. Failure to lodge your claim before the specified date may result in the discharge of the security and the release of any surely from his or her obligations in relation to that claim.
Dated
( signature of the applicant )
*Omit if not applicable
Form 905
Registration no:
Corporations Act 2001
PARTICULARS OF CESSATION OR CHANGE RELATING TO A PERSON REGISTERED AS AN AUDITOR UNDER SUBSECTION 1287(1)


Surname	First or given names


Residential address

*1. CESSATION
On ( insert date ) , I ceased to practise as an auditor. I request ASIC to exercise its discretion under subsection 1290(1) and cancel my registration as an auditor.
*2. CHANGE OF NAME
On ( insert date ) , I changed my name
from:
to:
*3. CHANGE IN OTHER PARTICULARS
*On ( insert date ) , the full address of the principal place at which I practise was changed from:
to: ( insert full address )
*On ( insert date ) , the full address of a place at which I practise was changed from:
to: ( insert full address )
*On ( insert date ) , I commenced to practise at: ( insert full address )
*On ( insert date ) , I commenced to practise under a name and style other than my own at: ( insert full address )
*On ( insert date ) , I ceased to practise at: ( insert full address )
*On ( insert date ) , the *name/*address of a firm of which I am *a member/*an employee was changed from:
to:
*On ( insert date ) , I became *a member/*an employee of: ( insert name and full address )
*On ( insert date ) , I ceased to be *a member/*an employee of: ( insert name and full address )
*On ( insert date ) , a name or style other than my own under which I practise was changed from:
to:
Dated: ( insert date )
(signature of the registered company auditor)
* Omit if not applicable
Form 905A
Registration no:
Corporations Act 2001

PARTICULARS OF CESSATION OR CHANGE RELATING TO A PERSON REGISTERED
*AS A LIQUIDATOR UNDER SUBSECTION 1287(2)
*AS A LIQUIDATOR OF A SPECIFIED BODY CORPORATE UNDER SUBSECTION 1287(3)


Surname	First or given names


Residential address


Name of specified body corporate and Australian Company Number

*1. CESSATION
On ( insert date ) , *I ceased to practise as a liquidator/*I ceased to act as a liquidator of the specified body corporate. I request the Commission to exercise its discretion under subsection 1290 (1) and cancel my registration as*a liquidator/*a liquidator of the body corporate and *an official liquidator.
*2. CHANGE OF NAME
On ( insert date ) , I changed my name
from:
to:
*3. CHANGE IN OTHER PARTICULARS
*On ( insert date ) , the full address of the principal place at which I practise as*liquidator/*liquidator of the specified body corporate was changed
from:
to: ( insert full address )
*On ( insert date ) , the full address of a place at which I practise as*liquidator/*liquidator of the specified body corporate was changed
from:
to: ( insert full address )
*On ( insert date ) , I commenced to practise as *liquidator/ *liquidator of the specified body corporate
at: ( insert full address )
*On ( insert date ) , I commenced to practise as *liquidator/ *liquidator of the specified body corporate under a name and style other than my own
at: ( insert full address )
*On ( insert date ) , I ceased to practise as *liquidator/*liquidator of the specified body corporate
at: ( insert full address )
*On ( insert date ) , the *name/*address of a firm of which I am *a member/*an employee was changed
from:
to:
*On ( insert date ) , I became *a member/*an employee
of: ( insert name and full address )
*On ( insert date ) , I ceased to be *a member/*an employee
of: ( insert name and full address )
*On ( insert date ) , a name or style other than my own under which I practise as*liquidator/*liquidator of the specified body corporate was changed
from:
to:
Dated ( insert date )
(signature of the *registered liquidator/*liquidator of specified body corporate)
* Omit if not applicable

Form 910
Section 1313
Corporations Act 2001

PENALTY NOTICE
To ( insert name of person alleged to have committed offence and, if a corporation, its Australian Company Number or its Australian Registered Body Number )
1. It is alleged that at (insert place) on (insert date) you committed an offence under or in relation to (insert provision under or in relation to which the offence is alleged to have been committed) because you (set out particulars of alleged offence, including description of alleged conduct constituting the offence. Where applicable, include the name and Australia Company Number or Australian Registered Body Number of any corporation in connection with which the offence is alleged to have been committed).
This offence is a prescribed offence.
2. Prescribed penalty: $
Payable to: ( insert name and address of the office of the Australian Securities and Investments Commission )
*3. APPLIES IF THE PENALTY NOTICE RELATES TO AN OFFENCE CONSTITUTED BY A FAILURE TO DO A PARTICULAR ACT OR THING
Take notice that:
(a) the obligation to ( see Note below ) continues, despite the service of this notice or the payment of the prescribed penalty; and
(b) if, within 21 days after the date of service of this notice, you:
(i) pay the prescribed penalty to the authority specified in paragraph 2; and
(ii) ( see Note below );
no further action will be taken against you in relation to the offence described in paragraph 1; and
(c) if, at the end of 21 days after the date of service of this notice, you:
(i) have not paid the prescribed penalty to the authority specified in paragraph 2; or
(ii) have not ( see Note below );
proceedings may be instituted against you.
*3. APPLIES IF THE PENALTY NOTICE RELATES TO AN OFFENCE OTHER THAN ONE CONSTITUTED BY A FAILURE TO DO A PARTICULAR ACT OR THING
Take notice that if, within 21 days after the date of service of this notice, you pay the prescribed penalty to the authority specified in paragraph 2, no further action will be taken against you in relation to the offence described in paragraph 1.
If, at the end of 21 days after the date of service of this notice, you have not paid the prescribed penalty to the authority specified in paragraph 2, proceedings may be instituted against you.
4. Payment of the penalty is not an admission of liability: see subsection 1313(6).
Given by on behalf of the Australian Securities and Investments Commission at on
* Omit if not applicable
Note: insert a description of the particular act or thing that the person allegedly failed to do in committing the alleged offence.

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