Commonwealth Numbered Regulations

1989 No. 371 FUTURES INDUSTRY REGULATIONS (AMENDMENT) - SCHEDULE

                         SCHEDULE                          Regulation 4

                       FUTURES INDUSTRY FORM 10A            Subsections 78F
(2)
and
(3) Subregulation 22B (1)                        Futures Industry Act 1986

NOTICE OF *PLACE/*CHANGE OF PLACE WHERE REGISTER OF HOLDERS OF PROPER
AUTHORITIES IS KEPT Note: Before completing this notice please read carefully
the "Directions for completing Form 10A" at the end of this form

*1. The surname and other names of the person keeping the register are: and in
this notice that person is referred to as "the register keeper" (if the
register keeper holds the licence referred to in item 2 under another name,
that name should be specified in this item).

*1. The name of the body corporate keeping the register is: and in this notice
is referred to as "the register keeper". 2. The licence held by the register
keeper is a *futures brokers/*futures advisers licence and its number is: 3.
The full address (including the State or Territory and postcode) of the
principal place at which the business of the register keeper is carried on is:
4. The register has been kept since: (insert date on which the keeping of the
register began).

*5. The register is kept at:

*5. On / /19 the place, at which the register was kept changed
from:
to:
  Dated          19 .

(Signature of *the register keeper/*director/*secretary/*principal
executive officer of the register
keeper)
DIRECTIONS FOR COMPLETING FORM 10A Persons who must lodge notice
1. The notice must be lodged by licensed futures brokers and futures advisers:

   (a)  within 14 days after establishing a register under section 78E of the
        Act; and

   (b)  as soon as practicable after changing the place at which the register
        is kept; in accordance with subsection 78F (2) or (3) of the Act.
        Omission of inapplicable matter prefixed by an asterisk
2. Inapplicable matter in a notice that is prefixed by the symbol "*" is to be
omitted. Separate annexures to be used where insufficient space on notices
3. If there is insufficient space on a notice 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 5.
                           FUTURES INDUSTRY FORM 10B         Subsections 78F
(4) and (6)
Subregulation 22B (2)                            Futures Industry Act 1986

NOTICE OF *HOLDING/*CEASING TO HOLD A PROPER AUTHORITY Note: Before completing
this notice please read carefully the "Directions for completing Form 10B" at
the end of this form

*1. The surname and other names of the person keeping the register are: and in
this notice that person is referred to as "the register keeper" (if the
register keeper holds the licence referred to in item 3 under another name,
that name should be specified in this item).

*1. The name of the body corporate keeping the register is: and in this notice
is referred to as "the register keeper". 2. The full address (including the
State or Territory and postcode) of the principal place at which the business
of the licensee is carried on is: 3. The licence held by the register keeper
is a *futures brokers/*futures advisers licence and its number is: 4. The
surname and other names of the person *holding/*ceasing to hold a proper
authority from the register keeper are: and in this notice that person is
referred to as "the representative". 5. On
/ /19 the representative *commenced to hold a proper authority/*ceased to hold
a proper authority.
Dated          19 .

(Signature of *the register keeper/*director/*secretary/*principal
executive officer of the register
keeper)
DIRECTIONS FOR COMPLETING FORM 10B Persons who must lodge notice
1. The notice must be lodged by licensed futures brokers and futures advisers
within 2business days after the day on which a person:

   (a)  begins to hold a proper authority; or

   (b)  ceases to hold a proper authority; in accordance with subsection 78F
        (4) or (6) of the Act. Copy of proper authority to be lodged with
        notice
2. Paragraph 78F (4) (a) of the Act requires a copy of the proper authority
relating to a notice to be lodged with the notice. Omission of inapplicable
matter prefixed by an asterisk
3. Inapplicable matter in a notice that is prefixed by the symbol "*" is to be
omitted. Separate annexures to be used where insufficient space on notices
4. If there is insufficient space on a notice 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 5.
                           FUTURES INDUSTRY FORM 10C          Subsection 78F

(5) Subregulation 22B (3)                            Futures Industry Act
1986  NOTICE OF PARTICULARS OF HOLDERS OF PROPER AUTHORITIES TO BE ENTERED IN
REGISTER OF HOLDERS OF PROPER AUTHORITIES Note: Before completing this notice
please read carefully the "Directions for completing Form 10C" at the end of
this form

*1. The surname and other names of the person keeping the register are: and in
this notice that person is referred to as "the register keeper" (if the
register keeper holds the licence referred to in item 3 under another name,
that name should be specified in this item).

*1. The name of the body corporate keeping the register is: and in this notice
is referred to as "the register keeper". 2. The full address (including the
State or Territory and postcode) of the principal place at which the business
of the register keeper is carried on is: 3. The licence held by the register
keeper is a *futures brokers/*futures advisers licence and its number is: 4.
The surname and other names of the person holding a proper authority from the
register keeper are: and in this notice that person is referred to as "the
representative". 5. On
/ /19 the representative commenced to hold a proper authority. 6. The full
residential address of the representative (including the State or Territory
and postcode) is: 7. The full address (where this is not the address of the
register keeper), including the State or Territory and postcode, at which the
representative carries on business is: 8. The above information has been, or
is to be, entered in the register.
Dated          19 .

(Signature of *the register keeper/*director/*secretary/*principal
executive officer of the register
keeper)
DIRECTIONS FOR COMPLETING FORM 10C Persons who must lodge notice
1. The notice must be lodged by futures brokers and futures advisers within 2
business days after:

   (a)  a person begins to hold a proper authority from the record keeper; or

   (b)  the record keeper receives the information; whichever happens last, in
        accordance with subsection 78F (5) of the Act. Omission of
        inapplicable matter prefixed by an asterisk
2. Inapplicable matter in a notice that is prefixed by the symbol "*" is to be
omitted. Separate annexures to be used where insufficient space on notices
3. If there is insufficient space on a notice 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 5.