Australian Securities and Investments Commission Regulations 1990

Schedule 1 Forms

(regulation 2)

Form 1 Notice requiring appearance at an examination or reasonable assistance in connection with an investigation

(regulation 4)

Australian Securities and Investment Commission Regulations 1990

Australian Securities and Investments Commission

NOTICE REQUIRING APPEARANCE AT AN EXAMINATION OR REASONABLE ASSISTANCE IN CONNECTION WITH AN INVESTIGATION

To: 1

In relation to an investigation of 2

you are hereby notified that under subsection 19 (2) of the ASC Law you are required:

(a) to appear at 3 on

4 at

5 before 6

for examination on oath or affirmation and to answer questions put to you in relation to the investigation; and

(b) to give the Australian Securities and Investments Commission all reasonable assistance in connection with the investigation.

Please note the provisions of subsection 23 (1) of the ASC Law (relating to legal representation) and section 68 of the ASC Law (relating to self‑incrimination). The effect of those provisions is set out at the end of this form.

Dated 4.

Signature of person authorised

by the Commission to conduct the

examination:

NOTICE OF RELEVANT STATUTORY PROVISIONS

1. Subsection 23 (1) of the ASC Law provides that a person who is required to submit to an examination is entitled to have his or her lawyer attend the examination. It also provides that the person’s lawyer may address the inspector or ask the person questions about matters raised with the person by the inspector.

2. (1) You must not fail to comply with this notice without reasonable excuse (see subsection 63 (1) of the ASC Law).

(2) It is not a reasonable excuse for failure to comply with this notice that giving information or signing a record or producing a book might tend to incriminate you or expose you to a penalty (see subsection 68 (1) of the ASC Law).

(3) However, if:

(a) before making an oral statement or signing a record in answer to this notice you claim that making the statement or signing the record might tend to incriminate you or expose you to a penalty; and

(b) making the statement or signing the record might in fact tend to incriminate you or expose you to a penalty;

the statement, or the fact that you have signed the record, is not admissible in evidence in any criminal proceedings, or proceedings for the imposition of a penalty, against you other than proceedings in respect of the falsity of the statement or the record.

(4) The right to make a claim of this kind is not available to a body corporate (see subsections 68 (2) and (3) of the ASC Law).

Note: 1 insert full name and address of the person to whom the notice is to be given

Note: 2 insert the nature of the matter to which the investigation relates

Note: 3 insert time of day

Note: 4 insert date

Note: 5 insert full particulars of the address of the place at which the requirement is to be satisfied

Note: 6 insert full name of the person conducting the examination

Form 2 Notice requiring the production of books

(regulation 5)

Australian Securities and Investment Commission Regulations 1990

Australian Securities and Investments Commission

NOTICE REQUIRING THE PRODUCTION OF BOOKS

To: 1

In relation to 2

you are hereby notified that, under section 303/subsection 31 (1)3/subsection 32 (1)3/section 32A3/section 333 of the ASC Law you are required to produce to

4 at 5

on 6 at 7

the following books:

8

Dated 6.

Signature of the person requiring

the production of books:

Note: 1 insert full name and address of the person to whom the notice is to be given

Note: 2 insert the nature of the matter to which the request for production of books relates

Note: 3 strike out or delete if inapplicable

Note: 4 insert the full name of the person to whom the books are to be produced

Note: 5 insert time of day

Note: 6 insert date

Note: 7 insert full particulars of the address of the place at which the books are to be produced

Note: 8 insert description(s) of the books that are to be produced

Form 3 Summons to witness

(regulations 7, 11 and 42)

Australian Securities and Investment Commission Regulations 1990

Australian Securities and Investments Commission

SUMMONS TO WITNESS

In the matter of 1

To: 2

at 4you are hereby summoned to appear before the Australian Securities and Investments Commission3/Corporations and Securities Panel3/Companies Auditors and Liquidators Disciplinary Board3

on 5

at 6 and thereafter to attend from day to day until the hearing in this matter is completed or you are excused or released from further attendance by a member of the Commission3/Panel3/Board3.

3You are required to produce the following document(s) at the hearing:

7

Dated 4.

Signature of person authorised by

the Commission3/Panel3/Board3 to issue summons:

Note: 1 insert description of matter

Note: 2 insert full name and address of the person to be summoned to appear

Note: 3 strike out or delete if inapplicable

Note: 4 insert time of day

Note: 5 insert date

Note: 6 insert full particulars of the address of the place where the hearing is to be held

Note: 7 insert description(s) of the documents that are to be produced at the hearing

Schedule 2 Witnesses fees and allowances for expenses

(regulations 8, 12 and 43)

1. A person summoned to appear as a witness, because of his or her professional, scientific or other special skill or knowledge, before the Commission, the Panel or the Board must be paid:

(a) if the person is remunerated in his or her occupation by wages, salary or fees — an amount equal to the amount of wages, salary or fees not paid to the person because of his or her attendance for that purpose; and

(b) in any other case — an amount of not less than $81, or more than $407, for each day on which he or she so attends.

2. A person summoned to appear as a witness, other than a witness referred to in item 1, before the Commission, the Panel or the Board must be paid:

(a) if the person is remunerated in his or her occupation by wages, salary or fees — an amount equal to the amount of wages, salary or fees not paid to the person because of his or her attendance for that purpose; and

(b) in any other case — an amount of not less than $46, or more than $76, for each day on which he or she so attends.

3. A person summoned to appear as a witness before the Commission, the Panel or the Board must be paid a reasonable amount for allowances for:

(a) transport between the usual place of residence of the person and the place that he or she attends for that purpose; and

(b) if he or she is required to be absent overnight from his or her usual place of residence — meals and accommodation during the absence.

Schedule 3 Bodies corporate to which information may be disclosed

(regulation 8A)

ASX Futures Exchange Pty Ltd

ASX Settlement and Transfer Corporation Pty Ltd

Australian Stock Exchange Limited

Options Clearing House Pty Limited

Sydney Futures Exchange Clearing House Pty Limited

Sydney Futures Exchange Limited

Schedule 1 Forms

(regulation 2)

Form 1 Notice requiring appearance at an examination or reasonable assistance in connection with an investigation

(regulation 4)

Australian Securities and Investment Commission Regulations 1990

Australian Securities and Investments Commission

NOTICE REQUIRING APPEARANCE AT AN EXAMINATION OR REASONABLE ASSISTANCE IN CONNECTION WITH AN INVESTIGATION

To: 1

In relation to an investigation of 2

you are hereby notified that under subsection 19 (2) of the ASC Law you are required:

(a) to appear at 3 on

4 at

5 before 6

for examination on oath or affirmation and to answer questions put to you in relation to the investigation; and

(b) to give the Australian Securities and Investments Commission all reasonable assistance in connection with the investigation.

Please note the provisions of subsection 23 (1) of the ASC Law (relating to legal representation) and section 68 of the ASC Law (relating to self‑incrimination). The effect of those provisions is set out at the end of this form.

Dated 4.

Signature of person authorised

by the Commission to conduct the

examination:

NOTICE OF RELEVANT STATUTORY PROVISIONS

1. Subsection 23 (1) of the ASC Law provides that a person who is required to submit to an examination is entitled to have his or her lawyer attend the examination. It also provides that the person’s lawyer may address the inspector or ask the person questions about matters raised with the person by the inspector.

2. (1) You must not fail to comply with this notice without reasonable excuse (see subsection 63 (1) of the ASC Law).

(2) It is not a reasonable excuse for failure to comply with this notice that giving information or signing a record or producing a book might tend to incriminate you or expose you to a penalty (see subsection 68 (1) of the ASC Law).

(3) However, if:

(a) before making an oral statement or signing a record in answer to this notice you claim that making the statement or signing the record might tend to incriminate you or expose you to a penalty; and

(b) making the statement or signing the record might in fact tend to incriminate you or expose you to a penalty;

the statement, or the fact that you have signed the record, is not admissible in evidence in any criminal proceedings, or proceedings for the imposition of a penalty, against you other than proceedings in respect of the falsity of the statement or the record.

(4) The right to make a claim of this kind is not available to a body corporate (see subsections 68 (2) and (3) of the ASC Law).

Note: 1 insert full name and address of the person to whom the notice is to be given

Note: 2 insert the nature of the matter to which the investigation relates

Note: 3 insert time of day

Note: 4 insert date

Note: 5 insert full particulars of the address of the place at which the requirement is to be satisfied

Note: 6 insert full name of the person conducting the examination

Form 2 Notice requiring the production of books

(regulation 5)

Australian Securities and Investment Commission Regulations 1990

Australian Securities and Investments Commission

NOTICE REQUIRING THE PRODUCTION OF BOOKS

To: 1

In relation to 2

you are hereby notified that, under section 303/subsection 31 (1)3/subsection 32 (1)3/section 32A3/section 333 of the ASC Law you are required to produce to

4 at 5

on 6 at 7

the following books:

8

Dated 6.

Signature of the person requiring

the production of books:

Note: 1 insert full name and address of the person to whom the notice is to be given

Note: 2 insert the nature of the matter to which the request for production of books relates

Note: 3 strike out or delete if inapplicable

Note: 4 insert the full name of the person to whom the books are to be produced

Note: 5 insert time of day

Note: 6 insert date

Note: 7 insert full particulars of the address of the place at which the books are to be produced

Note: 8 insert description(s) of the books that are to be produced

Form 3 Summons to witness

(regulations 7, 11 and 42)

Australian Securities and Investment Commission Regulations 1990

Australian Securities and Investments Commission

SUMMONS TO WITNESS

In the matter of 1

To: 2

at 4you are hereby summoned to appear before the Australian Securities and Investments Commission3/Corporations and Securities Panel3/Companies Auditors and Liquidators Disciplinary Board3

on 5

at 6 and thereafter to attend from day to day until the hearing in this matter is completed or you are excused or released from further attendance by a member of the Commission3/Panel3/Board3.

3You are required to produce the following document(s) at the hearing:

7

Dated 4.

Signature of person authorised by

the Commission3/Panel3/Board3 to issue summons:

Note: 1 insert description of matter

Note: 2 insert full name and address of the person to be summoned to appear

Note: 3 strike out or delete if inapplicable

Note: 4 insert time of day

Note: 5 insert date

Note: 6 insert full particulars of the address of the place where the hearing is to be held

Note: 7 insert description(s) of the documents that are to be produced at the hearing

Schedule 2 Witnesses fees and allowances for expenses

(regulations 8, 12 and 43)

1. A person summoned to appear as a witness, because of his or her professional, scientific or other special skill or knowledge, before the Commission, the Panel or the Board must be paid:

(a) if the person is remunerated in his or her occupation by wages, salary or fees — an amount equal to the amount of wages, salary or fees not paid to the person because of his or her attendance for that purpose; and

(b) in any other case — an amount of not less than $81, or more than $407, for each day on which he or she so attends.

2. A person summoned to appear as a witness, other than a witness referred to in item 1, before the Commission, the Panel or the Board must be paid:

(a) if the person is remunerated in his or her occupation by wages, salary or fees — an amount equal to the amount of wages, salary or fees not paid to the person because of his or her attendance for that purpose; and

(b) in any other case — an amount of not less than $46, or more than $76, for each day on which he or she so attends.

3. A person summoned to appear as a witness before the Commission, the Panel or the Board must be paid a reasonable amount for allowances for:

(a) transport between the usual place of residence of the person and the place that he or she attends for that purpose; and

(b) if he or she is required to be absent overnight from his or her usual place of residence — meals and accommodation during the absence.

Schedule 3 Bodies corporate to which information may be disclosed

(regulation 8A)

ASX Futures Exchange Pty Ltd

ASX Settlement and Transfer Corporation Pty Ltd

Australian Stock Exchange Limited

Options Clearing House Pty Limited

Sydney Futures Exchange Clearing House Pty Limited

Sydney Futures Exchange Limited

NOTICE REQUIRING APPEARANCE AT AN EXAMINATION OR REASONABLE ASSISTANCE IN CONNECTION WITH AN INVESTIGATION

To: 1

In relation to an investigation of 2

you are hereby notified that under subsection 19 (2) of the ASC Law you are required:

(a) to appear at 3 on

4 at

5 before 6

for examination on oath or affirmation and to answer questions put to you in relation to the investigation; and

(b) to give the Australian Securities and Investments Commission all reasonable assistance in connection with the investigation.

Please note the provisions of subsection 23 (1) of the ASC Law (relating to legal representation) and section 68 of the ASC Law (relating to self‑incrimination). The effect of those provisions is set out at the end of this form.

Dated 4.

Signature of person authorised

by the Commission to conduct the

examination:

NOTICE OF RELEVANT STATUTORY PROVISIONS

1. Subsection 23 (1) of the ASC Law provides that a person who is required to submit to an examination is entitled to have his or her lawyer attend the examination. It also provides that the person’s lawyer may address the inspector or ask the person questions about matters raised with the person by the inspector.

2. (1) You must not fail to comply with this notice without reasonable excuse (see subsection 63 (1) of the ASC Law).

(2) It is not a reasonable excuse for failure to comply with this notice that giving information or signing a record or producing a book might tend to incriminate you or expose you to a penalty (see subsection 68 (1) of the ASC Law).

(3) However, if:

(a) before making an oral statement or signing a record in answer to this notice you claim that making the statement or signing the record might tend to incriminate you or expose you to a penalty; and

(b) making the statement or signing the record might in fact tend to incriminate you or expose you to a penalty;

the statement, or the fact that you have signed the record, is not admissible in evidence in any criminal proceedings, or proceedings for the imposition of a penalty, against you other than proceedings in respect of the falsity of the statement or the record.

(4) The right to make a claim of this kind is not available to a body corporate (see subsections 68 (2) and (3) of the ASC Law).

Note: 1 insert full name and address of the person to whom the notice is to be given

Note: 2 insert the nature of the matter to which the investigation relates

Note: 3 insert time of day

Note: 4 insert date

Note: 5 insert full particulars of the address of the place at which the requirement is to be satisfied

Note: 6 insert full name of the person conducting the examination

Form 2 Notice requiring the production of books

(regulation 5)

NOTICE REQUIRING THE PRODUCTION OF BOOKS

To: 1

In relation to 2

you are hereby notified that, under section 303/subsection 31 (1)3/subsection 32 (1)3/section 32A3/section 333 of the ASC Law you are required to produce to

4 at 5

on 6 at 7

the following books:

8

Dated 6.

Signature of the person requiring

the production of books:

Note: 1 insert full name and address of the person to whom the notice is to be given

Note: 2 insert the nature of the matter to which the request for production of books relates

Note: 3 strike out or delete if inapplicable

Note: 4 insert the full name of the person to whom the books are to be produced

Note: 5 insert time of day

Note: 6 insert date

Note: 7 insert full particulars of the address of the place at which the books are to be produced

Note: 8 insert description(s) of the books that are to be produced

Form 3 Summons to witness

(regulations 7, 11 and 42)

SUMMONS TO WITNESS

In the matter of 1

To: 2

at 4you are hereby summoned to appear before the Australian Securities and Investments Commission3/Corporations and Securities Panel3/Companies Auditors and Liquidators Disciplinary Board3

on 5

at 6 and thereafter to attend from day to day until the hearing in this matter is completed or you are excused or released from further attendance by a member of the Commission3/Panel3/Board3.

3You are required to produce the following document(s) at the hearing:

7

Dated 4.

Signature of person authorised by

the Commission3/Panel3/Board3 to issue summons:

Note: 1 insert description of matter

Note: 2 insert full name and address of the person to be summoned to appear

Note: 3 strike out or delete if inapplicable

Note: 4 insert time of day

Note: 5 insert date

Note: 6 insert full particulars of the address of the place where the hearing is to be held

Note: 7 insert description(s) of the documents that are to be produced at the hearing

Schedule 2 Witnesses fees and allowances for expenses

(regulations 8, 12 and 43)

1. A person summoned to appear as a witness, because of his or her professional, scientific or other special skill or knowledge, before the Commission, the Panel or the Board must be paid:

(a) if the person is remunerated in his or her occupation by wages, salary or fees — an amount equal to the amount of wages, salary or fees not paid to the person because of his or her attendance for that purpose; and

(b) in any other case — an amount of not less than $81, or more than $407, for each day on which he or she so attends.

2. A person summoned to appear as a witness, other than a witness referred to in item 1, before the Commission, the Panel or the Board must be paid:

(a) if the person is remunerated in his or her occupation by wages, salary or fees — an amount equal to the amount of wages, salary or fees not paid to the person because of his or her attendance for that purpose; and

(b) in any other case — an amount of not less than $46, or more than $76, for each day on which he or she so attends.

3. A person summoned to appear as a witness before the Commission, the Panel or the Board must be paid a reasonable amount for allowances for:

(a) transport between the usual place of residence of the person and the place that he or she attends for that purpose; and

(b) if he or she is required to be absent overnight from his or her usual place of residence — meals and accommodation during the absence.

Schedule 3 Bodies corporate to which information may be disclosed

(regulation 8A)

ASX Futures Exchange Pty Ltd

ASX Settlement and Transfer Corporation Pty Ltd

Australian Stock Exchange Limited

Options Clearing House Pty Limited

Sydney Futures Exchange Clearing House Pty Limited

Sydney Futures Exchange Limited