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

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)