Division 1 of Part 5.9 of the Corporations Act apply, with any
necessary adaptations, to an examination or an investigation under
paragraph 411(9)(b), section 423 or subsection 536(3) of the
11.3 Application for examination summons (Corporations Act
s 596A, s 596B) – Form 17
(1) An application for the issue of an examination summons must be
made by filing an interlocutory process or an originating process, as
the case requires.
(2) The application may be made without notice to any person.
(3) The originating process, or interlocutory process, seeking the issue
of the examination summons must be:
(a) supported by an affidavit stating the facts in support of the
(b) accompanied by a draft examination summons.
(4) The originating process, or interlocutory process, and supporting
affidavit must be filed in a sealed envelope marked, as appropriate:
(a) "Application and supporting affidavit for issue of summons for
examination under section 596A of the Corporations
Act 2001"; or
(b) "Application and supporting affidavit for issue of summons for
examination under section 596B of the Corporations
Act 2001".
(5) If the application is not made by the liquidator, the liquidator must
be given notice of the application and, if required by the liquidator,
served with a copy of the originating process, or interlocutory
process, and the supporting affidavit.
(6) If the application is not made by ASIC, ASIC must be given notice
of the application and, if required by ASIC, served with a copy of
the originating process, or interlocutory process, and the supporting
affidavit.
Corporations Law Rules 2000 41
(7) Unless the Court otherwise orders, an affidavit in support of an
application for an examination summons is not available for
inspection by any person.
(8) An examination summons is to be in accordance with Form 17.
11.4 Service of examination summons
An examination summons issued by the Court must be personally
served, or served in any other manner as the Court may direct, on
the person who is to be examined at least 8 days before the date
fixed for the examination.
11.5 Discharge of examination summons
(1) This rule applies if a person is served with an examination
summons.
(2) Within 3 days after the person is served with the examination
summons, the person may apply to the Court for an order
discharging the summons by filing:
(a) an interlocutory process seeking an order discharging the
summons; and
(b) an affidavit stating the facts in support of the interlocutory
process.
(3) As soon as practicable after filing the interlocutory process seeking
the order and the supporting affidavit, the person must serve a copy
of the interlocutory process and the supporting affidavit on:
(a) the person who applied for the examination; and
(b) unless that person is ASIC or a person authorised by ASIC –
ASIC.
11.6 Filing of record of examination (Corporations Act s 597(13))
If the Court makes an order in relation to an examination under
subsection 597(13) of the Corporations Act, the Court may give
directions for the filing of the written record of the examination.
Corporations Law Rules 2000 42
11.7 Authentication of transcript of examination (Corporations Act
s 597(14))
For the purposes of subsection 597(14) of the Corporations Act, a
transcript of an examination may be authenticated:
(a) by the person, or persons, who prepared the record of
examination, or under whose supervision the record was
prepared, certifying in writing signed by the person or persons,
that the record is a true transcript of the record of examination;
or
(b) by any person present at the examination, or any part of the
examination, signing the person's name at the bottom of each
page of the written record that records a part of the
examination at which the person was present.
11.8 Inspection of record or transcript of examination or
investigation under s 411, s 423 or s 536 of the Corporations
Act
(1) A written record or transcript of an examination or investigation
under section 411, 423 or 536 is not available for inspection by any
person except:
(a) with the consent of the liquidator (if any) or ASIC; or
(b) by leave of the Court.
(2) This rule does not apply to the liquidator, ASIC or any person
authorised by ASIC.
11.9 Entitlement to record or transcript of examination held in
public
(1) This rule applies if:
(a) an examination under section 597 of the Corporations Act is
held wholly or partly in public; and
(b) a written record or transcript of the examination is filed in the
(2) The person examined may apply to the Registrar, within 3 years
after the date of completion of the examination, for a copy of the
record or transcript of the part of the examination of the person held
in public.
Corporations Law Rules 2000 43
(3) On receiving an application from a person under subrule (2), and
any applicable fee, the Registrar must give a copy of the record or
transcript to the person.
11.10 Default in relation to examination
(1) This rule applies if a person is summoned or ordered by the Court
to attend for examination, and:
(a) without reasonable cause, the person:
(i) fails to attend at the time and place appointed; or
(ii) fails to attend from day to day until the conclusion of the
examination; or
(iii) refuses or fails to take an oath; or
(iv) refuses or fails to answer a question that the Court
directs the person to answer; or
(v) refuses or fails to produce books that the summons
requires the person to produce; or
(vi) fails to comply with a requirement by the Court to sign a
written record of the examination; or
(b) before the day fixed for the examination, the person who
applied for the summons or order satisfies the Court that there
is reason to believe that the person summoned or ordered to
attend for examination has absconded or is about to abscond.
(2) The Court may:
(a) issue a warrant for the arrest of the person summoned or
ordered to attend for examination; and
(b) make any other orders that the Court thinks just or necessary.
11.11 Service of application for order in relation to breaches etc by
person concerned with corporation (Corporations Act s 598)
(1) This rule applies to a person applying for an order under
section 598 of the Corporations Act.
Division 12 Takeovers, acquisitions of shares etc. (Corporations Act Chapters 6 to 6B)
and Securities (Corporations Act Chapter 7)
Corporations Law Rules 2000 44
(2) In addition to complying with rules 2.7 and 2.8, the person must
serve a copy of the originating process, or interlocutory process, as
the case requires, and the supporting affidavit on any liquidator or
provisional liquidator (except if the person is the liquidator or
provisional liquidator) of the corporation or body.
Note
Under rule 2.7, a plaintiff must serve a copy of the originating process, and any
supporting affidavit, on a defendant to the proceeding and, if necessary, on the
corporation to which the proceeding relates; and an applicant must serve a copy
of an interlocutory process, and any supporting affidavit, on a respondent to the
proceeding and, if necessary, on the corporation to which the proceeding relates.
In certain cases, these documents may also be required to be served on ASIC –
see rule 2.8.
Division 11A Warrants (Corporations Act s 486B and Part 5.4B,
Division 3, Subdivision B)
11A.1 Arrest of person (Corporations Act s 486B) – Form 17A
(1) An application for the issue of a warrant under subsection 486B(1)
of the Corporations Act for the arrest of a person must state the
grounds for the issue of the warrant.
(2) The application must be accompanied by an affidavit stating the
facts in support of the application.
(3) The warrant must be in accordance with Form 17A.
(4) If a person is arrested under the warrant, the person who carried
out the arrest must immediately give notice of the arrest to the
Registrar.
Note for rule 11A.1
Sections 489A to 489E of the Corporations Act, inserted by the Corporations
Amendment (Insolvency) Act 2007, apply in relation to a warrant issued on or
after 31 December 2007 – see Corporations Act s 1481(3).
Division 12 Takeovers, acquisitions of shares etc.
(Corporations Act Chapters 6 to 6B) and Securities
(Corporations Act Chapter 7)
12.1 Service on ASIC in relation to proceedings under Chapter 6,
6A, 6B, 6C, 6D or 7 of the Corporations Act
If ASIC is not a party to an application made under Chapter 6, 6A,
6B, 6C, 6D or 7 of the Corporations Act, the plaintiff must serve a
copy of the originating process and the supporting affidavit on ASIC
as soon as practicable after filing the originating process.
Division 12 Takeovers, acquisitions of shares etc. (Corporations Act Chapters 6 to 6B)
and Securities (Corporations Act Chapter 7)
Corporations Law Rules 2000 45
12.1A Reference to Court of question of law arising in proceeding
before Takeovers Panel (Corporations Act s 659A)
Order 64 of the Supreme Court Rules 1987 applies, with any
necessary adaptations, to a reference of a question of law arising in
a proceeding before the Takeovers Panel to the Court under
section 659A of the Corporations Act.
12.1B Notification to Court where proceeding is commenced before
end of takeover bid period (Corporations Act s 659B)
(1) This rule applies to a party to a proceeding who suspects or
becomes aware that:
(a) the proceeding was commenced in relation to a takeover bid,
or proposed takeover bid, before the end of the bid period;
and
(b) the proceeding falls within the definition court proceedings in
relation to a takeover bid or proposed takeover bid in
section 659B(4) of the Corporations Act.
(2) The party identified in subrule (1) must, immediately on suspecting
or becoming aware of the matters mentioned in subrule (1), notify
any other party to the proceeding and the Court of that suspicion or
knowledge.
(3) The party must comply with subrule (2), unless any other party to
the proceeding has given a notice under this rule to the party.
12.2 Application for summons for appearance of person
(Corporations Act s 1071D(4)) – Form 18
(1) An application for the issue of a summons under section 1071D(4)
of the Corporations Act must be made by filing an originating
process or an interlocutory process.
(2) The application may be made ex parte.
(3) The originating process, or interlocutory process, seeking the issue
of the summons must be:
(a) supported by an affidavit stating the facts in support of the
(b) accompanied by a draft summons.
(4) Unless the Court otherwise orders, a summons issued under this
rule is to be in accordance with Form 18.
Corporations Law Rules 2000 46
12.3 Application for orders relating to refusal to register transfer or
transmission of securities (Corporations Act s 1071F)
As soon as practicable after filing an originating process under
section 1071F of the Corporations Act, the plaintiff must serve a
copy of the originating process and the supporting affidavit on:
(a) the company; and
(b) any person against whom an order is sought.
14.1 Appeal from act, omission or decision of administrator,
receiver or liquidator, etc (Corporations Act s 554A, s 1321)
(1) All appeals to the Court authorised by the Corporations Act must be
commenced by an originating process, or interlocutory process,
stating:
(a) the act, omission or decision complained of;
(b) in the case of an appeal against a decision – whether the
whole or part only and, if part only, which part of the decision
is complained of; and
(c) the grounds on which the complaint is based.
(2) Unless the Corporations Act or the Corporations Regulations
otherwise provide, the originating process, or interlocutory process,
must be filed within:
(a) 21 days after the date of the act, omission or decision
appealed against; or
(b) any further time allowed by the Court.
(3) The Court may extend the time for filing the originating process, or
interlocutory process, either before or after the time for filing expires
and whether or not the application for extension is made before the
time expires.
(4) As soon as practicable after filing the originating process, or
interlocutory process, and, in any case, at least 5 days before the
date fixed for hearing, the person instituting the appeal must serve
a copy of the originating process, or interlocutory process, and any
supporting affidavit, on each person directly affected by the appeal.
Corporations Law Rules 2000 47
(5) As soon as practicable after being served with a copy of the
originating process, or interlocutory process, and any supporting
affidavit, a person whose act, omission or decision is being
appealed against must file an affidavit:
(a) stating the basis on which the act, omission or decision was
done or made; and
(b) annexing or exhibiting a copy of all relevant documents that
have not been put in evidence by the person instituting the
appeal.
Division 15 Proceedings under the ASIC Act
15.1 Reference to Court of question of law arising at hearing of
ASIC (ASIC Act s 61)
Order 64 of the Supreme Court Rules 1987 applies, with any
necessary adaptations, to a reference of a question of law arising at
a hearing by ASIC to the Court under section 61 of the ASIC Act.
15.3 Application for inquiry (ASIC Act s 70, s 201, s 219)
An application for an inquiry under subsection 70(3), 201(3)
or 219(7) of the ASIC Act must be made by filing an originating
process seeking an inquiry and orders under the relevant section.
Division 15A Proceedings under the Cross-Border
Insolvency Act
15A.1 Application of this Division and other rules of the Court
Unless the Court otherwise orders:
(a) this Division applies to a proceeding in the Court, under the
Cross-Border Insolvency Act, involving a debtor other than an
individual; and
(b) the rules in the other Divisions of these Rules, and the rules in