Chapter 1 of the Supreme Court Rules 1987, apply to a
proceeding in the Court under the Cross-Border Insolvency
Act if they are relevant and not inconsistent with this Division.
Note
See rule 1.5 for definitions Cross-Border Insolvency Act and Model Law.
Corporations Law Rules 2000 48
15A.2 Expressions used in the Cross-Border Insolvency Act
(1) Unless the contrary intention appears, an expression that is used in
this Division and in the Cross-Border Insolvency Act, whether or not
a particular meaning is given to the expression by the Cross-Border
Insolvency Act, has the same meaning in this Division as it has in
the Cross-Border Insolvency Act.
Note
The following expressions used in this Division (including in the notes to this
Division) are defined in the Model Law as having the following meanings:
establishment means any place of operations where the debtor carries out a
non-transitory economic activity with human means and goods or services.
foreign court means a judicial or other authority competent to control or
supervise a foreign proceeding.
foreign main proceeding means a foreign proceeding taking place in the State
where the debtor has the centre of its main interests.
foreign non-main proceeding means a foreign proceeding, other than a foreign
main proceeding, taking place in a State where the debtor has an establishment
within the meaning of subparagraph (f) of the present article.
foreign proceeding means a collective judicial or administrative proceeding in a
foreign State, including an interim proceeding, pursuant to a law relating to
insolvency in which proceeding the assets and affairs of the debtor are subject to
control or supervision by a foreign court, for the purpose of reorganization or
liquidation.
foreign representative means a person or body, including one appointed on an
interim basis, authorized in a foreign proceeding to administer the reorganization
or the liquidation of the debtor’s assets or affairs or to act as a representative of
the foreign proceeding.
(2) This Division is to be interpreted in a manner that gives effect to the
Cross-Border Insolvency Act.
15A.3 Application for recognition
(1) An application by a foreign representative for recognition of a
foreign proceeding under article 15 of the Model Law must be made
by filing an originating process in accordance with Form 2.
(2) The originating process must:
(a) be accompanied by the statements referred to in article 15 of
the Model Law and in section 13 of the Cross-Border
Insolvency Act; and
(b) name the foreign representative as the plaintiff and the debtor
as the defendant; and
Corporations Law Rules 2000 49
(c) be accompanied by an affidavit verifying the matters
mentioned in paragraphs 2 and 3 of article 15 of the Model
Law and in section 13 of the Cross-Border Insolvency Act.
(3) When filing the originating process, the foreign representative must
file, but need not serve, an interlocutory process seeking directions
as to service, and the Court may give any directions about service,
and make any incidental orders, that it thinks just.
(4) The plaintiff must serve a copy of the originating process and the
other documents mentioned in subrule (2):
(a) unless the Court otherwise orders, in accordance with
subrule 2.7(1); and
(b) on any other persons the Court may direct at the hearing of
the interlocutory process.
(5) A person who intends to appear before the Court at the hearing of
an application for recognition must file and serve the documents
15A.4 Application for provisional relief under article 19 of the Model
Law
(1) Any application by the plaintiff for provisional relief under article 19
of the Model Law must be made by filing an interlocutory process in
(2) Unless the Court otherwise orders, the interlocutory process and
any supporting affidavit must be served in accordance with
subrule 2.7(2).
15A.5 Official liquidator's consent to act
If an application is made for an order under article 19 or 21 of the
Model Law to entrust the administration, realisation or distribution of
all or part of the debtor's assets to a person designated by the
Court (other than the foreign representative) then, unless the Court
otherwise orders, the person must:
(a) be an official liquidator; and
(b) have filed a Consent to Act, in accordance with Form 19, that
specifies an address for service for the person within
Australia.
Corporations Law Rules 2000 50
15A.6 Notice of filing of application for recognition
(1) Unless the Court otherwise orders, the plaintiff in a proceeding
mentioned in rule 15A.3 must:
(a) send a notice of the filing of the application in accordance with
Form 20 to each person whose claim to be a creditor of the
defendant is known to the plaintiff; and
(b) publish a notice of the filing of the application for recognition of
a foreign proceeding in accordance with Form 20, in
accordance with rule 2.11.
(2) The Court may direct the plaintiff to publish a notice in accordance
with Form 20 in a daily newspaper circulating generally in any State
or Territory not described in rule 2.11.
15A.7 Notice of order for recognition, withdrawal etc
(1) If the Court makes an order for recognition of a foreign proceeding
under article 17 of the Model Law, or makes any order under
article 19 or 21 of the Model Law, the plaintiff must, as soon as
practicable after the order is made, do all of the following:
(a) have the order entered;
(b) serve a copy of the entered order on the defendant;
(c) send a notice of the making of the order in accordance with
Form 21 to each person whose claim to be a creditor of the
defendant is known to the plaintiff;
(d) publish a notice of the making of the order in accordance with
Form 21, in accordance with rule 2.11.
(2) The Court may direct the plaintiff to publish the notice in
accordance with Form 21 in a daily newspaper circulating generally
(3) If the application for recognition is withdrawn or dismissed, the
plaintiff must, as soon as practicable, do all of the following:
(a) for a dismissal, have the order of dismissal entered;
(b) serve a copy of the entered order of dismissal or notice of the
withdrawal, on the defendant;
(c) send a notice of the dismissal or withdrawal in accordance
with Form 22 to each person whose claim to be a creditor of
the defendant is known to the plaintiff;
Corporations Law Rules 2000 51
(d) publish a notice of the dismissal or withdrawal in accordance
with Form 22, in accordance with rule 2.11.
(4) The Court may direct the plaintiff to publish the notice in
accordance with Form 22 in a daily newspaper circulating generally
15A.8 Relief after recognition
(1) If the Court has made an order for recognition of a foreign
proceeding, any application by the plaintiff for relief under
paragraph 1 of article 21 of the Model Law must be made by filing
an interlocutory process, and any supporting affidavit, in
(2) Unless the Court otherwise orders, an interlocutory process under
subrule (1) and any supporting affidavit must be served, in
accordance with subrule 2.7(2), but on the following persons:
(a) the defendant;
(b) any person that the Court directed be served with the
originating process by which the application for recognition
was made;
(c) any other person that the Court directs.
(3) A person who intends to appear before the Court at the hearing of
an application under subrule (1) must file and serve the documents
15A.9 Application to modify or terminate an order for recognition or
other relief
(1) This rule applies to:
(a) an application under paragraph 4 of article 17 of the Model
Law for an order modifying or terminating an order for
recognition of a foreign proceeding; and
(b) an application under paragraph 3 of article 22 of the Model
Law for an order modifying or terminating relief granted under
article 19 or 21 of the Model Law.
(2) An application mentioned in subrule (1) must be made by filing an
interlocutory process in accordance with Form 3.
Corporations Law Rules 2000 52
(3) An interlocutory process for an application under subrule (1) and
any supporting affidavit must be served on:
(a) for an application under paragraph (1)(a) – the defendant and
other persons who were served with, or filed a notice of
appearance in relation to, the application for recognition; and
(b) for an application under paragraph (1)(b) – the defendant and
other persons who were served with, or filed a notice of
appearance in relation to, the application for relief under
article 19 or 21.
(4) Unless the Court otherwise orders, a plaintiff who applies for an
order under subrule (1) must:
(a) send a notice of the filing of the application in accordance with
Form 23 to each person whose claim to be a creditor of the
defendant is known to the plaintiff; and
(b) publish a notice of the filing of the application in accordance
with Form 23, in accordance with rule 2.11.
(5) The Court may direct the applicant to publish the notice in
accordance with Form 23 in a daily newspaper circulating generally
(6) A person who intends to appear before the Court at the hearing of
an application under subrule (1) must file and serve the documents
16.1 Powers of Associate Judge
(1) An Associate Judge may hear and determine any originating
process or interlocutory process brought under these Rules, subject
to the limitations contained in rule 77.02(4) of the Supreme Court
Rules 1987.
(2) If a proceeding before an Associate Judge appears to the Associate
Judge to be proper for the decision of a Judge, the Associate Judge
may, on the application of a party or of the Associate Judge's own
motion, refer the proceeding to a Judge.
(3) Any application brought under subrule (2) is to be dealt with before
the substantive application is heard.
(4) If an Associate Judge refers a proceeding to a Judge, the Judge
may dispose of the proceeding or refer it back to an Associate
Judge with any direction that the Judge considers appropriate.
Corporations Law Rules 2000 53
(5) A Judge before whom any application is brought may direct that it,
or any issue relating to it, be heard by an Associate Judge.
16.2 Powers of Registrar
(1) An Associate Judge may, with the approval of the Chief Justice,
direct that, during a specified period or at any time, a Registrar may
hear:
(a) a specified application;
(b) an application of a specified type; or
(c) all applications,
that an Associate Judge may hear.
(2) If a proceeding before a Registrar appears to the Registrar to be
proper for the decision of a Judge, the Registrar:
(a) may refer the proceeding to a Judge; or
(b) on the application of a party to the proceeding – must refer the
proceeding to a Judge.
(3) If the Registrar refers a proceeding to a Judge, the Judge may
dispose of the proceeding or refer it back to the Registrar with any
direction that the Judge considers appropriate.
16.3 Appeal
(1) A person affected by a direction, decision or order of an Associate
Judge or Registrar may appeal to the Court of Appeal under Order
85 of the Supreme Court Rules 1987.
(2) Order 85 of the Supreme Court Rules 1987 applies, with any
necessary adaptations, in relation to an appeal under this rule as if
it were an appeal in relation to a judgment given or order made by
an Associate Judge or the Registrar under Chapter 1 of the
Supreme Court Rules 1987.
17. Repeal
The Supreme Court (Corporations Law) Interim Rules 1990
(Regulations 1990, No. 51) and the Supreme Court (Companies)
Rules 1986 (Regulations 1986, No. 31 and Regulations 1988,
No. 27) are repealed.
Corporations Law Rules 2000 54
rule 1.6
Form 1 Document Title
(rule 2.1)
DIVISION: [insert if appropriate]
REGISTRY: [1]
IN THE MATTER OF [full name of corporation to which the proceeding relates
and, if applicable, the words ‘(in liquidation)', ‘(receiver appointed)', ‘(receiver
and manager appointed)', ‘(controller acting)', or ‘(administrator appointed)']
ABN or ACN or ARBN: [insert ABN or ACN or ARBN]
AB (and Others)
Plaintiff(s)
[list, in a schedule, any further plaintiffs]
CD (and Others)
Defendant(s)
[list, in a schedule, any further defendants]
Corporations Law Rules 2000 55
Form 2 Originating process
(rules 2.2 and 15A.3)
A. DETAILS OF APPLICATION
This application is made under *section/*regulation [number] of the
*Corporations Act/*ASIC Act/*Cross-Border Insolvency Act/*Corporations
[State briefly the nature of the proceeding, eg application for winding-up on
ground of insolvency; or complaint about a receiver.]
On the facts stated in the supporting affidavit(s), the plaintiff claims:
etc
AND
……………………………
Signature of plaintiff or
plaintiff's legal practitioner
This application will be heard by ……………………………………………… at
[address of Court] at ………….*am/*pm on ………………………… .
B. NOTICE TO DEFENDANT(S) (IF ANY)
TO: [name and address of each defendant (if any)]
If you or your legal practitioner do not appear before the Court at the time
shown above, the application may be dealt with, and an order made, in your
absence. As soon after that time as the business of the Court will allow, any
of the following may happen:
(a) the application may be heard and final relief given;
(b) directions may be given for the future conduct of the proceeding;
Corporations Law Rules 2000 56
(c) any interlocutory application may be heard.
Before appearing before the Court, you must file a notice of appearance, in
the prescribed form, in the Registry and serve a copy of it on the plaintiff.
Note
Unless the Court otherwise orders, a defendant that is a corporation must be represented at a
hearing by a legal practitioner. It may be represented at a hearing by a director of the
corporation only if the Court grants leave.
Omit if not applicable.
C. APPLICATION FOR WINDING UP ON GROUND OF INSOLVENCY
[Complete this section if this originating process is seeking an order
that a company be wound up in insolvency on the ground that the
company has failed to comply with a statutory demand (see
section 459Q of the Corporations Act)]
[Set out particulars of service of the statutory demand on the company and of
the failure to comply with the demand]
[Attach to this originating process a copy of the statutory demand and, if the
demand has been varied by an order made under subsection 459H(4) of the
Corporations Act because of a dispute or offsetting claim, a copy of the order
made under that subsection]
[The affidavit in support of this originating process must:
(a) verify service of the demand on the company; and
(b) verify the failure of the company to comply with the demand;
and
(c) state whether and, if so, to what extent the debt, or each of the
debts, to which the demand relates is still due and payable at
the date when the affidavit is made]
Note 1
In an application for winding up in insolvency on the ground that the company has failed to
comply with a statutory demand, the applicant should consider completing Part C of Form 2
as shown in Schedule 2 (Notes to these Rules).
Note 2
An example of the affidavit in support of an application for winding up in insolvency for failure
to comply with a statutory demand is shown in Schedule 2 (Notes to these Rules).
Corporations Law Rules 2000 57
D. FILING
Date of filing: [date of filing to be entered by Registrar]
Registrar
This originating process is filed by [name] for the plaintiff.
E. SERVICE
The plaintiff's address for service is [address of plaintiff's legal practitioner or
of plaintiff].
*It is not intended to serve a copy of this originating process on any person.
OR
*It is intended to serve a copy of this originating process on each defendant
and on any person listed below:
[name of defendant and any other person on whom a copy of the originating
process is to be served]
[Complete the following section if the time for service has been
abridged]
The time by which a copy of this originating process is to be served has been
abridged by order made by [name of Judge] on [date] to [time and date].
Corporations Law Rules 2000 58
Form 3 Interlocutory process
(rules 2.2, 15A.4, 15A.8 and 15A.9)
A. DETAILS OF APPLICATION
This application is made under *section/*regulation [number] of the
*Corporations Act/*ASIC Act/*Cross-Border Insolvency Act/*Corporations
On the facts stated in the supporting affidavit(s), the applicant, [name], applies
for the following relief:
etc
AND
……………………………
Signature of applicant making this application or
applicant's legal practitioner
This application will be heard by …………………………………… at [address
of Court] at ………….*am/*pm on ………………………… .
B. NOTICE TO RESPONDENT(S) (IF ANY)
TO: [name and address of each respondent to this interlocutory process (if
any). If applicable, also state the respondent's address for service.]
If you or your legal practitioner do not appear before the Court at the time
shown above, the application may be dealt with, and an order made, in your
absence.
Before appearing before the Court, you must, except if you have already done
so or you are the plaintiff in this proceeding, file a notice of appearance, in the
prescribed form, in the Registry and serve a copy of it on the plaintiff in the
originating process.
Note
Unless the Court otherwise orders, a respondent that is a corporation must be represented at
a hearing by a legal practitioner. It may be represented at a hearing by a director of the
corporation only if the Court grants leave.
Corporations Law Rules 2000 59
Omit if not applicable.
C. FILING
This interlocutory process is filed by [name] for the applicant.
D. SERVICE
The applicant's address for service is [address of applicant's legal practitioner
or of applicant].
*It is not intended to serve a copy of this interlocutory process on any person.
OR
*It is intended to serve a copy of this interlocutory process on each
respondent and on any person listed below:
[name of respondent and any other person on whom a copy of the
interlocutory process is to be served]
[Complete the following section if the time for service has been
abridged]
The time by which a copy of this interlocutory process is to be served has
been abridged by order made by [name of Judge] on [date] to [time and date].
Corporations Law Rules 2000 60
Form 4 Notice Of Appearance
(rule 2.9)
A. DETAILS OF PERSON INTENDING TO APPEAR
Notice is given that [state full name and address], [briefly state your interest in
the proceeding, eg a creditor for $ (amount), or a contributory, of the
corporation] intends to appear before the Court at the hearing of the
application to be heard at [name of Court and address] on [date] and, if
applicable, to *oppose/*support the application.
Note
Unless the Court otherwise orders, a defendant or respondent that is a corporation must be
represented at a hearing by a legal practitioner. It may be represented at a hearing by a
director of the corporation only if the Court grants leave.
B. GROUNDS OF OPPOSITION TO WINDING UP
[Complete this section only if you are opposing an application to wind up a
company]
The grounds on which I oppose the application for winding up are:
etc
C. SERVICE
[This section must be completed]
The address for service of the person giving this notice is [address of person's
legal practitioner or of person].
Signature of person giving notice
or of person's legal practitioner
Corporations Law Rules 2000 61
Form 5 Notice of intervention by ASIC
(rule 2.10)
The Australian Securities and Investments Commission, whose address for
service is [address], intervenes in this proceeding.
Signed on behalf of ASIC
Name of signatory: [name].
Capacity of signatory: [capacity].
Corporations Law Rules 2000 62
Form 6 Notice of hearing to approve compromise or
arrangement
(rule 3.4)
TO all the creditors and members of [name of company].
TAKE NOTICE that at . . . . . . . . *am/*pm on . . . . . . . ., the . . . . . . . . . . . . . . .
at [address of Court] will hear an application by [name of plaintiff] seeking the
approval of a compromise or arrangement between the above-named
company and its *members/*creditors as proposed by a resolution passed by
the meeting of the *members/*creditors of the company held on [date].
[Complete this section if applicable]
The proposed compromise or arrangement as passed by the meeting was
amended from the form of compromise or arrangement previously sent to you
in the following respects:
[Set out the details of any amendment made at the meeting]
If you wish to oppose the approval of the compromise or arrangement, you
must file and serve on the plaintiff a notice of appearance, in the prescribed
form, together with any affidavit on which you wish to rely at the hearing. The
notice of appearance and affidavit must be served on the plaintiff at its
address for service at least one day before the date fixed for the hearing of
the application.
[This section must be completed]
The address for service of the plaintiff is [address of plaintiff's legal
practitioner or of plaintiff].
Name of person giving notice or of person's legal practitioner [name].
Corporations Law Rules 2000 63
Form 7 Affidavit accompanying statutory demand
(rule 5.2)
[Name of creditor(s)]
Creditor(s)
[Name of debtor company]
Debtor company
I, [name] of [address and occupation], make oath and say:
1 I am [state deponent's relationship to the creditor(s), e.g. "the creditor",
"(name), one of the creditors", "a director of the creditor", "a director of
(name), one of the creditors"] in respect of *a debt of $[amount]/*debts
totalling $[amount] owed by [name of debtor company] to *it/*them relating to
[state nature of debt, or debts, ensuring that what is stated corresponds with
the description of the debt, or debts, to be given in the proposed statutory
demand, with which this affidavit is to be served on the debtor company].
2 [If the deponent is not the creditor, state the facts entitling the deponent
to make the affidavit, eg ‘I am authorised by the creditor(s) to make this
affidavit on its/their behalf]
3 [State the source of the deponent's knowledge of the matters stated in
the affidavit in relation to the debt or each of the debts, eg "I am the person
who, on behalf of the creditor(s), had the dealings with the debtor company
that gave rise to the debt", "I have inspected the business records of the
creditor in relation to the debtor company's account with the creditor"]
4 *The debt/*The total of the amounts of the debts, mentioned in
paragraph 1 of this affidavit, is due and payable by the debtor company.