It is alleged at (2) .......................................
on (3) ............................................19........... you
committed an offence against —
*(a) section 73 of the Futures Industry Act 1986 (failure to give particulars to the National Companies and Securities Commission of a change in particulars of the holder of a licence);
*(b) subsection 74 (1) of the Futures Industry Act 1986 (failure by a futures broker or a futures adviser to lodge with the National Companies and Securities Commission an annual statement within the required period);
*(c) subsection 74 (2) of the Futures Industry Act 1986 (failure by the holder of a representative’s licence to lodge with the National Companies and Securities Commission an annual statement within the required period);
*(d) subsection 95 (2) of the Futures Industry Act 1986 (failure by a futures broker to prepare accounts and to lodge them with the National Companies and Securities Commission before the prescribed day);
*(e) subsection 95 (4) of the Futures Industry Act 1986 (failure to comply with the conditions subject to which an extension of time for the preparation and lodgment of accounts by a futures broker has been granted).
*That offence/*Those offences *is/*are a *prescribed offence/ *prescribed offences for the purposes of section 149 of the Futures Industry Act 1986 and may therefore be disposed of in accordance with the procedure laid down in that section.
You may dispose of this matter —
(a) by —
(i) paying the prescribed penalty within 21 days of the service of this notice; and
(ii) complying with the requirements of the section or sub-section under which the offence is alleged to have been committed; or
(b) by taking no action and awaiting the institution of court proceedings against you for the alleged offence.
Payment of the prescribed penalty may be made —
(a) by delivering the amount of the penalty to the .............. (4)
between.............and.............on any day other than Saturday, Sunday or a public holiday; or
(b) by posting that amount to the ................ (5) at the address
mentioned in paragraph (a).
Payment must be accompanied by this form.(7)
Cheques and money orders must be crossed, marked “NOT NEGOTIABLE” and made payable to the (5)
Cash should not be posted. Part payment of the prescribed penalty will not be accepted.
If it is claimed that the relevant documents have been lodged with the ........................... (5) already, please state —
(a) the receipt number.....................................................................; and
(b) the date on which the receipt was issued .../.../19...
YOU ARE STILL REQUIRED TO COMPLY WITH THE REQUIREMENTS OF THE SECTION OR SUB-SECTION UNDER WHICH THE PRESCRIBED OFFENCE IS ALLEGED TO HAVE BEEN COMMITTED, i.e. you are required —
Issued by .......................... on behalf of the National Companies and Securities Commission on .........19 .
* Strike out whichever is inapplicable.
NOTES
(1) Insert the name and address of the alleged offender.
(2) Insert the place of the alleged offence.
(3) Insert the date of the alleged offence.
(4) Insert the name and address of the Corporate Affairs Commission for the Territory.
(5) Insert the name of the Corporate Affairs Commission for the Territory.
(6) Specify the action required to be taken in order to comply with the relevant section or subsection of the Futures Industry Act 1986.
(7) Payment of the prescribed penalty is not an admission of liability — see subsection 149 (5) of the Futures Industry Act 1986.
Schedule 3 Allowances and expenses of person required to attend for examination
(subsection 25 (12))
(regulation 15)
A person who attends for examination before an inspector to give evidence because of the person’s professional, scientific or other special skill or knowledge is entitled to be paid an allowance of not less than $45 and not more than $250 for each day on which the person so attends.
A person, other than a person referred to in Item 1 of this Schedule, who attends for examination before an inspector to give evidence or to produce documents is entitled to be paid —
(a) if the person is remunerated by wages, salary or fees —
(i) an allowance equal to the amount of wages, salary or fees lost by reason of so attending; or
(ii) an allowance of $50 for each day on which the person so attends,
whichever is the less; or
(b) if the person is not so remunerated — an allowance of $30 for each day on which the person so attends.
A person who attends for examination before an inspector to give expert advice shall be paid, in addition to any other allowance payable to the person under Item 1 or 2 of this Schedule, a reasonable allowance for attending to give that advice.
A person who attends for examination before an inspector to give evidence or to produce documents is entitled to be paid a reasonable amount —
(a) in respect of the expense of the person’s transport to and from the place at which the person so attends; and
(b) if the person is required to be absent overnight from the person’s usual place of residence — in respect of the person’s expenses for meals and accommodation.
Schedule 4 Prescribed offences and prescribed penalties