11 The transactions conducted by the dealer during the financial year—
(a) were without exception on the dealer's own account; or
(b) included transactions on account of persons other than the dealer.
12 The assets and liabilities of each company controlled by the dealer or any other venture in which the dealer has a financial interest *are/*are not in our opinion such as to affect adversely to a material extent the dealer's financial position.
We certify that the above information is to the best of our knowledge and belief true and correct.
Director Director
AUDITOR'S REPORT (2)
*I/*We report that in *my/*our opinion the above statement relating to the accounts of.
has been properly drawn up so as to provide the information required by the Securities Industry Regulations.
In *my/*our opinion, the attached dealer's accounts referred to above *show/*do not show a true and fair view of the dealer's position at and of the profit or loss of the dealer for the year in accordance with statements of accounting standards issued by the Institute of Chartered Accountants in Australia or the Australian Society of Accountants, or both.
(1) Attach list detailing gains and losses separately and any income tax involvements.
(2) If an auditor is not satisfied as to any matters his reasons should be stated
Regulation 39
FORM 17
AUDITOR'S REPORT (1)
Name of dealer or name under which licence is held
Name(s) of Auditor(s)
Financial year ended
PART A—FOR ALL DEALERS
1 *I/*We have inspected the dealers licence(s) and noted any conditions or restrictions thereon, and any applicable conditions or restrictions prescribed by regulations under the Securities Industry Act 1980.
2 After conducting, in accordance with regulation 39 of the Securities Industry Regulations, a check or test examination and making sufficient enquiries *I am/*we are of the opinion that (2)—
(a) the accounting and other records kept by the dealer comply/do not comply with sections 67 and 71 of the Securities Industry Act 1980;
(b) the internal control procedures of the dealer are adequate/inadequate having regard to the nature and size of the business of the dealer;
(c) client's securities have/have not been pledged by the dealer otherwise than in accordance with section 72 of the Securities Industry Act 1980;
(d) securities held for sale or for safe custody (or any other purpose) or purchased for clients and paid for by them have/have not been held unencumbered by the dealer;
(e) the trust account has/has not been maintained at all times during the year in accordance with sections 73 and 74 of the Securities Industry Act 1980 and the accounting therefor is adequate/inadequate;
(f) the dealer has/has not properly held or disposed of all securities received by him;
(g) the internal procedures designed to ensure compliance with all the conditions or restrictions applicable to the dealers licence are adequate/inadequate;
(h) no matter/other matter has arisen during the year which would have required me/us to report to the Commission pursuant to section 79 of the Securities Industry Act 1980 (reference should be made to any report made in accordance with section 79 of the Securities Industry Act 1980 identifying the date of the report and the provisions of the Securities Industry Act 1980 to which the report refers);
(i) all conditions or restrictions of a financial nature applicable to the dealers licence have/ have not been complied with;
(j) (For Stockbrokers)—
*the deposit required by section 95 of the Securities Industry Act 1980 has/has not been maintained by the dealer with the Stock Exchange of which he is a member.
*under the provisions of sub-section 96 (3) of the Securities Industry Act 1980 the dealer was not required to maintain a deposit under section 95 of the Securities Industry Act 1980.
3 The checks and test examinations referred to in this report, the audit of the accompanying Balance Sheet of the dealer as at .............. (3), the Profit and Loss Account for the year ended on that date and Notes *have/*have not been carried out in accordance with generally accepted auditing standards and standard auditing practice promulgated by the Institute of Chartered Accountants in Australia or the Australian Society of Accountants or both and *included/*did not include such tests of the accounting records and such other auditing procedures as *I/*we considered necessary.
(1) Where any part of this report is qualified, attach a separate comprehensive report.
(2) Strike out whichever alternative in each of paragraphs (a) to (j) is not applicable.
(3) Insert date of balance sheet.
4 *The client placed no restriction on the scope of the audit and all the information and explanations required were received./*The client restricted the scope of the audit and all the information and explanations required were not received.
PART B—FOR STOCKBROKERS
5 *I/*We have inspected a current indemnity Insurance Policy No
for $ issued by in favour of the dealer for a total cover determined by the Committee of the Stock Exchange of which he is a member.
NOTICE OF *PLACE/*CHANGE OF PLACE AT WHICH REGISTER TO BE KEPT
This notice is required to be lodged:
(1) by a financial journalist (as defined in section 87 of the Securities Industry Act 1980), within 14 days after he becomes a person to whom Part VII of the Securities Industry Act 1980 applies; and
(2) by the holder of a licence under the Securities Industry Act 1980, or a financial journalist, immediately, where there is a change in the place at which the Register required under Part VII of the Securities Industry Act 1980 is kept.
1 (a) Surname..................................
Other names..............................
(b) Capacity in which Part VII of the Securities Industry Act 1980 applies. (State whether as financial journalist or as holder of licence)
(To be completed by financial journalists)
4. Titles of newspapers or periodicals to
which advice concerning securities is………………………………………………………….
Signature of *financial journalist/*licensee………………………………………………
__________________
Regulation 43
FORM 20
NOTICE OF APPEAL
In the Supreme Court of the
Applicant: (Here insert full name and address of the applicant)
Respondent: (Here insert full name and address of the respondent)
The applicant hereby appeals to the Supreme Court of the Australian Capital Territory in pursuance of sub-section 113 (2) of the Securities Industry Act 1980 against the determination of the fidelity fund committee of the (Here insert name of stock exchange).
Dated this………………………………..day of……………………….19…….
Signature of the applicant………………………………………
______________
Regulation 44
FORM 21
NOTICE CALLING FOR CLAIMS AGAINST A STOCK EXCHANGE FIDELITY FUND
In the matter of …………………………………………………………………………………….....
…………………………………………………………………………………………………………
of………………………………………………………………………………………………………
in the…………………………………………………………………………………………………...
Notice is hereby given that all persons claiming to have suffered pecuniary loss by reason of a defalcation or fraudulent misuse of securities or documents of title to securities by the above-named
…………………………………………………………………………………………………………..
or by any of his employees or servants, in relation to any money or other property entrusted to or received by him or by any of his employees or servants are required to deliver to the……………….
………………………………………..Stock Exchange particulars of their claims, in writing, on or before the…………………………day of…………………………………………………………….
19…………
Subject to section 114 of the Securities Industry Act 1980, claims not received by the Committee of the…………………Stock Exchange on or before such date will not be admitted and no payment in respect thereof will be made from the fidelity fund.
For the……………………………………..
…………………………………………….
Stock Exchange
…………………………………………
Date
Regulation 45
FORM 22
NOTICE OF DISALLOWANCE OF CLAIM AGAINST A STOCK EXCHANGE FIDELITY FUND
In the matter of………………………………………………………………………………………
………………………………………………………….. of…………………………………………
……………………………………………………………………………………Stock Exchange has considered your claim against the………………………………………………..Stock Exchange Fidelity Fund in respect of pecuniary loss alleged to have been suffered from a defalcation or fraudulent misuse of securities or documents of title to securities by the above-named* member/ *partner in a member firm of this Exchange or by any of his employees or servants.
The Committee has decided, that having regard to all available evidence, the claim should be *disallowed/*partly disallowed to the extent set out hereunder and you are hereby notified accordingly.
A person who attends an examination before an inspector to give evidence because of his professional, scientific or other special skill or knowledge shall be paid a fee of not less than $45 and not more than $250 for each day on which he so attends.
A person, other than a person referred to in clause 1 of this Schedule, who attends at an examination before an inspector to give evidence or to produce documents shall be paid—
(a) if he is remunerated by wages, salary or fees—
(i) a fee equal to the amount of wages, salary or fees lost by reason of his so attending; or
(ii) a fee of $50 for each day on which he so attends, whichever is the less; or
(b) if he is not so remunerated—a fee of $30 for each day on which he so attends.
A person attending an examination before an inspector to give expert evidence shall be paid, in addition to any other fee payable to him under clause 1 or 2 of this Schedule, a reasonable amount for qualifying to give that evidence.
A person attending an examination before an inspector to give evidence or to produce documents shall be paid a reasonable amount—
(a) in respect of his conveyance to and from the place at which he so attends; and
(b) if he is required to be absent overnight from his usual place of residence—for meals and accommodation.