Schedule 1         Forms

(regulation 2)

Form 1         Notice requiring appearance at an examination or reasonable assistance in connection with an investigation

(regulation 4)

Australian Securities and Investment Commission Regulations 2001

Australian Securities and Investments Commission

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 notified that under subsection 19 (2) of the Australian Securities and Investments Commission Act 2001 ( 'the Act') 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 Act (relating to legal representation) and section 68 of the Act (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 Act 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 Act).

       (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 Act).

       (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 Act).

1       insert full name and address of the person to whom the notice is to be given

2       insert the nature of the matter to which the investigation relates

3       insert time of day

4       insert date

5       insert full particulars of the address of the place at which the requirement is to be satisfied

6       insert full name of the person conducting the examination

Form 2         Notice requiring the production of books

(regulation 5)

Australian Securities and Investment Commission Regulations 2001

Australian Securities and Investments Commission

NOTICE REQUIRING THE PRODUCTION OF BOOKS

To:                                                                    ¹

In relation to                                              ₂

you are notified that, under section 30 ³ /subsection 31 (1) ³ /section 32A ³ / section 33 ³ of the Australian Securities and Investments Commission Act 2001 you are required to produce to

                                                                         ⁴ at                                          ⁵

on                                                                   ⁶ at                                             ⁷

the following books:

                                                                  ⁸

Dated                                      ⁶ .

Signature of the person requiring

the production of books:

1        insert full name and address of the person to whom the notice is to be given

2        insert the nature of the matter to which the request for production of books relates

3        strike out or delete if inapplicable

4        insert the full name of the person to whom the books are to be produced

5        insert time of day

6        insert date

7        insert full particulars of the address of the place at which the books are to be produced

8        insert description(s) of the books that are to be produced

Form 3         Summons to witness

(regulations 7, 11 and 42)

Australian Securities and Investment Commission Regulations 2001

Australian Securities and Investments Commission

SUMMONS TO WITNESS

In the matter of                            ¹

To:                                                                  ₂

at                                 ⁴ you are summoned to appear before the Australian Securities and Investments Commission ³ /Takeovers Panel ³ /Companies Auditors and Liquidators Disciplinary Board ³

 

on                                                            ⁵

at                                                                              ⁶ and thereafter to attend from day to day until the hearing in this matter is completed or you are excused or released from further attendance by a member of the Commission ³ / Panel ³ /Board ³ .

³ You are required to produce the following document(s) at the hearing:

                                                              ⁷

Dated                                           ⁴ .

Signature of person authorised by

the Commission ³ /Panel ³ /Board ³ to issue summons:

1        insert description of matter

2        insert full name and address of the person to be summoned to appear

3        strike out or delete if inapplicable

4        insert time of day

5        insert date

6        insert full particulars of the address of the place where the hearing is to be held

7        insert description(s) of the documents that are to be produced at the hearing

 

Form 4         Summons to witness

(regulation 48)

Australian Securities and Investments Commission Regulations 2001

Australian Securities and Investments Commission

SUMMONS TO WITNESS

Note    Under subsection 239CE  (1) of the Australian Securities and Investments Commission Act 2001 (the Act), a member of the Financial Reporting Panel (the Panel) may, by written summons in the prescribed form given to a person mentioned in subsection 239CE (2) of the Act:

(a)      require the person to appear before the Panel at Panel proceedings to give evidence, to produce specified documents or to do both; and

(b)      require the person to attend from day to day unless excused, or released from further attendance, by a member.

Under section 239CJ of the Act, failure to comply with a requirement made under subsection 239CE (1) of the Act is an offence. Under section 239CL of the Act, the Court can order a person to comply with a requirement made under subsection 239CE (1) of the Act.

 

In the matter of          ¹

 

To        ²

 

at         ³           

 

on        ⁴           

 

you are summoned under subsection 239CE (1) of the Australian Securities and Investments Commission Act 2001 to appear before the Financial Reporting Panel

 

at         ⁵

 

and to attend from day to day until the proceedings are completed or you are excused, or released from further attendance, by a member of the Financial Reporting Panel.

 

You are required to produce the following document(s) at the
proceedings     ⁶            .

 

You are ⁷ /are not ⁷ required to give oral evidence at the proceedings.

 

If you are unable to attend, give evidence or produce a document on a particular day you must give the Financial Reporting Panel written notice, including the reason you are unable to attend, give evidence or produce the document.

Dated

 

Signature of member of the Financial Reporting Panel issuing summons

 

1        insert description of proceedings

2        insert full name and address of the person to be summoned to appear

3        insert time of day

4        insert date

5        insert full details of the address of the place where the hearing is to be held

6        insert description of the document(s) that are to be produced at the hearing

7        strike out or delete if inapplicable

Schedule 2         Witnesses fees and allowances for expenses

(regulations 8, 12 and 43)

   

1.    A person summoned to appear as a witness, because of his or her professional, scientific or other special skill or knowledge, before the Commission, the Panel or the Board must be paid:

     (a)     if the person is remunerated in his or her occupation by wages, salary or fees -- an amount equal to the amount of wages, salary or fees not paid to the person because of his or her attendance for that purpose; and

     (b)     in any other case -- an amount of not less than $81, or more than $407, for each day on which he or she so attends.

2.    A person summoned to appear as a witness, other than a witness referred to in item 1, before the Commission, the Panel or the Board must be paid:

     (a)     if the person is remunerated in his or her occupation by wages, salary or fees -- an amount equal to the amount of wages, salary or fees not paid to the person because of his or her attendance for that purpose; and

     (b)     in any other case -- an amount of not less than $46, or more than $76, for each day on which he or she so attends.

3.    A person summoned to appear as a witness before the Commission, the Panel or the Board must be paid a reasonable amount for allowances for:

     (a)     transport between the usual place of residence of the person and the place that he or she attends for that purpose; and

     (b)     if he or she is required to be absent overnight from his or her usual place of residence -- meals and accommodation during the absence.

Schedule 3         Bodies corporate to which information may be disclosed

(regulation 8A)

Part 1           Australian bodies corporate

Item	Body Corporate
1	Asia Pacific Exchange Limited
2	ASX Clear (Futures) Pty Limited
3	ASX Clear Pty Limited
4	ASX Compliance Pty Limited
5	ASX Limited
6	ASX Operations Pty Ltd
7	ASX Settlement Pty Limited
8	Austraclear Ltd
9	Australian Securities Exchange Limited
10	BGC Partners (Australia) Pty Limited
11	Bloomberg Tradebook Australia Pty Ltd
12	Chi-X Australia Pty Ltd
13	ICAP Brokers Pty Limited
14	IMB Ltd
15	Mercari Pty Ltd
16	National Stock Exchange of Australia Limited
17	SIM Venture Securities Exchange Ltd
18	Yieldbroker Pty Limited

Part 2           Foreign bodies corporate

Item	Body	Location
1	American Stock Exchange Inc (also known as 'AMEX')	United States of America
2	Amsterdam Exchanges NV (also known as 'AEX')	The Netherlands
3	Athens Stock Exchange	Greece
4	Austrian Futures and Options Exchange (also known as 'OTOB')	Austria
5	Belgium Futures and Options Exchange (also known as 'BELFOX')	Belgium
6	Bolsa de Barcelona	Spain
7	Bolsa de Comercio de Buenos Aires	Argentina
8	Bolsa de Comercio de Santiago	Chile
9	Bolsa de Derivados do Porto	Portugal
10	Bolsa de Madrid	Spain
11	Bolsa de Mercadorias & Futuros	Brazil
12	Bolsa de Valores de Lima	Peru
13	Bolsa de Valores de Lima e Porto	Portugal
14	Bolsa de Valores de Rio de Janeiro	Brazil
15	Bolsa de Valores do Sã o Paolo (also known as 'BOVESPA')	Brazil
16	Bolsa Mexicana de Valores	Mexico
17	Bourse de Montré al	Canada
18	Brussels Exchange (also known as 'BXS')	Belgium
19	Canadian Venture Exchange (also known as 'CDNX')	Canada
20	Chicago Board of Trade (also known as 'CBOT')	United States of America
21	Chicago Board Options Exchange	United States of America
22	Chicago Mercantile Exchange Inc (also known as 'CME')	United States of America
23	Chicago Stock Exchange	United States of America
24	Coffee, Sugar and Cocoa Exchange Inc (also known as 'CSCE')	United States of America
25	Commodity Exchange Inc (also known as 'COMEX')	United States of America
26	Copenhagen Stock Exchange	Denmark
27	Deutsche B ö rse AG	Germany
27A	EBS Service Company Limited	Switzerland
27B	Eurex Frankfurt AG	Germany
28	Eurex Zurich AG	Germany and Switzerland
29	Financiele Termijnmarket Amsterdam NV	The Netherlands
29A	FX Alliance International, LLC	United States of America
30	Helsinki Exchanges (also known as 'HEX')	Finland
31	Hong Kong Futures Exchange Ltd (also known as 'HKFE')	Hong Kong
32	Irish Stock Exchange	Republic of Ireland
33	Istanbul Stock Exchange	Turkey
34	Italian Futures Exchange (also known as 'MIF')	Italy
35	Italian Stock Exchange	Italy
36	Jakarta Stock Exchange	Indonesia
37	Johannesburg Stock Exchange	South Africa
38	Kansas City Board of Trade	United States of America
39	Korea Stock Exchange	South Korea
40	Kuala Lumpur Commodity Exchange (also known as 'KLCE')	Malaysia
41	Kuala Lumpur Options and Financial Futures Exchange	Malaysia
42	Kuala Lumpur Stock Exchange	Malaysia
43	London International Financial Futures Exchange Ltd	United Kingdom
44	London Securities and Derivatives Exchange	United Kingdom
45	London Stock Exchange	United Kingdom
46	Marche a Terme International de France (also known as 'MATIF')	France
47	Marche des Options Negotiable de Paris (also known as 'MOTEP')	France
47A	Market Regulation Services Inc.	Canada
48	Mid American Commodity Exchange	United States of America
49	NASDAQ Stock Market (also known as 'NASDAQ')	United States of America
50	New York Futures Exchange	United States of America
50A	New York Mercantile Exchange Inc (also known as 'NYMEX')	United States of America
51	New York Stock Exchange Inc (also known as 'NYSE')	United States of America
52	New Zealand Futures & Options Exchange Ltd (also known as 'NZFOE')	New Zealand
53	New Zealand Stock Exchange	New Zealand
54	OM Stockholm Exchange AB (also known as 'OMS')	Sweden
55	Osaka Securities Exchange (also known as 'OSE')	Japan
56	Oslo Stock Exchange (also known as 'OLSO')	Norway
57	Paris Bourse SBF SA	France
58	Philippines Stock Exchange	The Philippines
59	Port Moresby Stock Exchange	Papua New Guinea
59A	Reuters Transaction Services Limited	United Kingdom
60	Shanghai Stock Exchange	Peoples' Republic of China
61	Shenzen Stock Exchange	Peoples' Republic of China
62	Singapore Exchange Ltd (also known as 'SGX')	Singapore
63	Soci é té de la Bourse de Luxembourg SA	Luxembourg
64	South African Futures Exchange (also known as 'SAFEX')	South Africa
65	Spanish Financial Derivatives Exchange (also known as 'MEFF')	Spain
66	Suva Stock Exchange	Fiji
67	Swiss Exchange (also known as 'SWX')	Switzerland
68	Taiwan Stock Exchange	Taiwan
69	Tel Aviv Stock Exchange	Israel
69A	The London Metal Exchange Limited	United Kingdom
70	The Stock Exchange of Thailand	Thailand
71	Tokyo International Futures Exchange (also known as 'TIFFE')	Japan
72	Tokyo Stock Exchange (also known as 'TSE')	Japan
73	Toronto Futures Exchange (also known as 'TFE')	Canada
74	Toronto Stock Exchange (also known as 'TSE')	Canada
75	Warsaw Stock Exchange	Poland
76	Wiener B ö rse AG	Austria

 

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