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ASIC Forms Latest Versions 1/6 12 November 2008
FORM NO FORM TITLE LAST UPDATE GUIDE DATE
1001 (ASCOT 7051) Notification of half yearly reports 15/07/2001
1003 (ASCOT 7053) Disclosure notice for unlisted disclosing entity 15/07/2001 22/08/2002
104 Record of lodgement of documents 02/02/2004
105 Cover page for office copy of a court order 15/07/2001 22/08/2002
ONLINE 106 Request to withdraw a lodged document 23/06/2008 23/06/2008
107 Notification of cancellation of company (immediate cancellation) 15/07/2001
110 Record of lodgement of documents - Local ASIC Representative 22/08/2002
128 Commission's power to direct a registered name to be changed 15/07/2001
130 Benefit fund rules 15/02/2002
131 Notice of meeting (demutualisation) 15/07/2001
132 Notice of meeting or consent process (demutualisation) 15/07/2001
142 Friendly society disclosure document 15/07/2001
145 Application for registration of disclosure statement (demutualisation) 20/12/2005 20/12/2005
1500 Annual report to creditors 23/06/2008 23/06/2008
201 Application for registration as an Australian company 26/05/2008 26/05/2008
202 Application for registration of a body corporate as a company 08/10/2008 08/10/2008
ONLINE 205 Notification of resolution 23/06/2008 23/06/2008
206 Application for change of company type 26/05/2004
207Z Certification of compliance with stamp duty law 15/07/2001 01/09/2003
208 Notification of details of shares issued other than for cash 28/08/2001 01/09/2003
210 Notification of statement of special rights carried by shares 15/07/2001 01/09/2003
211 Notification of division or conversion of classes of shares 26/05/2004 01/07/2005
2205 Notification of resolutions regarding shares 26/05/2004 26/05/2004
2213 Application for change of State or Territory of registration of a company 02/11/2001 01/07/2006
2501 Application for extension of time to hold Annual General Meeting 15/07/2001 01/09/2003
252 Evidence of eligibility under Part 5B.1- cover sheet 07/02/2002
2560 Notification of reduction in share capital details 15/07/2001 01/09/2003
2601 Notification of intention to give financial assistance 15/07/2001 01/09/2003
2602 Notification of financial assistance details 15/07/2001 15/07/2001
280 Notification of share buy-back details 01/07/2007 01/07/2007
281 Notice of intention to carry out a share buy-back 01/07/2007 01/07/2007
296 Notice of disqualification from managing corporation - bankruptcy or personal 21/12/2007 21/12/2007
insolvency agreement
ONLINE 309 Notification of details of a charge 06/09/2007 01/07/2007
310 Notification of further issue of debentures in a series 15/07/2001 01/09/2003
311 REPLACED BY 311A & 311B
ONLINE 311A Notification of assignment of a charge 06/09/2007 01/07/2007
ONLINE 311B Notification of change of details of a charge 06/09/2007 01/07/2007
ONLINE 312 Notification of discharge or release of property from a charge 06/09/2007 01/07/2007
313 Notification of address in Australia of information relating to financial records kept 15/07/2001 01/09/2003
outside Australia
314 Notification of return of members of firm of auditors 15/07/2001
315 Notification of resignation, removal or cessation of auditor 15/07/2001 21/05/2007
318 Notice of application to court to manage corporation 15/07/2001 15/07/2001
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ASIC Forms Latest Versions 2/6 12 November 2008
FORM NO FORM TITLE LAST UPDATE GUIDE DATE
3190 Notification of appointment of auditor (large pty exempt from lodging accounts under 15/07/2001 01/09/2003
s319(4) of the old Corporations Law - as continued by s1408(1) of the Act)
ONLINE 327 Application for extension of time - stamp duty deficiency 06/09/2007 01/07/2007
342 Application for consent to resign as auditor 12/02/2007 20/12/2005
ONLINE 350 Certification of compliance with stamp duties law 06/09/2007 01/07/2007
361 Notification of a registered agent ceasing to act for a company 21/05/2007 21/05/2007
ONLINE 362 Notification of appointment or cessation of a registered agent by a company 26/05/2008 26/05/2008
370 Notification by officeholder of resignation or retirement 01/07/2007 06/09/2007
377 Notification as to the holding of office in a company 15/07/2001 15/07/2001
378 Application to use an alternative address 20/12/2004 20/12/2004
379 Application for suppression of residential address 20/12/2004 20/12/2004
382 Notification of resolutions for audit relief - proprietary companies 26/05/2008
384 Resolution by directors of a small proprietary company controlled by a foreign 26/05/2008
company which is not part of a 'large group'
ONLINE 388 Copy of financial statements and reports 08/10/2008 08/10/2008
389 Opt–in/change of holding entity notice by wholly–owned entity relieved from 31/03/2008 31/03/2008
financial reporting obligations
399 Opt–out notice by wholly-owned entity relieved from financial reporting obligations 31/03/2008 31/03/2008
390 Holding entity which does not lodge consolidated financial statements pursuant to 15/07/2001
class order 98/1418
394 Notice of cessation of reliance on Class Order 98/98 21/12/2007
401 Application for registration as a registrable Australian body 03/09/2007 03/09/2007
402 Application for registration as a foreign company 08/10/2008 08/10/2008
403 Verification of copy of document authorising on behalf of a foreign company, 03/09/2007 03/09/2007
execution of a document appointing a local agent
404 Notification of change to agent of a foreign company 03/09/2007 08/10/2008
405 Statement to verify financial statements of a foreign company 09/08/2006 09/08/2006
406 Annual return of a foreign company 09/08/2006 09/08/2006
407 Notification of cessation, winding up or dissolution of a foreign company or 03/09/2007 03/09/2007
registered Australian body
408 Notification in relation to the register of a registered foreign company under section 15/07/2001 01/09/2003
601CM
409 Notification of change to details of a foreign company or a registered Australian 03/09/2007 03/09/2007
body
ONLINE 410 Application for reservation of a name 08/10/2008 08/10/2008
418 Memorandum of appointment of local agent 03/09/2007 03/09/2007
432 Application to approve registration of a company name without the word "limited" 15/07/2001 01/09/2003
433 Notification (by company) of non-compliance with section 150 requirements or 08/10/2008 08/10/2008
licence revocation
433C Notification (by Commission) of non-compliance with section 150 requirements or 15/07/2001
licence revocation
483_Std Company compliance statement (response to return of particulars) - Standard 02/08/2005 06/04/2006
483_Pty Company compliance statement (response to return of particulars) - Proprietary 20/12/2005 06/04/2005
ONLINE 484 Change to company details 08/10/2008 08/10/2008
• 1F (Complete form with smart features) Version 1.3
• Section A 08/10/2008
• Section B 08/10/2008
• Section C 08/10/2008
ONLINE Lodgement or service available online at www.asic.gov.au/onlinelodgement
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New forms or changes
ASIC Forms Latest Versions 3/6 12 November 2008
FORM NO FORM TITLE LAST UPDATE GUIDE DATE
ONLINE 485 Statement in relation to company solvency 26/05/2004 26/05/2004
486 Notification to nominate, change or cease a contact address for a company 26/05/2008 26/05/2008
488 Application to change the review date of a company or registered scheme 26/05/2004 26/05/2004
489 Notification of change of registered office or office hours of a registered body 26/05/2008 26/05/2008
490 Notification of change to directors of a registered body 26/05/2008 26/05/2008
491 Change to scheme details 29/10/2007 29/10/2007
ONLINE 492 Request for correction 23/06/2008 23/06/2008
504 Notification that a person has been appointed controller/entered into possession etc. 23/06/2008 21/12/2007
ONLINE 505 Notification of appointment or cessation of an external administrator 23/06/2008 23/06/2008
5057A Related party benefits – proposed notice, explanatory statement & accompanying 01/07/2004 01/07/2004
documents
ONLINE 506 Notification of change of address of an external administrator 21/12/2007 23/06/2008
507 Report as to affairs 23/06/2008 23/06/2008
507A Statement verifying report under s475(1) (attached to 507) 23/12/2004
508 REPLACED BY 524
509 Presentation of summary of affairs of a company 15/07/2001 01/09/2003
ONLINE 509D Notice of special resolution to wind up company 23/06/2008 23/06/2008
ONLINE 509F Notice of failure to execute deed of company arrangement 15/07/2001
ONLINE 509G Notice of termination of deed of company arrangement 23/06/2008 23/06/2008
ONLINE 5011 Copy of minutes of meeting 21/12/2007 21/12/2007
5047 Copy of deed of company arrangement 01/07/2005 01/07/2005
ONLINE 5053 Notice that administration of a company has ended 01/07/2005 01/07/2005
ONLINE 5056 Notice that deed wholly effectuated 07/07/2008 07/07/2008
5100 Application for registration of a managed investment scheme 12/11/2008 12/11/2008
5101 Notification of change to managed investment scheme's constitution 12/11/2008 12/11/2008
5103 Directors' statement relating to application for registration of a managed investment 12/11/2008 12/11/2008
scheme
5107 Notification of change of responsible entity of a registered scheme 08/12/2004 19/11/2003
5108 Notification of appointment of temporary responsible entity 08/12/2004 01/09/2003
5109 Notification of request by temporary responsible entity to add new responsible entity 08/12/2004
511 Statement verifying report under s430(1), 475(2) or 446C(2) 23/06/2008 23/06/2008
5111 Compliance plan audit report of a registered scheme 26/05/2008 26/05/2008
5127 TRANSITIONAL (available only from ASIC by request)
5130 Notification of office at which register of interests is kept 15/07/2001 01/09/2003
5131 Application for appointment of scheme auditor by member of a registered scheme 09/08/2006 09/08/2006
5132 Application for consent from ASIC for resignation or removal of scheme auditor 13/09/2002 01/09/2003
5133 Notification of resignation, removal or cessation of a registered scheme auditor 09/08/2006 09/08/2006
5137 Notification of appointment of scheme auditor 18/04/2006 20/12/2005
5138 Notification of commencement or completion of winding up of a registered scheme 15/07/2001 01/07/2005
5140 Notification of proposed change of name of registered scheme 15/07/2001 01/09/2003
519 Notification of court action relating to winding up 23/06/2008 21/12/2007
ONLINE 520 Declaration of solvency 15/07/2001 27/07/2004
ONLINE 522 Notification of meeting of creditors to consider appointing a new liquidator 15/07/2001
ONLINE 523 Notification of final meeting convened by liquidator 15/07/2001
ONLINE 524 Presentation of accounts and statement 23/06/2008 23/06/2008
ONLINE Lodgement or service available online at www.asic.gov.au/onlinelodgement
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ASIC Forms Latest Versions 4/6 12 November 2008
FORM NO FORM TITLE LAST UPDATE GUIDE DATE
5249 Notice to demonstrate why disqualification should not occur• 15/07/2001
ONLINE 525 Notice of disclaimer of onerous property 23/12/2004 23/12/2004
ONLINE 529 Notice of meeting 15/07/2001
540 Statement in writing of posting of notices of appointment to settle list or 23/12/2004 23/12/2004
ONLINE
supplementary list of contributories
545 Statement in writing of giving notice to persons placed on the list or supplementary 23/12/2004 23/12/2004
ONLINE
list of contributories
ONLINE 555 Notice of controller extending time to submit report as to affairs 21/12/2007 21/12/2007
587 Notice of disqualification from managing corporations• 15/07/2001
ONLINE 562 Notice of liquidator extending time to submit report as to affairs 01/07/2005 01/07/2005
564 Schedule A to Regulatory Guide 16 01/07/2008 01/07/2008
ONLINE Preliminary report by court–appointed liquidator to ASIC under s476 of the
Corporations Act 2001
578 Deregistration request (liquidator not acting or affairs fully wound up) 01/07/2005 01/07/2005
ONLINE 6010 Application for voluntary deregistration of a company 15/07/2001 06/09/2007
6010A Application for voluntary deregistration of a managed investment scheme 15/07/2001 01/09/2003
6014 Application for transfer of registration of a company to registration under a law of a 01/07/2007 01/07/2007
State or Territory
6021 Notice of compulsory acquisition following takeover bid 15/07/2001 13/03/2000
6022 Notice of right of buy out to remaining holder of securities following a takeover bid 15/07/2001 13/03/2000
6023 Notice of right of buy out to holders of convertible securities following a takeover bid 15/07/2001 15/07/2001
6024 Notice of compulsory acquisition 15/07/2001 22/08/2002
6025 Notice of right of buy out to holders of convertible securities by 100% holder 15/07/2001 15/07/2001
603 Notice of initial substantial holder 15/07/2001 13/03/2000
604 Notice of change of interests of substantial holder 15/07/2001 13/03/2000
605 Notice of ceasing to be a substantial holder 15/07/2001 13/03/2000
6071A Application requesting notice of beneficial ownership 01/07/2004 01/07/2004
702 Application for discharge of security 15/07/2001 01/09/2003
722 Notice appointing trustee for holders of debentures 15/07/2001 01/09/2003
902 Notification of supplementary information 26/05/2008 26/05/2008
ONLINE 903AA Application for registration as an auditor 29/10/2007 29/10/2007
ONLINE 903AB Application for registration as an authorised audit company 29/10/2007 29/10/2007
ONLINE 903B Application for registration as a liquidator 15/07/2001
ONLINE 905 Notification of ceasing to practise as, or change to details of, an auditor 05/11/2004 05/11/2004
ONLINE 905A Notification of ceasing to act as or change to details of a liquidator 15/07/2001 01/09/2003
906 Notification of disqualification from managing corporations under part 2D.6 15/07/2001 01/09/2003
907 Presentation of triennial statement by an auditor 15/07/2001
908 Annual statement by a liquidator 21/12/2007 21/12/2007
909 Notification of office at which register is kept 15/07/2001 01/09/2003
911 Verification or certification of a document 15/07/2001 31/08/2001
ONLINE 912A Annual statement by an auditor 09/08/2006 09/08/2006
ONLINE 912B Annual statement by an authorised audit company 14/12/2004 14/12/2004
960 Application for copy of a certificate 08/10/2008
ONLINE 961 Application for copies of documents (DOCIMAGE search) 08/10/2008
ONLINE 962 Application for information from an ASIC register 08/10/2008
ONLINE 963 Application for information about a specific personal name 08/10/2008
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New forms or changes
ASIC Forms Latest Versions 5/6 12 November 2008
FORM NO FORM TITLE LAST UPDATE GUIDE DATE
ONLINE 964 Application for information about specific corporations (computer database search) 08/10/2008
965A Replaced by Form 961
965B Replaced by Form 961
991/992 Notification of location of books on computer 15/07/2001
“A” form Annexures for BC’s and RO’s 24/02/1999
A100 Correction of data - roles and addresses 05/08/2003
A101 Correction of state data - company detail 01/07/1998
A103 Report of DOCIMAGE error 15/07/2001
A104 Supplementary pages to imaged documents 01/07/1998
A201 Correction of registration details 01/07/1998
CF01 Applications for relief - fundraising/equities 01/07/2004 01/07/2004
CF02 Applications for relief - financial reporting 01/07/2004 01/07/2004
CF03 Applications for relief - mergers & acquisitions 01/07/2004 01/07/2004
CF04 Applications for relief - debentures 01/07/2004 01/07/2004
CF05 Applications for relief - transactions affecting share capital 01/07/2004 01/07/2004
CF06 Deeds of cross guarantee and related documents - Class Order 98/1418 31/03/2008 31/03/2008
CF07 Documents relating to a current disclosure document 01/07/2004 01/07/2004
CF08 Notification of offer regarding employee share schemes - Class Order 03/184 01/07/2004 01/07/2004
CF09 Documents relating to takeovers 01/07/2004 01/07/2004
CF10 Schemes of arrangement 01/07/2004 01/07/2004
CF11 Related party benefits - applications 01/07/2004 01/07/2004
CH01 Charges forms 01/05/2004 04/05/2004
EX01 Schedule B of Regulatory Guide 16 01/07/2008 01/07/2008
ONLINE Report to ASIC under s422, s438D or s533 of the Corporations Act 2001 or for statistical
purposes
FS03X Application to vary the authorisation conditions and other conditions of an Australian 21/12/2007 21/12/2007
financial services licence
FS05 Preliminary application for an Australian financial services licence 08/11/2004 03/09/2007
ONLINE FS06 Appointment of an auditor of an Australian financial services licensee 01/07/2005 01/07/2005
FS07 Application for consent to remove an auditor of an Australian financial services 01/07/2005 01/07/2005
ONLINE
licensee
FS08 Application for consent to resign as an auditor of an Australian financial services 11/03/2002 01/09/2003
licensee
ONLINE FS09 Notification of cessation of an auditor of an Australian financial services licensee 01/07/2005 01/07/2005
FS10 Application for exemption from or modification of FSR provisions 11/11/2002 03/09/2007
FS11 Application for exemption from or modification of FSR provisions 11/11/2002 03/09/2007
FS12 Application for exemption from or modification of FSR provisions 11/11/2002 03/09/2007
FS13 Application for exemption from or modification of FSR provisions 11/11/2002 03/09/2007
FS14 Application for exemption from or modification of FSR provisions 11/11/2002 03/09/2007
FS15 Application for exemption from or modification of FSR provisions 11/11/2002 03/09/2007
FS20 Change of details for an Australian financial services licence 08/10/2008 21/12/2007
FS30 Variation to ASIC authorised representatives register - appoint an authorised 01/07/2007 23/08/2006
ONLINE
representative
FS31 Variation to ASIC authorised representatives register - revoke an authorised 01/10/2006 30/09/2005
ONLINE
representative
FS32 Variation to ASIC authorised representatives register - vary the details of an 23/08/2006 30/09/2005
ONLINE
authorised representative
FS53 replaced by FS88
ONLINE Lodgement or service available online at www.asic.gov.au/onlinelodgement
Internal ASIC use only
New forms or changes
ASIC Forms Latest Versions 6/6 12 November 2008
FORM NO FORM TITLE LAST UPDATE GUIDE DATE
FS70 Australian financial services licensee profit and loss statement and balance sheet 02/10/2007 02/10/2007
FS71 Australian financial services licensee audit report 02/10/2007 01/07/2005
FS75 Replaced by Form 405
FS80 Notification by an AFS licensee of a significant breach of a licensee’s obligations 28/04/2006 28/04/2006
FS88 PDS in–use notice 08/10/2008 01/07/2008
FS89 Notice of change to fees and charges in a PDS 08/10/2008 01/07/2008
FS90 Notice that a product in a PDS has ceased to be available 08/10/2008 01/07/2008
RA01 Notification to register, change details of or cease as an agent 13/06/2007 13/06/2007
RA04 Direct debit request 03/09/2007
RA05 Remittance advice 22/01/2001
SP03 Summary Prosecutions Enquiry/Record sheet 01/07/1998
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