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Annexures to Documents Lodged With Asic

Gentlemen, for your information ASIC have returned as incomplete the ‘Disclosure Notice’ (Form 1003) we sent them the other day (covering the AGM presentations) because the director who signed the Form omitted to complete the ‘annexure clause’ on the attachment (i.e., the copy of the actual presentations).

I would have thought it was more important – than having the annexure properly attested – to get the Disclosure Notice up on to ASIC’s data base so as to assist the company in complying with their continuous disclosure requirements for unlisted Disclosing Entity companies; that is, to get the information into the public domain as quickly as possible given the whole idea of this ‘disclosure’ is so that existing/potential investors are aware as soon as possible of any matter that might affect the price or value of the company’s shares. Now that is delayed by several days.

That said, for your further information, here is what is required in relation to a document which is an attachment/annexure to a form lodged with ASIC.

Annexure Requirements

Regulation 1.0.06 of the Corporations Regulations states, inter alia:

  • An annexure to a form must:
  • have an identifying mark; and
  • be endorsed with the words:

‘This is the annexure of ……. pages ( insert the number of pages) marked …….. ( insert an identifying mark) mentioned in Form …….. (insert number of form) titled ……………………………………………….

(insert a description of the form) signed by ……. ( insert ‘me’or ‘us’) and dated ………………….. ( insert the date of signing)’; and

  • be signed by the/each person signing the original form to which the document is annexed.
  • The pages in an annexure must be numbered consecutively.
  • If a form has a document annexed, the following particulars of the annexure must be written on the form:
  • the identifying mark; and
  • the number of pages.

Anyway, I will now arrange for the director to properly identify the annexure and sign it, then proceed to re-lodge the Form with ASIC post haste.

*Originally written by Company Secretary, an Australian virtual company secretary service.

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