Corporations Regulations 2001

Subject to subregulation (2), a document is not duly completed in accordance with one of Forms 1, 2, 3, 4, 5, 6, 7 and 8, or a part of one of those forms, unless the following requirements are met:

the document must purport to state the transferee’s name and address where the form or part requires that information;

the document must bear a stamp that purports to be the transferor’s broker’s stamp where the form or part requires that information;

the document must bear a stamp that purports to be the transferee’s broker’s stamp where the form or part requires that information;

the document must bear a stamp that purports to be a market licensee’s stamp where the form or part requires that information.

If a document (the first document) relates to particular Division 3 securities, the following paragraphs apply for the purposes of determining whether the first document and another document (the second document) are, together or with 1 or more other documents, a sufficient transfer of the Division 3 securities:

the first document is not duly completed in accordance with Part 3 of Form 1, 2, 3, 5, 6 or 7 unless it:

bears a stamp that purports to be the transferee’s broker’s stamp where that part refers to the transferee’s broker’s stamp; and

sets out a string of characters that purports to be the transfer consolidation number of the first document where that part refers to the transferee’s broker’s stamp;

the second document is not duly completed in accordance with Part 1 of Form 4 or 8 unless it sets out a string of characters that purports to be the transfer consolidation number of the first document where that part refers to a transfer consolidation number or transfer consolidation numbers (whether or not it sets out 1 or more strings of characters that do not purport to be the transfer consolidation number);

the second document can be duly completed in accordance with Part 1 of Form 4 or 8 even if it does not set out correctly the number of Division 3 securities to which it relates.

If the document mentioned in subregulation (1), or the documents mentioned in subregulation (2), are a sufficient transfer of the Division 3 securities, the document or documents become transfer documents for this Part.