ASIC Corporations (Substantial Holding Notice Forms Approval) Instrument 2026/595

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Legislation au F2026N00547 In force Notifiable Instrument

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ASIC Corporations (Substantial Holding Notice Forms Approval) Instrument 2026/595

I, Amanda Zeller, delegate of the Australian Securities and Investments Commission, make the following notifiable instrument.

 

Date 27 July 2026

 

 

Amanda Zeller

 

Contents

Part 1—Preliminary 3

1 Name of notifiable instrument....................................3

2 Commencement...............................................3

3 Authority....................................................3

4 Definitions...................................................3

Part 2—Approval 4

5 Approval of Substantial Holding Notice............................4

6 Approval of Transitional Forms...................................4

Part 3—Transitional 6

7 Transitional...................................................6

Part 1—Preliminary

1 Name of notifiable instrument

This is the ASIC Corporations (Substantial Holding Notice Forms Approval) Instrument 2026/595.

2 Commencement

This instrument commences on the later of:

(a) the day after it is registered on the Federal Register of Legislation; and

(b) commencement of Schedule 1 to the Treasury Laws Amendment (Strengthening Financial Systems and Other Measures) Act 2025.

Note: The register may be accessed at www.legislation.gov.au.

3 Authority

This instrument is made under subsection 671BE(2) of the Corporations Act 2001.

4 Definitions

In this instrument:

Act means the Corporations Act 2001.

Substantial Holder Notice means the electronic form of that name prepared by ASIC on or before the date of this instrument, and includes the instructions included with the form.  

Transitional Form 603 means the form of that name prepared by ASIC on or before the date of this instrument, and includes the instructions included with the form.

Transitional Form 604 means the form of that name prepared by ASIC on or before the date of this instrument, and includes the instructions included with the form.

Transitional Form 605 means the form of that name prepared by ASIC on or before the date of this instrument, and includes the instructions included with the form.  

Note: The Substantial Holding Notice, the Transitional Form 603, the Transitional Form 604 and the Transitional Form 605 will be available on the website of ASIC on or about the date this instrument is registered on the Federal Register of Legislation.

 

Part 2—Approval

5 Approval of Substantial Holding Notice

For the purposes of subsection 671BE(1) of the Act, I approve giving information under subsection 671B(3) of the Act in a form that:

(a) is generated by a person completing the Substantial Holding Notice in accordance with the instructions included with the Substantial Holding Notice; and

(b) where any information is contained in one or more annexures contemplated by those instructions—includes those annexures as completed in accordance with the instructions.

6 Approval of Transitional Forms

For the purposes of subsection 671BE(1) of the Act, I approve giving information under subsection 671B(3) of the Act in a form that:

(a) where the information relates to any of the following situations—is generated by a person completing the Transitional Form 603 in accordance with the instructions included with the Transitional Form 603:

(i) a person beginning to have a substantial holding in a Chapter 6C body;

(ii) a person having a substantial holding in a Chapter 6C body when the Chapter 6C body begins to be a Chapter 6C body;

(iii) both the following apply:

(A) a person is the bidder for a takeover bid for securities in a Chapter 6C body and the bid period for the bid starts;

(B) the person did not already have a substantial holding in the Chapter 6C body; and

(b) where the information relates to any of the following situations—is generated by a person completing the Transitional Form 604 in accordance with the instructions included with the Transitional Form 604:

(i) a person has a substantial holding in a Chapter 6C body and there is a disclosable movement in the person’s holding;

(ii) both the following apply:

(A) a person is the bidder for a takeover bid for securities in a Chapter 6C body and the bid period for the bid starts;

(B) the person already had a substantial holding in the Chapter 6C body; and

(c) where the information relates to the situation of a person ceasing to have a substantial holding in a Chapter 6C body—is generated by a person completing the Transitional Form 605 in accordance with the instructions included with the Transitional Form 605; and

(d) where any information is contained in one or more annexures contemplated by the instructions that apply to the Transitional Form 603, Transitional Form 604 or Transitional Form 605 (as applicable)—includes those annexures as completed in accordance with the instructions.


Part 3—Transitional 

7 Transitional

(1) The approval in section 5 applies in relation to information that is given under subsection 671B(3) of the Act on or after commencement of this instrument.

(2) The approval in section 6 applies in relation to information that is given under subsection 671B(3) of the Act between commencement of this instrument and 3 June 2027.

 

Overview

The ASIC Corporations (Substantial Holding Notice Forms Approval) Instrument 2026/595, enacted on 27 July 2026, is an instrument made by Amanda Zeller, a delegate of the Australian Securities and Investments Commission, under subsection 671BE(2) of the Corporations Act 2001. This instrument aims to address the need for standardised and approved forms for substantial holding notices and transitional forms as required by the Act. It ensures that the information submitted under subsection 671B(3) of the Act is in a format that is both compliant and easy to manage, thereby streamlining the reporting process for substantial holdings in Chapter 6C bodies. This initiative enhances the efficiency and transparency of substantial holding disclosures within the financial sector.

Scope and Application

The ASIC Corporations (Substantial Holding Notice Forms Approval) Instrument 2026/595, made by Amanda Zeller, a delegate of the Australian Securities and Investments Commission, outlines the specific forms that must be used for disclosing substantial holdings in Chapter 6C bodies under the Corporations Act 2001. The instrument applies to individuals and entities that need to report substantial holdings in these bodies, and it governs the format and content of these reports. This instrument operates within the Commonwealth jurisdiction and applies to all substantial holders in Chapter 6C bodies, which include registered schemes and foreign companies. The instrument comes into effect on the later of the day after it is registered on the Federal Register of Legislation or the commencement of Schedule 1 to the Treasury Laws Amendment (Strengthening Financial Systems and Other Measures) Act 2025. It approves the Substantial Holding Notice and three transitional forms (Transitional Form 603, Transitional Form 604, and Transitional Form 605) for reporting substantial holdings, with specific forms applicable to different scenarios such as the commencement of a substantial holding, a disclosable movement in a holding, and the cessation of a substantial holding. The instrument also provides for transitional provisions until 3 June 2027, ensuring a smooth transition to the new forms.

Key Provisions

The ASIC Corporations (Substantial Holding Notice Forms Approval) Instrument 2026/595 outlines the approval of specific forms for notifying substantial holdings in corporations, as well as transitional forms for particular situations. Section 5 approves the Substantial Holding Notice form, which must be completed by individuals or entities who need to report a substantial holding in a Chapter 6C body in accordance with the Corporations Act 2001 (section 671BE(1)). Section 6 provides approval for three transitional forms—Transitional Form 603, Transitional Form 604, and Transitional Form 605—each intended for distinct scenarios, such as when a person begins or ceases to have a substantial holding in a Chapter 6C body, or when there is a disclosable movement in the holding (section 671BE(1)). These forms must be filled out in accordance with the instructions provided with each form and may include annexures as necessary. The obligations imposed by this instrument are primarily on individuals or entities who need to report substantial holdings in corporations. They must complete the appropriate form—either the Substantial Holding Notice or one of the transitional forms—in accordance with the instructions provided by ASIC. The forms must be accurate and complete, ensuring that all relevant information is provided and any annexures are included as required. This ensures that the required notifications are made in the correct format and within the specified timeframes. Failure to comply with the requirements of this instrument can result in civil or criminal penalties. Under the Corporations Act 2001, significant penalties may be imposed for non-compliance, including fines and, in some cases, imprisonment. The exact penalties depend on the specific breach and the severity of the non-compliance. It is crucial for individuals and entities to adhere to the prescribed forms and instructions to avoid these consequences.

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Area of Law
Corporate Law & Governance
Instrument
Notifiable instrument
Concepts
Commencement Provisions
Definitions & Interpretation
Approval of Forms

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Sourced from the Federal Register of Legislation at 26 August 2026. For the latest information on Australian Government law please go to https://www.legislation.gov.au.