Example summary of alleged offences and misconduct—Matters other than director banning
(Appendix 5 of RG 109)
The following example represents a guide for liquidators in setting out a summary of the alleged offences and misconduct when applying for funding to prepare a s533(2) supplementary report, for matters other than a director banning under s206F.  The example is a guide only and is indicative of the minimum information required by ASIC to consider your funding application appropriately. 
You should complete a separate summary for each alleged offence or instance of misconduct and attach the document(s) to your application.

 
	
Example summary of alleged offences and misconduct—Matters other than director banning
Relevant person:
Section: (e.g. section 181 of the Corporations Act 2001)
Description of alleged misconduct:

Elements of the section that are applicable (refer to Appendix 10 for further details)	Details of documents in your possession that support each element (refer to Appendix 10 for further details)	Detail further investigations and additional documents to be acquired if the application is successful (refer to Appendix 10 for further details)	
The relevant person is a director or officer of a corporation	E.g. Historical company extracts		
The relevant person exercised their powers and discharged their duties			
The relevant person exercised their powers and discharged their duties in a manner that:
•	was not in good faith in the best interests of the corporation; OR
			
•	was not for a proper purpose

Other relevant information	Comments	
Date or period of alleged misconduct		
Is the misconduct continuing?		
Is there previous history of the alleged misconduct by the relevant person?		
Are there mitigating circumstances or likely defences that may be available to the relevant person?		
Have you obtained legal advice in relation to the allegations?		
Have you referred the matter to any other agency (e.g. ATO, state police)		
Any other matter concerning the relevant person’s misconduct: