Build the investor eligibility record for an offer made without disclosure
Key facts
- Human involvement
- GreenLawyer review
- How AI is used
- Draft the eligibility schedule from the allocation list and the evidence folder against the exemption the lawyer has selected for each investor, and list every missing certificate, expired confirmation and investor offered before the evidence was held.
- What the lawyer must review
- The lawyer selects the exemption for each investor, tests the evidence against the provision relied on, and confirms no offer preceded the evidence before any allocation is confirmed.
- Written for / version
- US
Open a jurisdiction version of this task to see which instruments apply: US
Who does what
| Role | What they do |
|---|---|
| Assistance | Draft the eligibility schedule from the allocation list and the evidence folder against the exemption the lawyer has selected for each investor, and list every missing certificate, expired confirmation and investor offered before the evidence was held. |
| Lawyer | The lawyer selects the exemption for each investor, tests the evidence against the provision relied on, and confirms no offer preceded the evidence before any allocation is confirmed. |
Checklist
- Confirm the instructions, the jurisdiction and the complete relevant material before starting.
- The lawyer selects the exemption for each investor, tests the evidence against the provision relied on, and confirms no offer preceded the evidence before any allocation is confirmed.
- Check the output against the source documents named in it before it is relied on.
Sources
- https://www.legislation.gov.au/C2004A00818/latest/text · 2026-09-27
- https://www.asic.gov.au/regulatory-resources/find-a-document/regulatory-guides/rg-254-offering-securities-under-a-disclosure-document · 2026-09-27
- https://www.asx.com.au/content/dam/asx/rules-guidance-notes-waivers/asx-listing-rules/guidance-notes/gn30-quotation-of-additional-securities.pdf · 2026-09-27
These are suggested working checks. Confirm the required checking with the responsible lawyer before work starts; the checking approach does not establish permission to use AI.