---
title: "Build the restricted securities schedule and populate the ASX restriction deeds"
url: "https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure/build-the-restricted-securities-schedule-and-populate-the-asx-restrictio"
type: "task"
site: "AI Law Framework"
id: "A4-X20260927-5"
practice_area: "Capital Markets & Securities — ECM/DCM and Disclosure"
tier: "green"
lawyer_review: "required"
last_reviewed: "2026-10-22"
---

# Build the restricted securities schedule and populate the ASX restriction deeds

> Extract each holder's acquisition date, consideration and class from the register and subscription documents into the schedule, and fill the party, date and security details in the ASX standard-form deed or notice.…

Canonical page: https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure/build-the-restricted-securities-schedule-and-populate-the-asx-restrictio  
Last reviewed: 2026-10-22

Site index for agents: https://ailawframework.com/llms.txt

## Key facts

| Fact | Value |
| --- | --- |
| Practice area | [Capital Markets & Securities — ECM/DCM and Disclosure](https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure.md) |
| Human involvement | Green: AI drafts, lawyer checks |
| How AI is used | Extract each holder's acquisition date, consideration and class from the register and subscription documents into the schedule, and fill the party, date and security details in the ASX standard-form deed or notice. It does not alter the ASX form and does not assign the escrow category. |
| What the lawyer must review | The lawyer assigns the escrow category and period for every holder, identifies the controllers who must also sign, and checks each schedule line against the underlying subscription document before the application goes to ASX. |
| Written for / versions | 1 jurisdiction versions below |

## Checking plan

**Lawyer review required**

The responsible lawyer reviews the work against the instructions, sources and intended use.

- What the AI does: Extract each holder's acquisition date, consideration and class from the register and subscription documents into the schedule, and fill the party, date and security details in the ASX standard-form deed or notice. It does not alter the ASX form and does not assign the escrow category.
- What the lawyer does: The lawyer assigns the escrow category and period for every holder, identifies the controllers who must also sign, and checks each schedule line against the underlying subscription document before the application goes to ASX.
- Who reviews: Responsible lawyer with competence in the matter
- Basis: Practical workflow informed by the linked primary sources; the traffic light and working checks are editorial guidance, not a court classification.
- Why: The level reflects what the work is, the consequence of an error, and how much of the output the lawyer must independently re-derive.

## Checks the lawyer makes

1. Confirm the instructions, the jurisdiction and the complete relevant material before starting.
2. The lawyer assigns the escrow category and period for every holder, identifies the controllers who must also sign, and checks each schedule line against the underlying subscription document before the application goes to ASX.
3. Check the output against the source documents named in it before it is relied on.

## Notes

- 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.

## Sources

- [https://www.asx.com.au/content/dam/asx/rules-guidance-notes-waivers/asx-listing-rules/guidance-notes/gn11-restricted-securities-and-voluntary-escrow.pdf](https://www.asx.com.au/content/dam/asx/rules-guidance-notes-waivers/asx-listing-rules/guidance-notes/gn11-restricted-securities-and-voluntary-escrow.pdf) (checked 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](https://www.asx.com.au/content/dam/asx/rules-guidance-notes-waivers/asx-listing-rules/guidance-notes/gn30-quotation-of-additional-securities.pdf) (checked 2026-09-27)
- [https://www2.asx.com.au/about/regulation/rules-guidance-notes-and-waivers/asx-compliance-downloads](https://www2.asx.com.au/about/regulation/rules-guidance-notes-and-waivers/asx-compliance-downloads) (checked 2026-09-27)

## Jurisdiction versions

| Jurisdiction | Level |
| --- | --- |
| [United States](https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure/build-the-restricted-securities-schedule-and-populate-the-asx-restrictio/united-states.md) | Yellow |

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*