Prepare a substantial holding notice and the relevant-interest trace
Key facts
- Human involvement
- YellowClose supervision
- How AI is used
- Build the movement and voting power table from the trade and holding records, identify the agreements that must be annexed, and help the lawyer describe the nature of each relevant interest in the notice.
- What the lawyer must review
- The lawyer determines the relevant interests, the associates and the date of awareness, confirms the currently prescribed form of notice, and lodges within the statutory period.
- 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 | Build the movement and voting power table from the trade and holding records, identify the agreements that must be annexed, and help the lawyer describe the nature of each relevant interest in the notice. |
| Lawyer | Set the scope, supervise the work closely, verify every part relied on, resolve omissions and exceptions, and approve the exact output. |
Checklist
- Confirm the instructions, the jurisdiction and the complete relevant material before starting.
- The lawyer determines the relevant interests, the associates and the date of awareness, confirms the currently prescribed form of notice, and lodges within the statutory period.
- Check the output against the source documents named in it before it is relied on.
Forms and precedents for this task
| Form or precedent | Kind | AI use | Summary |
|---|---|---|---|
| Substantial holding notice preparation checklist (Corporations Act s 671B) | Checklist | AI use Yellow | A checklist for preparing a substantial holding notice: which event triggers it, tracing relevant interests and associates, working the 1% movement against the last notice, the 2 business day deadline (or 9.30 am next trading day in a bid period), contents and the agreements that must accompany it. |
Signed-in accounts can read the full text of each one. All precedents.
Sources
- https://www.asic.gov.au/regulatory-resources/find-a-document/regulatory-guides/rg-5-relevant-interests-and-deemed-economic-interests · 2026-09-27
- https://www.legislation.gov.au/C2004A00818/latest/text · 2026-09-27
- https://www.asx.com.au/content/dam/asx/rules-guidance-notes-waivers/asx-listing-rules/guidance-notes/gn22-disclosure-of-interests.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.