Common use of Notifications and acknowledgments Clause in Contracts

Notifications and acknowledgments. 6.1 You acknowledge that if we are not a Market Participant of an Approved Market Operator, neither the Approved Market Operator, nor any Related Party of the Approved Market Operator has any responsibility for regulating the relationship between you and us, other than in relation to the rules relating to the Sponsorship Agreement. 6.2 You acknowledge that if a Transfer is taken to be effected by us under Section 9 of the ASX Clear Operating Rules and the Source Holding for the Transfer is a Sponsored Holding under the Sponsorship Agreement, then: a. you may not assert or claim against ASX Settlement or the relevant Issuer that the Transfer was not effected by us or that we were not authorised by you to effect the Transfer; and b. unless the Transfer is also taken to have been effected by a Market Participant of an Approved Market Operator or a Clearing Participant of ASX Clear, you have no claim arising out of the Transfer against the compensation arrangement applicable to the Approved Market Operator or the Clearing Participant of ASX Clear under the Corps Act and Corporations Regulations. 6.3 In the event that we breach any of the provisions of this Sponsorship Agreement, you may refer that breach to any regulatory authority, including ASX Settlement. 6.4 In the event that we are suspended from CHESS participation, subject to the assertion of an interest in Financial Products controlled by us, or by the liquidator, receiver, administrator or trustee appointed: a. you have the right, within twenty (20) Business Days of ASX Settlement giving Notice of suspension, to give notice to ASX Settlement requesting that any Sponsored Holdings be removed either: i. from the CHESS Subregister; or ii. from the control of the suspended Participant to the control of another Participant with whom they have concluded a valid Sponsorship Agreement pursuant to Rule 12.19.10; or

Notifications and acknowledgments. 6.1 You acknowledge that if we are not a Market Participant of an Approved Market Operator, neither the Approved Market Operator, nor any Related Party of the Approved Market Operator has any responsibility for regulating the relationship between you and us, other than in relation to the rules relating to the Sponsorship Agreement. 6.2 You acknowledge that if a Transfer is taken to be effected by us under Section 9 of the ASX Clear Operating Settlement Rules and the Source Holding for the Transfer is a Sponsored Holding under the Sponsorship Agreement, then: a. you may not assert or claim against ASX Settlement or the relevant Issuer that the Transfer was not effected by us or that we were not authorised by you to effect the Transfer; and b. unless the Transfer is also taken to have been effected by a Market Participant of an Approved Market Operator or a Clearing Participant of ASX Clear, you have no claim arising out of the Transfer against the compensation arrangement applicable to the Approved Market Operator or the Clearing Participant of ASX Clear under the Corps Corporations Act and Corporations Regulations. 6.3 In the event that we breach any of the provisions of this Sponsorship Agreement, you may refer that breach to any regulatory authority, including ASX Settlement. 6.4 In the event that we are suspended from CHESS participation, subject to the assertion of an interest in Financial Products controlled by us, or by the liquidator, receiver, administrator or trustee appointed: a. you have the right, within twenty (20) Business Days of ASX Settlement giving Notice of suspension, to give notice to ASX Settlement requesting that any Sponsored Holdings be removed either: i. from the CHESS Subregister; or ii. from the control of the suspended Participant to the control of another Participant with whom they have concluded a valid Sponsorship Agreement pursuant to Rule 12.19.10; or

Notifications and acknowledgments. 6.1 You acknowledge that if we are not a Market Participant of an Approved Market Operator, neither the Approved Market Operator, nor any Related Party of the Approved Market Operator has any responsibility for regulating the relationship between you and us, other than in relation to the rules relating to the Sponsorship Agreement. 6.2 You acknowledge that if a Transfer is taken to be effected by us under Section 9 of the ASX Clear Operating Rules and the Source Holding for the Transfer is a Sponsored Holding under the Sponsorship Agreement, then: a. you may not assert or claim against ASX Settlement or the relevant Issuer that the Transfer was not effected by us or that we were not authorised by you to effect the Transfer; and b. unless the Transfer is also taken to have been effected by a Market Participant of an Approved Market Operator or a Clearing Participant of ASX Clear, you have no claim arising out of the Transfer against the compensation arrangement applicable to the Approved Market Operator or the Clearing Participant of ASX Clear under the Corps Corporations Act and Corporations Regulations. 6.3 In the event that we breach any of the provisions of this Sponsorship Agreement, you may refer that breach to any regulatory authority, including ASX Settlement. 6.4 In the event that we are suspended from CHESS participation, subject to the assertion of an interest in Financial Products controlled by us, or by the liquidator, receiver, administrator or trustee appointed: of that Participant: a. you have the right, within twenty (20) Business Days of ASX Settlement giving Notice of suspension, to give notice to ASX Settlement requesting that any Sponsored Holdings be removed either: i. from the CHESS Subregister; or ii. from the control of the suspended Participant to the control of another Participant with whom they have concluded a valid Sponsorship Agreement pursuant to Rule 12.19.10; or b. where you do not give notice under clause 6.4(a), ASX Settlement may effect a change of Controlling Participant under Rule 12.19.11 and you will be deemed to have entered into a new Sponsorship Agreement with the substitute Participant on the same terms as the existing Sponsorship Agreement. Where a Sponsored Holder is deemed to have entered into a Sponsorship Agreement, the new Participant must enter into a Sponsorship Agreement with you within ten (10) Business Days of the change of Controlling Participant. 6.5 You acknowledge that in the event of the death or bankruptcy of you, a Holder Record Lock will be applied to all Sponsored Holdings in accordance with the ASX Settlement Rules, unless your legally appointed representative or trustee elects to remove the Sponsored Holdings from the CHESS Subregister. 6.6 You acknowledge that in the event of your death, this Sponsorship Agreement is deemed to remain in operation, in respect of the legally appointed representative authorised to administer your estate, subject to the consent of the legally appointed representative, for a period of up to three calendar months after the removal of a Holder Record Lock applied pursuant to Clause 6.5.

Notifications and acknowledgments. 6.1 You acknowledge that if we are not a Market Participant of an Approved Market Operator, neither the Approved Market Operator, nor any Related Party of the Approved Market Operator has any responsibility for regulating the relationship between you and us, other than in relation to the rules relating to the Sponsorship Agreement. 6.2 You acknowledge that if a Transfer is taken to be effected by us under Section 9 of the ASX Clear Operating Rules and the Source Holding for the Transfer is a Sponsored Holding under the Sponsorship Agreement, then: a. you may not assert or claim against ASX Settlement or the relevant Issuer that the Transfer was not effected by us or that we were not authorised by you to effect the Transfer; and b. unless the Transfer is also taken to have been effected by a Market Participant of an Approved Market Operator or a Clearing Participant of ASX Clear, you have no claim arising out of the Transfer against the compensation arrangement applicable to the Approved Market Operator or the Clearing Participant of ASX Clear under the Corps Corporations Act and Corporations Regulations. 6.3 In the event that we breach any of the provisions of this Sponsorship Agreement, you You may refer that breach to any regulatory authority, including ASX Settlement. 6.4 In the event that we are suspended from CHESS participation, subject to the assertion of an interest in Financial Products controlled by us, or by the liquidator, receiver, administrator or trustee appointed: of that Participant: a. you You have the right, within twenty (20) Business Days of ASX Settlement giving Notice of suspension, to give notice to ASX Settlement requesting that any Sponsored Holdings be removed either: i. from the CHESS Subregister; or ii. from the control of the suspended Participant to the control of another Participant with whom they have concluded a valid Sponsorship Agreement pursuant to Rule 12.19.10; or b. where You do not give notice under clause 6.4(a), ASX Settlement may effect a change of Controlling Participant under Rule 12.19.11 and You will be deemed to have entered into a new Sponsorship Agreement with the substitute Participant on the same terms as the existing Sponsorship Agreement. Where a Sponsored Holder is deemed to have entered into a Sponsorship Agreement, the new Participant must enter into a Sponsorship Agreement with You within ten (10) Business Days of the change of Controlling Participant. 6.5 You acknowledge that in the event of the death or bankruptcy of You, a Holder Record Lock will be applied to all Sponsored Holdings in accordance with the ASX Settlement Rules, unless Your legally appointed representative or trustee elects to remove the Sponsored Holdings from the CHESS Subregister. 6.6 You acknowledge that in the event of Your death, this Sponsorship Agreement is deemed to remain in operation, in respect of the legally appointed representative authorised to administer Your estate, subject to the consent of the legally appointed representative, for a period of up to three calendar months after the removal of a Holder Record Lock applied pursuant to Clause 6.5.