Company Alert tips

What is Company Alert ?

Company Alert is a simple way to keep an eye on a company.

It allows you to set up and manage Company Alert profiles for the companies you want to monitor, and for the document categories you are interested in. We will email you overnight if your companies lodge any of the documents you've nominated.

Set up a Company Alert

How will I benefit from using Company Alert?

you will be informed overnight when companies tell us about changes
the system is fully automatic
it's free

If you're a company adviser, lawyer, accountant or secretary you can use it to:

find out about documents that are lodged by other authorised persons against companies you represent
obtain confirmation that documents have been lodged, and
receive advice of fundraising, takeovers or share buy-backs

If you're a credit manager you can use Company Alert to:

monitor your loan/credit portfolio, and
respond to changes in the management or status of a company

If you're an investor you will find it useful for:

monitoring companies you invest in, and
knowing when companies release financial results, reports and annual returns

Companies can use Company Alert to:

monitor competitors' financial results
receive shareholder information, and
get advice of fundraising, takeovers and material disclosures

How do I use Company Alert?

When you first arrive at Company Alert you will need to set up your own Company Alert profile. Your personal profile sets up and manages the Alerts you get. For each email address you may have up to five profiles of 25 companies each. Your profile contains your requirements - your name, your email address and details of the companies and documents you wish to monitor. After you have registered your profile you will receive a Profile Number - this is your unique identifier for that group of companies and documents.

You may set up more than one profile. You will receive a different Profile Number for each one. Company Alert will automatically email you if a document is lodged which matches your profile/s.

You can update your profile/s at any time to add companies or change details such as your email address.

How do I create a profile?

Set up a Company Alert

The screen you arrive at will allow you to set up your Company Alert Profile:

select 'Add' from the Action menu
enter your email address and leave the profile number blank
hit 'Submit'.

Do not include any information in the Profile Number space - this unique number will be issued automatically by ASIC after your profile is registered.

The next screen is headed 'Add Company Alert Profile'. On this screen:

enter your Profile Name (this is optional; if you do not wish to nominate a name a default will be used which will be 'Company Alert profile dd/mm/yyyy)
enter a name to describe your profile - if you intend having more than one profile give each a distinctive name
enter the end date for your monitoring - the end date cannot be more than one year in the future
the start date is set automatically to the date on which your Alert is raised
select the types of documents you want to monitor (if you are not sure of what each category covers, see 'What are document categories' below
enter the ACNs or ARBNs of the companies you want to monitor (if you do not know the ACNs there is a link to National Names Index search where you can find them. If you are not sure how the NNI search works you can use the Help screens to assist. (Tip: You may find many companies with similar names. Companies listed on the Stock Exchange usually just have Ltd. after their names, not Pty. Ltd.)
alternatively you may enter the ASX code for the company you wish to monitor
a combination of ACNs, ARBNs, and ASX codes my be used
hit 'Submit Add'

You cannot select different categories of documents for different companies on the one list. The list of documents you have selected applies to all companies on that profile.

If you want to choose a different range of document categories for some companies you may create another profile to include those companies and those documents.

How do I know if my profile has been registered?

Select "Display profile" from the Action menu to view the current details of a profile.

The day after you register or change your profile you will receive an email which will confirm all profile details. This email will also contain your Profile Number which is your unique identifier for this particular group of companies and documents. You will need to use this number in the future - so don't lose this email!

Remember, anyone who knows your profile number can access and update your profile. It is your responsibility to protect the confidentiality of your profile number.

How do I change/check my profile(s)?

After you have created a profile you can 'Display', 'Change', 'Cancel' or 'List' it.

If you want to make changes to or check the status of a profile you have created you must enter your email address and unique Profile Number in the first screen of Company Alert.

Display gives details of the profile you have selected including categories of documents and company names and numbers.

Change allows you to change any information except the Profile Number and the Start Date.

Cancel allows you to do just that - cancel your Profile - but not until you have actually submitted your message!

List allows you to check how many profiles you have registered and their Profile Numbers. Simply select 'List', enter your email address and 'submit'. You will receive a message saying 'Email listing all company alert profiles has been sent' and an email will be sent to you immediately providing your profile numbers and names.

What happens when your alert profile is due to expire?

When you set up your Alert profile, the end date may not be more than one year in the future. Approximately two weeks prior to the end date, you will receive an email advising you that your Alert Profile is due to expire. If you no longer need the Alert, do nothing. If you want to extend your Alert profile, then you must change your Company Alert details.

To change the expiry date:

Go to Company Alert

The screen you arrive at will allow you to change your Company Alert Profile:

select 'Change' from the Action menu
enter your email address
enter your profile number
hit 'Submit'

The next screen is headed 'Change Company Alert Profile'. On this screen:

enter the new end date for your monitoring - note the end date cannot be more than one year in the future from date you are making the change
hit 'Submit Change'

A screen will appear stating that

Change of profile number 00000000 for xxxxxx.xxxxxx@xxxx.xxx.xx successful. An email confirming the updated profile details will be sent to you tonight.

What information will I get from Company Alert?

Company Alert will tell you the types of documents lodged. The document type will indicate such things as:

changes to the status of a company, for example: appointment of a receiver, liquidator or external administrator
application for winding-up the company
deregistration
changes in the officeholders of a company
lodgement of registered securities over debt
lodgement of share buy-back documentation
other circumstances likely to significantly change the prospects of a company that the law requires the company to make public

If you require further details about the document, you can purchase a company extract or a copy of the document from our Information Brokers.

How many companies can I monitor?

Company Alert will allow you to monitor up to 25 companies on a single profile. You may create up to 5 profiles for each email address.

How will I be advised when documents are lodged?

All Company Alert notifications will be emailed to you at the email address in your profile. We will notify you by overnight email that a document has been submitted for lodgement. The email will be despatched on the evening of the day the document is entered into the ASIC database.

What happens if emails cannot be delivered?

Company Alert is automated. It will use standard Internet email facilities to attempt to deliver an email to the address specified in your profile. If this attempt to deliver your email is unsuccessful, no further attempts will be made.

It is your responsibility to ensure that your profile/s specify a valid email address.

How much does it cost to use?

Nothing, but there is a cost if you require company extracts or copies of documents.

How do I get company extracts or copies of documents?

When you receive an email telling you that a document has been lodged you can buy a company extract or DocImage (a copy of the document) from our information brokers.

What are document categories?

Your profile/s can specify that you wish to be notified if any document is lodged for a company or companies, or if one or more particular categories of documents are lodged.

The categories which can be specified on a profile are shown below. To view a list of the ASIC form codes included in each category, click on the category heading.

Please note: Some forms in these lists are no longer used, and are only included for historical purposes. You can download a list of current forms for reference by clicking here.

Internal administration documents
This category covers documents that result in changes of company name, type or class, change of registered office, initial appointment and changes to directors and secretaries of companies, foreign companies and registered Australian bodies, allotment of shares, alteration to share capital and notices relating to substantial shareholdings.

Buy back documents
This category covers copies of resolutions, offer documents, notices, disclosures relevant to information when offer made, and notice of cancellation of shares relating to buy-backs.

Debt documents
This category covers notices that cmpanies have been placed in any type of external administration, notices of appointments of external administrators and notices of ceasing or changes to details of external administrators. Also, notices of particulars of charges, variations of charges and notices of satisfaction or partial satisfaction of charges.

Deregistration documents
This category includes applications to ASIC, or action initiated by ASIC, to deregister a company, or restore a deregistered company to the register. It covers all documents that result in a change in the status of a company to either SOFF (meaning strikeoff action has been initiated) or to DRGD (meaning the company has been deregistered).

Disclosure notice documents
This category covers documents that inform ASIC of significant changes in an organisation that could have some affect on its future prospects or market value. This includes changes in control, acquisition of significant assets, significant asset revaluation, significant changes in prospects, and suspension of its listing on the Stock Exchange. Please note: Forms 7053 (disclosure notice) lodged over the counter at ASIC Service Centres are not publicly available until they have been imaged.

Financial documents
This category covers accounts of public companies including accounts of disclosing entities (yearly and half-yearly), copies of accounts of proprietary companies (if they are required to lodge such documents), and returns by management companies.

Fundraising documents
This category covers all fundraising documents including supplementary prospectuses.

Takeovers (short) documents
This category covers only parts A, B, C and D statements of takeover documents.

Takeovers (all) documents
This category covers all takeover documents.

What are the terms of participation for Company Alert?

By using Company Alert profile, you agree that the following sets out the Terms of Participation ('terms') in the Company Alert system ('ALERT').

1. ASIC does not guarantee the accuracy of the contents of an ALERT notification and will not be liable for any loss or damage resulting from its use.

2. ASIC does not guarantee that the operation of the ALERT system will be error free. If errors occur, ASIC's liability is limited to resupplying the information.
3. The information used in the ALERT system is and remains Crown copyright.

4. You will not transfer any of your rights or obligations under these terms.

5. The laws of the State of Victoria govern these terms.

Set up a Company Alert

This is Information Sheet 21 (INFO 21). Information sheets provide concise guidance on a specific process or compliance issue or an overview of detailed guidance.

ASIC Website: Printed 07/29/2010

Number:	-- OR --
Name: