Response to ASX Price and Volume Query
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Ms Anjuli Sinniah 29 June 2018
Senior Advisor
ASX Listings Compliance
Level 40, Central Park
152-158 St Georges Terrace
Perth WA 6000
Volume QUERY
In reference to your letter of 28 June 2018 regarding the change in the price of AU1’s securities from a close of
$0.009 on 27 June 2018 to a low of $0.007 at the time of receiving your letter, the response to your five queries
are as follows:
1. Is AU1 aware of any information concerning it that has not been announced to the market which, if
known by some in the market, could explain the recent trading in its securities?
No, the Company is not aware of any information concerning it that has not been announced to the
market.
2. If the answer to question 1 is “yes”:
a) Is AU1 relying on Listing Rule 3.1A not to announce that information under Listing Rule 3.1?
Please note that the recent trading in AU1’s securities would suggest to ASX that such
information may have ceased to be confidential and therefore AU1 may no longer be able to rely
on Listing Rule 3.1A. Accordingly, if the answer to this question is “yes”, you need to contact us
immediately to discuss the situation.
Not applicable.
b) Can an announcement be made immediately?
Not applicable.
Please note, if the answer to this question is “no”, you need to contact us immediately to
discuss requesting a trading halt (see below).
c) If an announcement cannot be made immediately, why not and when is it expected that an
announcement will be made?
Not applicable.
3. If the answer to question 1 is “no”, is there any other explanation that AU1 may have for the recent
trading in its securities?
No.
4. Please confirm that AU1 is in compliance with the Listing Rules and, in particular, Listing Rule 3.1.
Yes.
5. Please confirm that AU1’s responses to the questions above have been authorised and approved in
accordance with its published continuous disclosure policy or otherwise by its board or an officer of
AU1 with delegated authority from the board to respond to ASX on disclosure matters.
I confirm that I have delegated authority of the board to respond to ASX on disclosure matters and that
the responses have been approved by the Managing Director.
Please contact me if you would like to discuss any of the above matters.
Yours sincerely,
STUART USHER
Company Secretary
28 June 2018
Mr Stuart Usher
Company Secretary
The Agency Group Australia Ltd
254 Scarborough Beach Road
DOUBLEVIEW WA 6018
By email: susher@regencycorporate.com.au
Dear Stuart
The Agency Group Australia Ltd (the “Entity”): volume query
We note the change in the price of AU1’s securities from a close of $0.009 on 27 June 2018 to a low of $0.007 at the time
of writing today.
We also note the significant increase in the volume of AU1’s securities traded today.
In light of this, ASX asks AU1 to respond separately to each of the following questions and requests for information:
1. Is AU1 aware of any information concerning it that has not been announced to the market which, if known by
some in the market, could explain the recent trading in its securities?
2. If the answer to question 1 is “yes”:
a) Is AU1 relying on Listing Rule 3.1A not to announce that information under Listing Rule 3.1?
Please note that the recent trading in AU1’s securities would suggest to ASX that such information may
have ceased to be confidential and therefore AU1 may no longer be able to rely on Listing Rule 3.1A.
Accordingly, if the answer to this question is “yes”, you need to contact us immediately to discuss the
situation.
b) Can an announcement be made immediately?
Please note, if the answer to this question is “no”, you need to contact us immediately to discuss requesting
a trading halt (see below).
c) If an announcement cannot be made immediately, why not and when is it expected that an announcement
will be made?
3. If the answer to question 1 is “no”, is there any other explanation that AU1 may have for the recent trading in its
securities?
4. Please confirm that AU1 is in compliance with the Listing Rules and, in particular, Listing Rule 3.1.
5. Please confirm that AU1’s responses to the questions above have been authorised and approved in accordance
with its published continuous disclosure policy or otherwise by its board or an officer of AU1 with delegated
authority from the board to respond to ASX on disclosure matters.
When and where to send your response
This request is made under, and in accordance with, Listing Rule 18.7. Your response is required as soon as reasonably
possible and, in any event, by not later than half an hour before the start of trading (ie before 9.30 am AEST) on Friday
20 Bridge Street
Sydney NSW 2000
PO Box H224 Customer service 13 12 79
ASX Limited ABN 98 008 624 691 Australia Square NSW 1215 asx.com.au
29 June 2018. If we do not have your response by then, ASX will have no choice but to consider suspending trading in
AU1’s securities under Listing Rule 17.3.
You should note that if the information requested by this letter is information required to be given to ASX under Listing
Rule 3.1 and it does not fall within the exceptions mentioned in Listing Rule 3.1A, AU1’s obligation is to disclose the
information “immediately”. This may require the information to be disclosed before the deadline set out in the previous
paragraph.
ASX reserves the right to release a copy of this letter and your response on the ASX Market Announcements Platform
under Listing Rule 18.7A. Accordingly, your response should be in a form suitable for release to the market.
Your response should be sent to me by e-mail at anjuli.sinniah@asx.com.au and tradinghaltsperth@asx.com.au. It should
not be sent directly to the ASX Market Announcements Office. This is to allow me to review your response to confirm
that it is in a form appropriate for release to the market, before it is published on the ASX Market Announcements
Platform.
Listing Rules 3.1 and 3.1A
Listing Rule 3.1 requires a listed entity to give ASX immediately any information concerning it that a reasonable person
would expect to have a material effect on the price or value of the entity’s securities. Exceptions to this requirement are
set out in Listing Rule 3.1A.
In responding to this letter, you should have regard to AU1’s obligations under Listing Rules 3.1 and 3.1A and also to
Guidance Note 8 Continuous Disclosure: Listing Rules 3.1 – 3.1B.
It should be noted that AU1’s obligation to disclose information under Listing Rule 3.1 is not confined to, nor is it
necessarily satisfied by, answering the questions set out in this letter.
Trading halt
If you are unable to respond to this letter by the time specified above, or if the answer to question 1 is “yes” and an
announcement cannot be made immediately, you should discuss with us whether it is appropriate to request a trading
halt in AU1’s securities under Listing Rule 17.1.
If you wish to request a trading halt, you must tell us:
• the reasons for the trading halt;
• how long you want the trading halt to last;
• the event you expect to happen that will end the trading halt;
• that you are not aware of any reason why the trading halt should not be granted; and
• any other information necessary to inform the market about the trading halt, or that we ask for.
We require the request for a trading halt to be in writing. The trading halt cannot extend past the commencement of
normal trading on the second day after the day on which it is granted.
You can find further information about trading halts in Guidance Note 16 Trading Halts & Voluntary Suspensions.
If you have any queries or concerns about any of the above, please contact me immediately.
Kind regards
[Sent electronically without signature]
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Anjuli Sinniah
Senior Adviser, Listings Compliance (Perth)
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