IBA –Securities Law Committee Survey on Form Requirements January 2021 Table of contents I. Does your jurisdiction have a general form requirement for contracts? ......... 11 A. Australia ................................................................................................................... 11 B. Austria ..................................................................................................................... 11 C. Belgium .................................................................................................................... 11 D. Brazil ........................................................................................................................ 11 E. Canada .................................................................................................................... 12 F. Mainland China ........................................................................................................ 12 G. Czech Republic ........................................................................................................ 12 H. Denmark .................................................................................................................. 13 I. England.................................................................................................................... 14 J. Finland ..................................................................................................................... 14 K. France ..................................................................................................................... 15 L. Germany .................................................................................................................. 15 M. Hong Kong ............................................................................................................... 16 N. Hungary ................................................................................................................... 16 O. Indonesia ................................................................................................................. 17 P. Ireland ...................................................................................................................... 17 Q. Italy .......................................................................................................................... 18 R. Malaysia................................................................................................................... 18 S. Myanmar .................................................................................................................. 19 T. The Netherlands ...................................................................................................... 20 U. Nigeria ..................................................................................................................... 20 V. Norway .................................................................................................................... 21 W. Poland ..................................................................................................................... 21 X. Singapore ................................................................................................................ 22 Y. Spain ....................................................................................................................... 22 Z. Sweden .................................................................................................................... 23 AA. Switzerland .............................................................................................................. 23 BB. United States (New York/Delaware) ......................................................................... 24 CC. Vietnam.................................................................................................................... 25 II. Does your jurisdiction have specific form requirements in connection with the purchase, sale, issuance, transfer (eg, by way of assignment) or listing of securities? .................................................................................................. 25 A. Australia ................................................................................................................... 25 B. Austria ..................................................................................................................... 25 C. Belgium .................................................................................................................... 26 D. Brazil ........................................................................................................................ 28 E. Canada .................................................................................................................... 29 F. Mainland China ........................................................................................................ 29 G. Czech Republic ........................................................................................................ 30 H. Denmark .................................................................................................................. 31 I. England.................................................................................................................... 32 J. Finland ..................................................................................................................... 33 K. France ..................................................................................................................... 34 L. Germany .................................................................................................................. 34 M. Hong Kong ............................................................................................................... 35 N. Hungary ................................................................................................................... 35 O. Indonesia ................................................................................................................. 36 P. Ireland ...................................................................................................................... 36 Q. Italy .......................................................................................................................... 37 R. Malaysia................................................................................................................... 38 S. Myanmar .................................................................................................................. 38 T. The Netherlands ...................................................................................................... 39 U. Norway .................................................................................................................... 39 V. Nigeria ..................................................................................................................... 40 W. Poland ..................................................................................................................... 40 X. Singapore ................................................................................................................ 42 Y. Spain ....................................................................................................................... 42 Z. Sweden .................................................................................................................... 43 AA. Switzerland .............................................................................................................. 44 BB. US (New York/Delaware) ......................................................................................... 45 CC. Vietnam.................................................................................................................... 46 III. Does your jurisdiction allow the issuance or conversion of securities in 'dematerialised' form? How are 'dematerialised securities' created and transferred? .................................................................................................... 46 A. Australia ................................................................................................................... 46 B. Austria ..................................................................................................................... 46 C. Belgium .................................................................................................................... 47 D. Brazil ........................................................................................................................ 47 E. Canada .................................................................................................................... 48 F. Mainland China ........................................................................................................ 48 G. Czech Republic ........................................................................................................ 48 H. Denmark .................................................................................................................. 49 I. England.................................................................................................................... 50 J. Finland ..................................................................................................................... 50 K. France ....................................................................................................................