Helm A compliance portal
by Luma Legal

Your company, in one place.

Helm reads the forms your company already lodges and turns them into a live compliance record. Placement capacity, deadlines, registers and board reporting, current to the last document you dropped in.

In evaluation with ASX listed entities. A limited number of evaluation partners are being taken on.

Set up from forms you have already lodged, in about half an hour
Built by a corporate and commercial law firm, not a software house
Every figure names the document behind it
Your data stays in your own browser

The flagship

Placement capacity, worked out in front of you.

Listing Rule 7.1 runs on a rolling twelve month window. Helm holds that window, applies the limb each issue was actually made under, and shows every line of the arithmetic against the form it came from. It states the number a company secretary would otherwise work out by hand.

An Appendix 2A never states the limb. The Appendix 3B it completes does, at Part 7D.1. Helm reads the two together, which is the difference between a capacity figure that is right and one that is only plausible.

Helm's Headroom module showing placement capacity for a listed entity, with Variable A, the amount available under Listing Rule 7.1 and Rule 7.1A, and the combined figure that can be issued without security holder approval. — Headroom, capital and capacity. The figure available today under Listing Rules 7.1 and 7.1A, with the working behind it.

The live record

One screen for the whole entity.

The Overview shows what needs attention today and what is coming, and every figure links back to the module it comes from. It is built from the fifty documents the company has already lodged, not from anything keyed in by hand.

Helm's Overview dashboard, listing the modules down the left, a note on the documents it was built from, and the headline figures for the entity. — Overview, the dashboard. Attention items, the capital snapshot and what is coming up, each linked to its source.

The problem

Compliance does not scale with the size of the team.

The Corporations Act and the Listing Rules apply in full to every listed entity, and the deadlines are the same length for everyone. None of it is difficult, and all of it is easy to miss, and the difference is that a miss is published.

chapters of the Listing Rules apply in an ordinary trading year

business days to lodge a director's interest notice, and the clock starts on something in that director's private affairs

business days to cleanse an issue, or those securities stay restricted for twelve months

15%

placement capacity, worked out from a five part formula on a rolling twelve month window

business days for a substantial holder to notify you, and you release the notice the same day

spreadsheet doing all of it, usually held by one person working part time

What Helm is

It reads the forms you already lodge.

Drop in the document, review what it found

Drag in the PDF you lodged, whether that is an Appendix 2A, 3B, 3G, 3H or 4G, a director's interest notice, a substantial holder notice, a cleansing statement or the annual report. Helm reads it, updates the register, recalculates your capacity and moves the affected deadlines. You review what it found and approve it before anything is saved.

A guided setup page that names each form and the order to load it in
Nothing is keyed twice, and nothing is saved until you accept it
Every figure names the document behind it

What it deliberately does not do

It does not give legal advice
It does not draft your documents
It does not lodge anything with ASX
It does not decide a Chapter 11 or a related party question

Where the answer needs a lawyer, Helm queues a scoped instruction to Luma Legal with your current figures already in it.

The portal

Seventeen modules, seven headings, one entity.

Setup gets the entity loaded from forms it has already lodged. The rest answer the questions a company secretary gets asked, and every one of them reads from the same record. Each module carries its name, what it holds, and its own colour.

Getting set up

Setup

Start here

A guided checklist naming every form to load and the order to load it in, with a progress bar.

Every day

Overview

Dashboard

What needs attention today and what is coming, every figure linked back to the document behind it.

Every day

Company

Source of truth

The entity's details, balance date, AGM and directors, entered once and read by every other module.

Capital

Headroom

Capital & capacity

Your 7.1 and 7.1A placement capacity off the rolling twelve month window, with the cleansing clock running.

Capital

Finance

Cash & reporting

Cash at the most recent quarter, the funding runway drawn from it, and the financial reporting calendar.

Capital

Ledger

Securities register

The securities register and every capital event, with the arithmetic and the form behind each figure.

Capital

Holders

Holdings & control

Substantial holders, the 20% control line and the twenty largest holders, read from the notices lodged.

Capital

Transactions

Acquisitions & disposals

Flag an acquisition, a disposal or a change of activities early, and the assessment comes back from the firm.

The calendar and the board

Diary

Reporting & deadlines

Every periodic reporting and lodgement deadline, from the quarterly 5B to the annual report, on one calendar.

The calendar and the board

Board

Directors & AGM

The board, who must stand for election by rotation, directors' interests, and what that puts on the agenda.

Disclosure and governance

Disclosure

Decision log

A continuous disclosure log recording the limb relied on, written as each decision is made.

Disclosure and governance

Market

Announcements & price

Announcements, price and volume, and the 15 day VWAP that sets the placement price floor.

Disclosure and governance

Governance

ASX recommendations

Your governance statement read against all 35 ASX recommendations, straight from your Appendix 4G.

Meetings and lodgements

Meetings

Board pack & minutes

The board pack before the meeting, the minutes after it, and what each resolution triggers next.

Meetings and lodgements

Forms

Prepare a lodgement

Every ASX and ASIC lodgement form pre-filled from what Helm holds, with the source named against each figure.

Reference

Record

What Helm holds

Every document Helm has read, what each one filled in, and everything held in this browser.

Reference

Requests

to Luma Legal

Every instruction queued for Luma Legal, with the current figures attached and where each one is up to.

Swipe, drag, or use the arrows. Seventeen modules across seven headings.

A closer look

Every module reads from the same record.

Helm's Board module, reading appointment dates and the basis on which each director stands for election out of the notices of meeting. — Board, directors and AGM. Appointment dates and the election basis, read out of the notices of meeting.

Helm's Meetings module, showing the board pack, minutes and what each resolution triggers, with a control to start a new meeting. — Meetings, the board pack and minutes. The pack before, the minutes after, and what each resolution triggers.

Helm's Forms module, assembling the information each ASX and ASIC lodgement form calls for from what Helm already holds, with the authority against each form. — Forms, prepare a lodgement. What each ASX and ASIC form asks for, assembled from what Helm already holds.

Helm's Ledger module, the securities register and every capital event, showing the most recent Appendix 2A that states the whole capital table. — Ledger, the securities register. Every capital event, and the working behind each figure.

Built to be lived in

Made for the person who has it open all day.

The Helm jump box open mid search, matching a typed query against destinations across the portal including the Cleansing gate tab inside the Headroom module. — Jump to anything, mid search.

A Helm module with the navigation rail folded away, giving the full width of the screen to a securities register. — The module list folded away, giving the width back.

Reach anything in two keys

Press CtrlK and reach any of fifty one destinations, including every tab inside every module, by typing part of the name.

Fold the list away

The module list folds away and gives the width back, for a long register or a board pack. Use CtrlB, or the pull on the edge of the panel.

One translucent surface

The whole surface is built on a translucent material, so what is chrome and what is content separate without a box drawn around everything.

Legible by measurement

Every label on every screen was measured against the accessibility contrast standard, and the secondary text was darkened until it passed.

Legal and compliance coverage

Every watch item names its authority.

Nothing in the portal runs on a rule of thumb. Every obligation carries the section or the listing rule it comes from, so anyone who asks can check the working.

Placement capacityLR 7.1, 7.1A, 7.4

The rolling window, variable A, ratification and the price floor.

Cleansing and on sales 708A, s 707(3)

Five business days for each issue, with the suspension test run against that issue date.

Director interestsLR 3.19A, 3.19B, s 205G

Five business days from an appointment, a change or a cessation, checked against the holdings register.

Substantial holderss 671B, s 606, s 611

The 5% notice, the 20% line and the creep exception.

Board and rotationLR 14.4, 14.5

Which directors must stand for election, and what that puts on the agenda.

Meetingss 249HA, s 250N, s 250R

Notice periods, the AGM deadline, and a library of standard resolutions.

Related partiesLR 10.11, 10.14, Ch 2E

Flagged and routed, never concluded by the portal.

Continuous disclosureLR 3.1, 3.1A

A decision log recording the limb relied on, written as the decision is made.

Periodic reportingLR 4.2A, 4.3A, 4.5, 5.5

The Appendix 4D, 4E and 5B and the annual report, on one calendar.

GovernanceLR 4.10.3, ASX CGC 4th ed

All 35 recommendations, read straight out of your own Appendix 4G.

EscrowLR Chapter 9

Restricted and voluntary escrow, with every release date on the calendar.

Change of activitiesLR 11.1, 11.2

Recorded and sent to Luma Legal, because the judgement stays with the firm.

For the board

A snapshot to put in front of the board.

Helm produces a board ready snapshot straight from the browser, covering capacity, capital structure, what is coming up and what needs a decision. It is set out in plain words rather than colour coding, so it reads the same printed in black and white as it does on a director's phone.

Securities on issue

856,102,899

Capacity, rule 7.1

128,415,435

Capacity, rule 7.1A

85,610,290

15 day VWAP

$0.0066

How it works with your lawyers

Helm watches. Luma Legal advises.

The portal carries the record, and the firm carries the judgement. Helm stops short of the judgement calls on purpose, because a percentage produced by software gets relied on as an answer, and a Chapter 11 or a Chapter 2E question is not arithmetic.

Something happens

An issue of securities, a notice, a proposed acquisition, or a deadline coming into range.

Helm sees it

It reads the form, updates the register, recalculates the effect and flags what it means.

You decide

Handle it in house, or queue a scoped instruction for the firm.

Luma Legal advises

Your current figures are already in the instruction, so nobody has to go looking for them.

Your data

It stays where you put it.

A governance product holds price sensitive information before the market does, and that shapes every decision about where the data sits. In the evaluation build every figure stays in your own browser on your own machine, so Luma Legal cannot see what you enter. Back up to a single file that you keep, and restore it onto any machine in seconds.

The platform, in thirteen slides

Open the deck

Evaluation programme

Register your interest.

Bring an Appendix 2A, an Appendix 3B and your last annual report. Helm will be running on your own figures before the meeting is over.

A walkthrough on your own entity, no obligation
An evaluation licence while you decide
Set up and data loading handled by us

Prefer email or a phone call? admin@lumalegal.com.au