Treasury Laws Amendment (ASIC Fees) Regulations 2018
I, the Honourable Paul de Jersey AC QC, Administrator of the Commonwealth of Australia, acting with the advice of the Federal Executive Council, make the following regulations.
Dated 29 June 2018
Paul de Jersey
Administrator
By His Excellency’s Command
Kelly O’Dwyer
Minister for Revenue and Financial Services
Contents
1 Name
2 Commencement
3 Authority
4 Schedules
Schedule 1—Main amendments
Corporations (Fees) Regulations 2001
National Consumer Credit Protection (Fees) Regulations 2010
Superannuation Auditor Registration Imposition Regulation 2012
Superannuation Industry (Supervision) Regulations 1994
Schedule 2—Amendments commencing 1 July 2019
Corporations (Fees) Regulations 2001
This instrument is the Treasury Laws Amendment (ASIC Fees) Regulations 2018.
(1) Each provision of this instrument specified in column 1 of the table commences, or is taken to have commenced, in accordance with column 2 of the table. Any other statement in column 2 has effect according to its terms.
Commencement information | ||
Column 1 | Column 2 | Column 3 |
Provisions | Commencement | Date/Details |
1. Sections 1 to 4 and anything in this instrument not elsewhere covered by this table | 4 July 2018. | 4 July 2018 |
2. Schedule 1 | 4 July 2018. | 4 July 2018 |
3. Schedule 2 | 1 July 2019. | 1 July 2019 |
Note: This table relates only to the provisions of this instrument as originally made. It will not be amended to deal with any later amendments of this instrument.
(2) Any information in column 3 of the table is not part of this instrument. Information may be inserted in this column, or information in it may be edited, in any published version of this instrument.
This instrument is made under the following:
(a) the Corporations (Fees) Act 2001;
(b) the National Consumer Credit Protection (Fees) Act 2009;
(c) the Superannuation Auditor Registration Imposition Act 2012;
(d) the Superannuation Industry (Supervision) Act 1993.
Each instrument that is specified in a Schedule to this instrument is amended or repealed as set out in the applicable items in the Schedule concerned, and any other item in a Schedule to this instrument has effect according to its terms.
Corporations (Fees) Regulations 2001
1 Part 1 (note before Part 1)
Repeal the note.
2 Regulation 1B
Insert:
indexable matter: see subregulation 3(2A).
old Law has the same meaning as in section 1451 of the old Corporations Law.
retail financial services licence means an Australian financial services licence that covers the provision of a financial service to a retail client (within the meaning of Chapter 7 of the Corporations Act), whether or not the licence also covers the provision of a financial service to a wholesale client (within the meaning of that Chapter).
wholesale financial services licence means an Australian financial services licence that is not a retail financial services licence.
3 Regulation 2 (heading)
Repeal the heading, substitute:
2 Interpretation (Schedules 1 and 2)
4 Regulation 2
Omit “Schedule 1”, substitute “Schedules 1 and 2”.
5 Regulation 3 (heading)
Repeal the heading, substitute:
3 Prescribed fees—Schedules 1 and 2
6 Subregulation 3(1)
Omit “Schedule 1”, substitute “Schedule 1 or 2, unless “no fee” appears in column 2 of the item”.
7 Subregulation 3(2)
Repeal the subregulation, substitute:
(2) The amount of the fee on or after 4 July 2018 is, subject to subregulations (3) to (5), the amount mentioned in column 2 of the item.
Indexable matters
(2A) A chargeable matter is an indexable matter if it is mentioned in an item in Schedule 2, unless “no fee” appears in column 2 of the item.
8 Subregulation 3(3)
Omit “For paragraph 6(1)(b) of the Act, in the financial year starting on 1 July 2010, or a subsequent 1 July”, substitute “In the financial year starting on or after 1 July 2019”.
9 Subregulation 3(3)
Omit “a chargeable matter”, substitute “an indexable matter”.
10 Subregulation 3(3) (definition of previous indexable amount)
Omit “chargeable matter”, substitute “indexable matter”.
11 Subregulation 3(4)
Omit “In the financial year starting on 1 July 2010, or a subsequent 1 July,”, substitute “In the financial year starting on or after 1 July 2019”.
12 Subregulation 3(4)
Omit “a chargeable matter”, substitute “an indexable matter”.
13 Subregulation 3(4)
Omit “the chargeable matter”, substitute “the indexable matter”.
14 Subregulation 3(5)
Repeal the subregulation, substitute:
(5) If the amount worked out under subregulation (3) is an amount of dollars and cents:
(a) if the amount of cents is at least 50 cents—the amount is to be rounded up to the nearest dollar; or
(b) otherwise—the amount is to be rounded down to the nearest dollar.
15 Regulation 5 (heading)
Repeal the heading, substitute:
5 Performance of ASIC functions
16 Before subregulation 5(1)
Insert:
Matters with hourly fee rate
17 Subregulation 5(3)
Repeal the subregulation, substitute:
(2A) For the purposes of section 5 of the Act, the fee set out in subregulation (3) is prescribed for the performance by ASIC of a function conferred on ASIC by the operating rules of a market as required by subsection 798DA(2) of the Corporations Act.
Note 1: These functions are mentioned in subparagraph (k)(iii) of the definition of chargeable matter in subsection 4(1) of the Act. Expressions that are defined in the Corporations Act have the same meanings in these Regulations: see subsection 4(2) of the Act.
Note 2: The fees in this subregulation are subject to limits imposed by section 6 of the Act.
Note 3: Paragraph 7(1)(k) of the Act identifies the person liable to pay the fee and the time at which the liability to pay the fee is incurred.
(2B) For the purposes of section 5 of the Act, the fee set out in subregulation (3) is prescribed for the performance by ASIC of a function required or permitted by regulations made for the purposes of subsection 798E(1) of the Corporations Act.
Note 1: These functions are mentioned in paragraph (l) of the definition of chargeable matter in subsection 4(1) of the Act. Expressions that are defined in the Corporations Act have the same meanings in these Regulations: see subsection 4(2) of the Act.
Note 2: Paragraph 7(1)(l) of the Act identifies the person liable to pay the fee and the time at which the liability to pay the fee is incurred.
(3) The fee is:
(3A) If the amount worked out under subregulation (3) is an amount of dollars and cents:
(a) if the amount of cents is at least 50 cents—the amount is to be rounded up to the nearest dollar; or
(b) otherwise—the amount is to be rounded down to the nearest dollar.
Other matters
18 Regulations 6 and 7
Repeal the regulations.
19 Subregulations 9A(4) and 9B(3)
Omit “a chargeable matter”, substitute “an indexable matter”.
20 Subsection 9B(4) (heading)
Repeal the heading, substitute:
Relationship with item 14 of Schedule 2
21 Subsection 9B(4)
Omit “Item 28 of Schedule 1”, substitute “Item 14 of Schedule 2”.
22 Schedule 1
Repeal the Schedule, substitute:
Note: See regulation 3.
The following table prescribes fees for chargeable matters for the purposes of subregulation 3(1).
Note: See also regulation 2 (interpretation).
ASIC fees | |||
Item | Column 1 | Column 2 | |
Occupational licensing | |||
1 | On lodging an application under section 913A for an Australian financial services licence, if the application is lodged using electronic means: |
| |
| (a) if the application is for a retail financial services licence and the applicant is an individual: |
| |
| (i) low complexity; or | $2,233 | |
| (ii) high complexity; or | $5,025 | |
| (b) if the application is for a retail financial services licence and the applicant is not an individual: |
| |
| (i) low complexity; or | $3,721 | |
| (ii) high complexity; or | $7,537 | |
| (c) if the application is for a wholesale financial services licence and the applicant is an individual: |
| |
| (i) low complexity; or | $1,488 | |
| (ii) high complexity; or | $3,350 | |
| (d) if the application is for a wholesale financial services licence and the applicant is not an individual: |
| |
| (i) low complexity; or | $2,233 | |
| (ii) high complexity Note: An application for an Australian financial services licence that covers the provision of financial services to retail clients and wholesale clients would be an application for a retail financial services licence (as defined in regulation 1B). | $5,025 | |
2 | On lodging an application under section 913A for an Australian financial services licence, if the application is lodged without using electronic means: |
| |
| (a) if the application is for a retail financial services licence and the applicant is an individual: |
| |
| (i) low complexity; or | $3,349 | |
| (ii) high complexity; or | $7,537 | |
| (b) if the application is for a retail financial services licence and the applicant is not an individual: |
| |
| (i) low complexity; or | $5,582 | |
| (ii) high complexity; or | $11,305 | |
| (c) if the application is for a wholesale financial services licence and the applicant is an individual: |
| |
| (i) low complexity; or | $2,233 | |
| (ii) high complexity; or | $5,025 | |
| (d) if the application is for a wholesale financial services licence and the applicant is not an individual: |
| |
| (i) low complexity; or | $3,349 | |
| (ii) high complexity Note: An application for an Australian financial services licence that covers the provision of financial services to retail clients and wholesale clients would be an application for a retail financial services licence (as defined in regulation 1B). | $7,537 | |
3 | On lodging an application under paragraph 914A(2)(b) for imposition, variation or revocation of conditions on an Australian financial services licence, if the application is lodged using electronic means: |
| |
| (a) if the licensee is an individual; or | $2,214 | |
| (b) if the licensee is not an individual | $2,470 | |
4 | On lodging an application under paragraph 914A(2)(b) for imposition, variation or revocation of conditions on an Australian financial services licence, if the application is lodged without using electronic means: |
| |
| (a) if the licensee is an individual; or | $3,328 | |
| (b) if the licensee is not an individual | $3,704 | |
5 | On application to ASIC for approval of a deed of subordination or deed of mutual release as required by a condition imposed on a licence under section 914A | $1,798 | |
6 | On lodging an application under subsection 915A(1) for variation of an Australian financial services licence to take account of a change in the licensee’s name | no fee | |
7 | On application under paragraph 915B(1)(e), (2)(d), (3)(d) or (4)(d) to suspend or cancel an Australian financial services licence | $899 | |
8 | On application for ASIC to revoke a suspension of an Australian financial services licence mentioned in section 915E | $899 | |
9 | On application under Part 9.2 for registration as an auditor | $338 | |
10 | On lodging a statement under section 1287A | no fee | |
11 | On application under paragraph 1289A(3)(b) for imposition, variation or revocation of conditions on registration as an auditor | $1,028 | |
12 | On lodging an application under section 20‑5 of Schedule 2 to the Corporations Act for registration as a liquidator | $2,200 | |
13 | For the registration by ASIC of a person as a liquidator under section 20‑30 of Schedule 2 to the Corporations Act | $1,300 | |
14 | On application under section 20‑40 of Schedule 2 to the Corporations Act for a condition on registration as a liquidator to be varied or removed | $1,018 | |
15 | On lodging an application under section 20‑70 of Schedule 2 to the Corporations Act for the renewal of registration as a liquidator: |
| |
| (a) if the application is lodged more than 1 month before the renewal date; or | $1,720 | |
| (b) if the application is lodged within 1 month before the renewal date | $1,920 | |
16 | On application under paragraph 40‑25(1)(f) or 40‑30(1)(f) of Schedule 2 to the Corporations Act to suspend or cancel registration as a liquidator | $234 | |
17 | On application under subsection 40‑70(2) of Schedule 2 to the Corporations Act for a suspension to be lifted or for the period of a suspension to be shortened | $1,018 | |
Incorporation and registration of companies and other bodies | |||
18 | On application under section 601EA for registration of a managed investment scheme | $3,029 | |
Annual returns and accounts | |||
19 | On lodging a report under section 320 | no fee | |
20 | On lodging a profit and loss statement and balance sheet under subsection 989B(2) | no fee | |
Fundraising | |||
21 | On lodging, under subsection 712(4), a document referred to in a short form prospectus | $321 | |
22 | On lodging, under section 718, a disclosure document that is: |
| |
| (a) a prospectus (including a short form prospectus); or | $3,206 | |
| (b) a profile statement; or | $1,924 | |
| (c) an offer information statement | $1,924 | |
23 | On lodging, under section 719, a supplementary or replacement document that is: |
| |
| (a) a prospectus (including a short form prospectus); or | $802 | |
| (b) a profile statement; or | $321 | |
| (c) an offer information statement | $321 | |
Takeovers | |||
24 | On lodging a notice with ASIC under paragraph 630(5)(c), items 4 and 9 of the table in subsection 633(1) and paragraphs 633(4)(b) and 650F(3)(b) | no fee | |
25 | On lodging, under subsection 633(1), a copy of a bidder’s statement for an off‑market bid for a class of securities | $5,264 | |
26 | On lodging with ASIC a target’s statement (and any accompanying report) mentioned in item 13 of the table in subsection 633(1) in relation to an off‑market bid for a class of securities | $2,565 | |
27 | On lodging with ASIC a target’s statement (and any other document that was sent with the target’s statement to the relevant market operator) mentioned in item 12 of the table in subsection 635(1) in relation to a market bid for a class of securities | $2,565 | |
28 | On lodging, under subsection 635(1), a copy of the bidder’s statement for a market bid for a class of securities | $5,130 | |
29 | On lodging, under item 7 of the table in subsection 635(1), a copy of every other document sent to holders of bid class securities with the bidder’s statement | no fee | |
30 | On lodging, under paragraph 647(3)(a), a supplementary statement in relation to a takeover bid for a class of securities | $802 | |
31 | On lodging, under subsection 648G(9), a copy of a Court order in relation to proportional takeover provisions in a constitution | no fee | |
32 | On lodging a notice with ASIC, as required by subsection 649C(2) or paragraph 650D(1)(b), to vary an offer under a market bid or off‑market bid for a class of securities | $802 | |
33 | On lodging a notice with ASIC under paragraph 654C(3)(b) in relation to a bidder’s voting power | no fee | |
Market licensees | |||
34 | On giving an exemption under subsection 791C(1) in relation to a particular financial market or type of financial market | $1,340 | |
35 | On application to the Minister to vary, under subsection 791C(2), an exemption from all or specified provisions of Part 7.2 | $17,179 | |
36 | On application to the Minister to revoke, under subsection 791C(2), an exemption from all or specified provisions of Part 7.2 | no fee | |
37 | On giving an annual report to ASIC under subsection 792F(1) | no fee | |
38 | On lodging written notice of changes to operating rules with ASIC under subsection 793D(1): |
| |
| (a) low complexity; or | $2,580 | |
| (b) medium complexity; or | $18,035 | |
| (c) high complexity | $44,660 | |
39 | On lodging written notice of changes to operating rules with ASIC under subsection 793D(3) | $1,549 | |
40 | On lodging an application, under subsection 795A(1), for an Australian market licence: |
| |
| (a) low complexity; or | $15,462 | |
| (b) medium complexity; or | $85,888 | |
| (c) high complexity | $154,596 | |
41 | On lodging an application, under subsection 796A(2), for: (a) the imposition of conditions on an Australian market licence; or (b) the imposition of additional conditions on an Australian market licence; or (c) the variation of conditions imposed on an Australian market licence; or (d) the revocation of conditions imposed on an Australian market licence | $38,651 | |
42 | On lodging an application, under subsection 797A(1), for the variation of an Australian market licence to take account of a change in the licensee’s name | $1,549 | |
43 | On application, under paragraph 797B(c), for the Minister to suspend or cancel an Australian market licence | no fee | |
44 | On application for an exemption or declaration under section 798D | $17,180 | |
45 | On giving an exemption under subsection 820C(1) in relation to a particular clearing and settlement facility or type of clearing and settlement facility | $1,340 | |
46 | On application to the Minister to vary, under subsection 820C(2), an exemption from all or specified provisions of Part 7.3 | $17,179 | |
47 | On application to the Minister to revoke, under subsection 820C(2), an exemption from all or specified provisions of Part 7.3 | no fee | |
48 | On giving an annual report to ASIC under subsection 821E(1) | no fee | |
49 | On lodging written notice of changes to operating rules with ASIC under subsection 822D(1): |
| |
| (a) low complexity; or | $2,580 | |
| (b) medium complexity; or | $18,035 | |
| (c) high complexity | $44,660 | |
50 | On lodging written notice of changes to operating rules with ASIC under subsection 822D(3) | $1,549 | |
51 | On lodging an application, under subsection 824A(1), for an Australian CS facility licence: |
| |
| (a) low complexity; or | $15,462 | |
| (b) medium complexity; or | $85,888 | |
| (c) high complexity | $154,596 | |
52 | On lodging an application, under subsection 825A(2), for: (a) the imposition of conditions on an Australian CS facility licence; or (b) the imposition of additional conditions on an Australian CS facility licence; or (c) the variation of conditions imposed on an Australian CS facility licence; or (d) the revocation of conditions imposed on an Australian CS facility licence | $38,651 | |
53 | On lodging an application, under subsection 826A(1), for the variation of an Australian CS facility licence to take account of a change in the licensee’s name | $1,549 | |
54 | On application, under paragraph 826B(c), to the Minister to suspend or cancel an Australian CS facility licence | no fee | |
55 | On lodging an application, under subsection 851A(1), for approval to have voting power of more than 15% | $158,350 | |
56 | On lodging an application, under subsection 851C(2), to extend the period of an approval to have voting power of more than 15% | $670 | |
57 | On lodging an application, under paragraph 851D(3)(b), for the imposition, revocation or variation of conditions on an approval to have voting power of more than 15% | $670 | |
58 | On lodging an application, under subsection 851E(1), to vary a percentage specified in an approval to have voting power of more than 15% | $670 | |
59 | On lodging an application, under subsection 851F(3), for the revocation of an approval to have voting power of more than 15% | $670 | |
60 | On giving the Minister or ASIC information in accordance with regulations made for the purposes of paragraph 854A(1)(c) | $230 | |
61 | On lodging an application, under subsection 882B(1), for compensation arrangements | $15,462 | |
62 | On lodging written notice, under subsection 884B(2), of a change to a matter required to be dealt with by the compensation rules | $38,651 | |
63 | On lodging an application, under subsection 884C(1), for approval of a change to a matter that is not required to be dealt with by the compensation rules | $38,651 | |
64 | On lodging written notice, under subsection 890G(1), of a change to the SEGC’s operating rules | $38,651 | |
65 | On lodging, under subsection 892H(6), a copy of a report and financial statements | no fee | |
66 | On lodging an application, under section 905B, for an Australian derivative trade repository licence | $154,598 | |
67 | On lodging an application, under paragraph 905F(2)(b), for imposition, variation or revocation of conditions on an Australian derivative trade repository licence | $38,651 | |
68 | On lodging an application, under section 905G, for the variation of an Australian derivative trade repository licence to take account of a change in the licensee’s name | $1,549 | |
69 | On lodging an application, under paragraph 905H(c), to suspend or cancel an Australian derivative trade repository licence | no fee | |
70 | On lodging an application for a declaration by ASIC under subsection 1073E(1) | $17,590 | |
71 | On lodging an application for an exemption or declaration by ASIC under subsection 1075A(1) | $17,590 | |
Financial benchmarks | |||
72 | On lodging an application for ASIC to vary or revoke a declaration made by ASIC under subsection 908AC(2) | $38,651 | |
73 | On lodging an application, under section 908BD, for a benchmark administrator licence | $85,888 | |
74 | On lodging an application, under paragraph 908BG(2)(b), for imposition, variation or revocation of conditions on a benchmark administrator licence | $38,651 | |
75 | On lodging an application, under paragraph 908BH(a), for the variation of a benchmark administrator licence to take account of a change in the licensee’s name | $1,549 | |
76 | On lodging an application, under paragraph 908BH(b), for the variation of a benchmark administrator licence to take account of a change in the financial benchmark specified in the licence | $38,651 | |
77 | On lodging an application, under paragraph 908BH(c), for the variation of a benchmark administrator licence to specify one or more further financial benchmarks | $38,651 | |
78 | On lodging an application, under paragraph 908BI(1)(c), to suspend or cancel a benchmark administrator licence | $12,886 | |
79 | On application to ASIC to exempt under subsection 908EB(2) a person or class of persons or exempt a financial benchmark or class of financial benchmarks | $38,651 | |
Other applications | |||
80 | On application to the Minister or ASIC for an approval, exemption, declaration, consent, statement or no‑action letter arising under: (a) a provision in Chapter 1, 2C, 2D, 2E, 2G, 2H, 2J, 2L, 2M, 5, 5B, 5C, 5D, 6, 6A, 6B, 6C, 6D, 7 or 8; or (b) a provision in Part 5.1 or 10.2; or (c) a provision in Schedule 2 to the Corporations Act; or (d) subclause 30(1) or (2) of Schedule 4 to the Corporations Act; or (e) subregulation 5.1.01(1) of the Corporations Regulations; or (f) an instrument made under, for the purposes of, a provision mentioned in paragraph (a), (b), (c) or (d); unless: (g) a fee is provided for the application by any other item in this Schedule or Schedule 2; or (h) “no fee” appears in column 2 of an item in this Schedule or Schedule 2 in relation to the application; or (i) the application is for an approval, exemption, declaration, consent, statement or no‑action letter to apply to all persons or a class of persons and the persons in the class are not relatives or associates | $3,487 | |
81 | On application for ASIC to approve, under section 283GB, a body corporate to be a trustee for the purposes of paragraph 283AC(1)(f) | $16,030 | |
82 | On application for an approval under paragraph 324BD(1)(c) | no fee | |
83 | On application, under paragraph 331AAC(1)(b), for ASIC to appoint an auditor of a registered scheme | no fee | |
84 | On application, under subsection 331AC(1) or (2), for ASIC’s consent to the removal or resignation of an auditor of a scheme | no fee | |
85 | On application for ASIC to permit a lesser period of notice under paragraph 411(2)(a) | no fee | |
86 | On application for ASIC to give a direction under paragraph 448C(3)(b) | $156 | |
87 | On application, under paragraph 494(3)(b), for an extension of time to lodge a declaration of solvency | $156 | |
88 | On application, under paragraph 494(3)(c), for an extension of time to pass a resolution for a voluntary winding up | $156 | |
89 | On application, under paragraph 532(6)(b), for ASIC to direct that paragraph 532(6)(b) does not apply to a person | $156 | |
90 | On application for ASIC to make a direction under subsection 545(2) | $156 | |
91 | On application for ASIC to authorise a person as an eligible applicant for the purposes of Division 1 of Part 5.9 | $468 | |
92 | On lodging an application for ASIC to exercise a power under section 601AE or 601AF | $934 | |
93 | On application, under subsection 601HH(1), for ASIC’s consent to the removal of an auditor of a compliance plan | $791 | |
94 | On application, under subsection 601HH(2), for ASIC’s consent to the resignation of an auditor of a compliance plan | no fee | |
95 | On lodging an application, under subsection 601VBA(1), for approval to have voting power of more than 15% in a particular licensed trustee company | $11,550 | |
96 | On lodging an application, under subsection 601VBC(2), to extend the period for an approval granted under section 601VBB | $5,775 | |
97 | On lodging an application, under subsection 601VBE(1), to vary the percentage specified in an approval granted under section 601VBB | $5,775 | |
98 | On application, under paragraph 601WBA(1)(b), for ASIC to make a voluntary transfer determination | $5,775 | |
99 | On application or request for ASIC to provide an approval or consent under, or for the purposes of, an instrument made under section 655A, 669 or 673 | no fee | |
100 | On application under: (i) subparagraph 911A(2)(h)(ii); or (ii) paragraph 7.9.08(1)(a) of the Corporations Regulations; for approval of an overseas or foreign regulatory body | no fee | |
101 | On application, under paragraph 912B(2)(b), for ASIC to approve arrangements | $1,540 | |
102 | On application, under subsection 921K(1), for ASIC to approve a compliance scheme | $10,147 | |
103 | On application, under subsection 989D(3), for ASIC to approve an extension of the period for lodging a profit and loss statement and balance sheet | no fee | |
104 | On application by a financial services licensee to ASIC for ASIC’s consent to remove an auditor of the licensee from office under paragraph 990F(b) | no fee | |
105 | On application for a declaration under paragraph 1071H(5)(d) that a company is not required to comply with section 1071H | $323 | |
106 | On application, under subsection 30‑1(4) of Schedule 2 to the Corporations Act, for ASIC to extend or further extend the period for a registered liquidator to lodge a return under subsection 30‑1(1) of that Schedule | $156 | |
107 | On application, under subsection 90‑23(2) of Schedule 2 to the Corporations Act, for ASIC to appoint a registered liquidator to carry out a review into a matter that relates to the external administration of a company | $156 | |
108 | On application for the registration by ASIC of a disclosure statement under clause 32 of Schedule 4 to the Corporations Act | $2,695 | |
109 | On making an application to the Panel under the Corporations Act (other than an application made by ASIC) | $2,400 | |
110 | On application for ASIC to allow a further period for a liquidator to deal with proofs as mentioned in paragraph 5.6.53(1)(b) of the Corporations Regulations | $156 | |
111 | On application for ASIC to allow a further period for a liquidator to deal with a formal proof of debt or claim as mentioned in paragraph 5.6.66(1)(b) of the Corporations Regulations | $156 | |
112 | On application for ASIC to approve a guarantee mentioned in sub‑subparagraph 7.6.02AAA(3)(b)(ii)(B) of the Corporations Regulations | $1,540 | |
113 | On application under subregulation 7.8.02(6C) of the Corporations Regulations that the minimum balance of money held in an account to which section 981B relates may be reduced below the amount required by subregulation 7.8.02(6) of those Regulations | $270 | |
114 | On application under paragraph 7.8.16(4)(b) of the Corporations Regulations that a person is not an officer of a body corporate for the purposes of subregulations 7.8.16(1) and (2) of those Regulations | $270 | |
115 | On application under subparagraph 7.9.32(2)(a)(ii) of, or Part 16 of Schedule 10A to, the Corporations Regulations for an extension of fund reporting periods | $270 | |
116 | On application for ASIC to provide a waiver under rule 1.2.1 of: (a) the ASIC Market Integrity Rules (Futures Markets) 2017; or (b) the ASIC Market Integrity Rules (Futures Markets – Capital) 2017; or (c) the ASIC Market Integrity Rules (IMB Market) 2010; or (d) the ASIC Market Integrity Rules (Securities Markets) 2017; or (e) the ASIC Market Integrity Rules (Securities Markets – Capital) 2017 | $14,775 | |
117 | On application for ASIC to accept an identification statement as mentioned in subparagraph 5(3)(a)(i) of the ASIC Corporations (Charitable Investment Fundraising) Instrument 2016/813 | $2,391 | |
118 | On application for ASIC to revoke an approval granted under section 1067 of the old Law, to the extent that provision continues to have effect because of section 1454 of the old Corporations Law and section 1408 | $1,196 | |
119 | On application for ASIC to vary the conditions of an approval mentioned in section 1067 of the old Law, to the extent that provision continues to have effect because of section 1454 of the old Corporations Law and section 1408 | $1,196 | |
120 | On application for ASIC to make a declaration mentioned in subsection 1069(3) of the old Law, to the extent that provision continues to have effect because of section 1454 of the old Corporations Law and section 1408 | $3,587 | |
121 | On application for ASIC to make an exemption as mentioned in subsection 1084(2) of the old Law from compliance with any or all of the provisions of Division 5 of Part 7.12 of Chapter 7 of the old Law, to the extent that provision continues to have effect because of section 1454 of the old Corporations Law and section 1408 | $159 | |
122 | On application for ASIC to make a declaration mentioned in subsection 1084(6) of the old Law in relation to Division 5 of Part 7.12 of Chapter 7 of old Law, to the extent that provision continues to have effect because of section 1454 of the old Corporations Law and section 1408 | $159 | |
123 | On application for ASIC to discharge a security as mentioned in regulation 7.3.06 of the old Corporations Regulations, to the extent that provision continues to have effect because of section 1380 | $1,284 | |
124 | On application to ASIC for an exemption or declaration, or a variation or revocation of an exemption or declaration, under Part 29 of the Superannuation Industry (Supervision) Act 1993 | $3,478 | |
Other matters | |||
125 | On lodging a proposed notice of meeting under subsection 218(1) | $802 | |
126 | On submission to ASIC, for examination, a draft explanatory statement for a proposed compromise or arrangement between a Part 5.1 body and all, or a class, of its members or creditors as required by subsection 411(2) | $5,290 | |
127 | On submitting a notice of hearing under paragraph 411(2)(a) to ASIC for examination | no fee | |
128 | (a) On lodging with ASIC for registration an explanatory statement under subsection 412(6); or (b) on submission to ASIC for examination of an explanatory statement for the purposes of subsection 412(7) | $321 | |
129 | On lodging with ASIC, under subregulation 5.6.75(3) of the Corporations Regulations, a notice mentioned in paragraph 465A(1)(c) to be published in the prescribed manner | $145 | |
130 | On lodging with ASIC, under subregulation 5.6.75(3) of the Corporations Regulations, a notice mentioned in subsection 465A(2) to be published in the prescribed manner | no fee | |
131 | On electronically lodging a notice with ASIC for publication on ASIC’s publication website, as required by section 491 | $64 | |
132 | On lodging a notice with ASIC under subsection 601FL(2) or 601FM(2) relating to a change of responsible entity of a registered scheme | $1,187 | |
133 | On lodging a notice under subsection 601FP(3) informing ASIC of the appointment of a temporary responsible entity of a registered scheme by the Court | $1,187 | |
134 | On lodging a notice under subsection 601FQ(4) asking ASIC to alter the record of a scheme’s registration to name a new responsible entity | $1,187 | |
135 | On lodging a notice with ASIC under paragraph 661B(1)(b) relating to a compulsory acquisition following a takeover | $802 | |
136 | On lodging a notice with ASIC under paragraph 662B(1)(b) relating to a right to buy out holders of bid class securities following a takeover bid | $641 | |
137 | On lodging a notice with ASIC under paragraph 663B(1)(b) relating to a right to buy out holders of convertible securities following a takeover bid | $160 | |
138 | On lodging a notice with ASIC under paragraph 664C(2)(a) relating to a compulsory acquisition of securities | $802 | |
139 | On lodging a copy of an objection form with ASIC under subsection 664E(2) relating to an objection to the compulsory acquisition of securities covered by a compulsory acquisition notice | $802 | |
140 | On lodging a list with ASIC under subsection 664E(3) relating to members objecting to a compulsory acquisition | $160 | |
141 | On lodging a notice with ASIC under paragraph 665B(1)(b) relating to a right to buy out holders of convertible securities by a 100% holder | $160 | |
142 | On lodging, by a disclosing entity, a document referred to in subsection 675(2) relating to price sensitive information | no fee | |
143 | On lodging any document under subsection 912C(1), 912D(1) or (2) or 912E(2) or paragraph 913B(1)(ca) | no fee | |
144 | On lodging a notice under subsection 922HA(3) | $250 | |
145 | On giving notice by an auditor of a financial services licensee to ASIC under paragraph 990G(1)(a) | no fee | |
146 | Lodgment with ASIC of: (a) a Product Disclosure Statement mentioned in section 1015B; or (b) a Replacement Product Disclosure Statement under Subdivision E of Division 2 of Part 7.9; or (c) a Supplementary Product Disclosure Statement under Subdivision E of Division 2 of Part 7.9 | $1,993 | |
147 | On lodging a notice with ASIC about the occurrence of an event mentioned in paragraph 1015D(2)(a), (b) or (c) | no fee | |
148 | On lodging with ASIC, under subsection 1200C(5), a notice and documents and information required to be lodged under section 1200D | $321 | |
149 | On lodging a document, statement or notice with ASIC under subsection 1200G(9) | $160 | |
150 | On lodging with ASIC a notice mentioned in subsection 1460(5) or paragraph 1460(6)(c) of the old Corporations Law, to the extent that those provisions continue to have effect because of section 1408 | $478 | |
151 | On lodging with ASIC a deed, or a copy of a deed, mentioned in paragraph 1066(1)(c) of the old Law, to the extent that provision continues to have effect because of section 1454 of the old Corporations Law and section 1408 | $478 | |
152 | On lodging a copy of a scheme under paragraph 195(c) of the Life Insurance Act 1995 when the scheme is confirmed | $2,695 | |
153 | On lodging a copy of a scheme under paragraph 17G(c) of the Insurance Act 1973 when the scheme is confirmed | $2,695 | |
Other matters with no fee | |||
154 | On lodging a deed in relation to an application with ASIC for an exemption or modification under section 340 | no fee | |
155 | On lodging a notice under paragraph 465A(1)(a) | no fee | |
156 | On lodging an auditor’s report with ASIC under subsection 601HG(7) | no fee | |
157 | On lodging with ASIC, under subsection 601KB(5), a copy of a withdrawal offer | no fee | |
158 | On lodging a notice with ASIC mentioned in subsection 990B(6) relating to the appointment of an auditor of an Australian financial services licensee | no fee | |
159 | On lodging, under subsection 1287(1), particulars of an event mentioned in that subsection | no fee | |
160 | On lodging a notice under subsection 1299F(3) | no fee | |
161 | On lodging a notice, under regulation 5C.1.02 of the Corporations Regulations, to change the name of a registered scheme | no fee | |
162 | On lodging a notice, under regulation 5C.9.01 of the Corporations Regulations, telling ASIC that winding up of a scheme has commenced or been completed | no fee | |
163 | On lodging with ASIC, under subregulation 7.5.90(4) of the Corporations Regulations, a completed Form 719 | no fee | |
Authorised audit companies | |||
164 | On lodging an application for registration as an authorised audit company under section 1299A | $3,429 | |
165 | On lodging an annual statement under section 1299G | no fee | |
Note: See regulation 3.
The following table prescribes fees for chargeable matters for the purposes of subregulation 3(1).
Note: See also regulation 2 (interpretation).
Registry fees | ||
Item | Column 1 | Column 2 |
Incorporation and registration of companies and other bodies | ||
1 | On application for: |
|
| (a) registration of a company under section 118: |
|
| (i) if the company has a share capital; or | $488 |
| (ii) if the company does not have a share capital; or | $403 |
| (b) transfer of the registration of a company under section 119A; or | $488 |
| (c) registration of a company under section 601BD: |
|
| (i) if, at the time of lodging the application, the body corporate was registered under Division 2 of Part 5B.2; or | $403 |
| (ii) in any other case | $488 |
2 | On lodging the documents under Part 5B.2 for the registration of: |
|
| (a) a registrable Australian corporation: |
|
| (i) if, in its place of origin, it is incorporated or registered under a law dealing with the incorporation of associations; or | $403 |
| (ii) if, in its place of origin, it is incorporated or registered under a law except a law dealing with the incorporation of associations; or | $488 |
| (b) a foreign company | $488 |
Choice of review date | ||
3 | On application under subsection 345B(1) or (2) for approval of a choice of a review date by a company or the responsible entity of a registered managed investment scheme to which item 4 of this Schedule does not apply | $40 |
4 | On application under subsection 345B(1) or (2) for approval of a choice of a review date, by one or more companies having the same ultimate holding company, director or company secretary, or the responsible entity of one or more registered managed investment schemes: |
|
| (a) for an application relating to fewer than 10 companies or registered managed investment schemes; or | $40 for each company or scheme |
| (b) for an application relating to at least 10 companies or registered managed investment schemes | $397 |
Annual returns and accounts | ||
5 | On lodging a report under section 319 by a disclosing entity, except a company or registered scheme | $1,217 |
6 | On lodging an annual return or balance sheet and profit and loss account of a registered foreign company under section 601CK | $1,217 |
Other applications | ||
7 | On lodging an application for the consent of the Minister under subsection 147(2) or 601DC(2) to the use of a name by a corporation or proposed corporation | $1,217 |
8 | On lodging an application for the reservation of a name under subsection 152(1) or for the extension of a reservation of a name under subsection 152(2) | $49 |
9 | On application: (a) for the exercise by ASIC of its power under subsection 150(1); or (b) under paragraph 157(1)(b) | $403 |
10 | On application under subsection 163(1) | $79 |
11 | On application, under subsection 601AA(1), to deregister a company | $40 |
12 | On application, under subsection 601PA(1), to deregister a registered scheme | no fee |
13 | On lodging an application for which a fee is not provided by any other item in this Schedule or Schedule 1, unless “no fee” appears in column 2 of an item in this Schedule or Schedule 1 in relation to the application | $40 |
Late lodgement | ||
14 | On the late lodgement of a document (in addition to any fee provided by any other item in this Schedule or Schedule 1 for the lodgement of that document): |
|
| (a) if lodged within one month after the prescribed time; or | $79 |
| (b) if lodged more than one month after the prescribed time | $329 |
Supply of information and documents | ||
15 | For a document issued or displayed by ASIC containing information relating to a single corporation or registered scheme, if the information is retrieved using a computer system: |
|
| (a) if requested by or on behalf of the Australian Broadcasting Corporation, the Special Broadcasting Service, the Australian Bureau of Statistics, the holder of a licence for a commercial broadcasting or television station, or the proprietor or publisher of a newspaper generally available to the public otherwise than by subscription: |
|
| (i) if the document contains only current information; or | no fee |
| (ii) if the document contains both current and non‑current information; or | $17 |
| (b) in any other case: |
|
| (i) if the document contains only current information; or | $9 |
| (ii) if the document contains both current and non‑current information | $17 |
16 | For inspecting, or an inquiry involving the inspection of, documents that are lodged by or in relation to a particular corporation or registered scheme: |
|
| (a) if the documents are reproduced using a computer system: |
|
| (i) for less than 10 pages; or | $17 |
| (ii) for 10 pages or more; or | $40 |
| (b) in any other case | $17 |
17 | For inspecting, or an inquiry involving the inspection of, a quarterly report lodged with ASIC under section 283BF | no fee |
18 | For an electronic transmission notifying a change in the information relating to an entity, in addition to any fee payable under item 15 or paragraph (a) of item 16 of this Schedule | $9 |
19 | For inspecting, or an inquiry involving an inspection of, the Register of Licence Holders, the Register of Futures Licensees, the Register of Auditors or the Register of Liquidators: |
|
| (a) if requested by or on behalf of the Australian Broadcasting Corporation, the Special Broadcasting Service, the Australian Bureau of Statistics, the holder of a licence for a commercial broadcasting or television station, or the proprietor or publisher of a newspaper generally available to the public otherwise than by subscription; or | no fee |
| (b) in any other case | $9 |
20 | For inspecting, or an inquiry involving an inspection or search (other than a search of information prescribed, on a register prescribed, for the purposes of subsections 1274A(2), (3) and (4)) of: (a) the register in respect of financial services licensees mentioned in subsection 922A(2); or (b) the register in respect of authorised representatives of financial services licensees, mentioned in subsection 922A(2); or (c) the register in respect of persons against whom a banning order or disqualification order is made, mentioned in subsection 922A(2); or (d) the Register of Relevant providers maintained under section 922Q; by or on behalf of: |
|
| (e) the Australian Broadcasting Corporation, the Special Broadcasting Service, the Australian Bureau of Statistics, the holder of a licence for a commercial broadcasting or television station, or the proprietor or publisher of a newspaper generally available to the public otherwise than by subscription; or | no fee |
| (f) any other person | $12 |
21 | For inspecting, or an inquiry involving the inspection of, the Australian Register of Company Charges and documents lodged by a particular corporation and used by ASIC to compile or maintain that Register, if documents are reproduced using a computer system: |
|
| (a) for less than 10 pages; or | $17 |
| (b) for 10 pages or more | $40 |
22 | For the issue of a document relating to recorded entries about a corporation or a registered scheme, or a director or secretary of a company, on all registers maintained using a computer system: |
|
| (a) if requested by or on behalf of the Australian Broadcasting Corporation, the Special Broadcasting Service, the Australian Bureau of Statistics, the holder of a licence for a commercial broadcasting or television station, or the proprietor or publisher of a newspaper generally available to the public otherwise than by subscription; or | no fee |
| (b) in any other case | $40 |
23 | For a certificate issued by ASIC, except a certificate issued under: (a) paragraph 118(1)(c), section 160, subsection 164(6) or 165(5), paragraph 601BD(1)(c), subsection 601CU(1) or 1280(5), or subsection 20‑30(4) or 20‑75(4) of Schedule 2 to the Corporations Act; or (b) regulation 2A.2.04 of the Corporations Regulations | $19 |
24 | For supplying a certified copy of, or a certified copy of an extract from, a document filed or lodged with ASIC, in addition to the fee payable under item 16, 19 or 21 of this Schedule | $19 |
25 | For the production by ASIC, pursuant to a subpoena, of a document in its custody | $40 |
26 | If the inspection of a register or the issue or display of a document occurs at a Business Centre of ASIC (in addition to the fee payable under item 15, 16, 19, 21 or 22 of this Schedule) | $3 |
National Consumer Credit Protection (Fees) Regulations 2010
23 Regulation 3
Insert:
Australian credit licence has the same meaning as in the National Credit Act.
credit provider licence means an Australian credit licence that authorises the licensee to engage in a credit activity mentioned in item 1 of the table in subsection 6(1) of the National Credit Act.
indexable matter: see subregulations 4(4) and 5(3).
lessor licence means an Australian credit licence that authorises the licensee to engage in a credit activity mentioned in item 3 of the table in subsection 6(1) of the National Credit Act.
24 Regulation 3 (definition of sole trader)
Repeal the definition.
25 Regulation 4
Repeal the regulation, substitute:
4 Prescribed fees—chargeable matters in Schedule 1
Fees
(1) For the purposes of sections 5 and 6 of the Act, a fee is prescribed for a chargeable matter mentioned in an item in a table in clause 1 or 2 of Schedule 1.
(2) The amount of the fee on or after 4 July 2018 is, subject to subregulations (3) to (5), the amount mentioned in the item.
Alteration of fees
(3) In a circumstance mentioned in an item in the table in clause 3 of Schedule 1, the fee specified in an item in a table in clause 1 or 2 of that Schedule for a chargeable matter is altered as required by the item.
Indexable matters
(4) A chargeable matter is an indexable matter if it is a matter mentioned in an item in the table in clause 2 of Schedule 1, unless “no fee” appears in column 2 of the item.
(5) In the financial year starting on 1 July 2019, or a subsequent 1 July, the fee for an indexable matter is to be indexed in accordance with regulation 6 and rounded (if necessary) in accordance with regulation 7.
26 Subregulations 5(1A) and (1)
Repeal the subregulations, substitute:
Fees
(1) For the purposes of sections 5 and 6 of the Act, and subject to subregulation (2), a fee is prescribed for a chargeable matter mentioned in an item in the table in clause 1 of Schedule 2.
(1A) The amount of the fee on or after 4 July 2018 is, subject to subregulations (3) and (4), the amount mentioned in the item.
27 Paragraphs 5(2)(a) to (c)
Repeal the paragraphs, substitute:
(a) the inspection or inquiry is made by or on behalf of a Commonwealth entity (within the meaning of section 10 of the Public Governance, Performance and Accountability Act 2013); or
(b) the inspection or inquiry is made by or on behalf of a Commonwealth company (within the meaning of section 89 of the Public Governance, Performance and Accountability Act 2013); or
28 Subregulation 5(3)
Repeal the subregulation, substitute:
Indexable matters
(3) A chargeable matter is an indexable matter if it is a matter mentioned in an item in the table in clause 1 of Schedule 2, unless “no fee” appears in column 2 of the item.
(4) In the financial year starting on 1 July 2019, or a subsequent 1 July, the fee for an indexable matter is to be indexed in accordance with regulation 6 and rounded (if necessary) in accordance with regulation 7.
29 Subregulation 6(1)
Omit “1 July 2011”, substitute “1 July 2019”.
30 Subregulation 6(1)
Omit “a chargeable matter mentioned in an item in Schedule 1 or 2”, substitute “an indexable matter”.
31 Subregulation 6(2)
Omit “1 July 2011”, substitute “1 July 2019”.
32 Subregulation 6(2)
Omit “a chargeable matter mentioned in an item in Schedule 1 or 2”, substitute “an indexable matter”.
33 Subregulation 6(2)
Omit “the chargeable matter”, substitute “the indexable matter”.
34 Subregulation 6(4) (definition of previous indexable amount)
Repeal the definition, substitute:
previous indexable amount is the amount of the fee for an indexable matter (including any alteration in accordance with this regulation or regulation 7) that was applicable immediately before the relevant 1 July.
35 Regulation 7
Repeal the regulation, substitute:
If an amount worked out using Part 1 or 2 of Schedule 1 or Schedule 2 (including any alteration in accordance with Part 3 of Schedule 1 or regulation 6) is an amount of dollars and cents:
(a) if the amount of cents is at least 50 cents—the amount is to be rounded up to the nearest dollar; or
(b) otherwise—the amount is to be rounded down to the nearest dollar.
36 Schedule 1
Repeal the Schedule, substitute:
Schedule 1—Fees for chargeable matters
Note: See regulation 4.
For the purposes of subregulations 4(1) and (2), the following table prescribes fees for chargeable matters.
Note: See also regulation 3 (definitions).
Specified fees | ||
Item | Column 1 | Column 2 |
Chargeable matters under the National Credit Act | ||
1 | Lodgment of an application to be licensed under subsection 36(1) of the National Credit Act: |
|
| (a) if the applicant is an individual and the licence is not a credit provider licence or lessor licence; or | $1,798 |
| (b) if the applicant is an individual and the licence is a credit provider licence or lessor licence; or | $3,468 |
| (c) if the applicant is not an individual and the licence is not a credit provider licence or lessor licence; or | $2,055 |
| (d) if the applicant is not an individual and the licence is a credit provider licence or lessor licence | $4,624 |
2 | Lodgment of information or an audit report under subsection 37(4) of the National Credit Act | no fee |
3 | Lodgement of an application for an extension of time under subsection 37(5), 49(5), 220(2) or 265(5) of the National Credit Act | no fee |
4 | Lodgment of an application to have conditions imposed, varied or revoked under paragraph 45(2)(b) of the National Credit Act: |
|
| (a) if the licensee is an individual and the licence is not a credit provider licence or lessor licence; or | $2,183 |
| (b) if the licensee is an individual and the licence is a credit provider licence or lessor licence; or | $1,156 |
| (c) if the licensee is not an individual and the licence is not a credit provider licence or lessor licence; or | $2,826 |
| (d) if the licensee is not an individual and the licence is a credit provider licence or lessor licence | $1,284 |
5 | Lodgment of an application for ASIC to approve arrangements under paragraph 48(2)(b) of the National Credit Act | $1,540 |
6 | Lodgment of a statement under subsection 49(1) of the National Credit Act | no fee |
7 | Lodgement of an application for an extension of time under subsection 53(1) or 101(3) of the National Credit Act | $1,155 |
8 | Lodgment of an annual compliance certificate under subsection 53(1) of the National Credit Act | no fee |
9 | Lodgment under paragraph 54(1)(a) of the National Credit Act | no fee |
10 | Lodgment of an application for the variation or cancellation of a banning order under paragraph 83(2)(b) of the National Credit Act | $115 |
11 | Lodgment of a trust account statement and trust account audit report under subsections 100(1) and (2) of the National Credit Act | no fee |
12 | Lodgment of a report under section 104 of the National Credit Act | no fee |
13 | Lodgment of an application for relief under section 109 of the National Credit Act | $3,487 |
14 | Lodgment of an application for relief under section 163 of the National Credit Act | $3,487 |
Chargeable matters under Schedule 1 to the National Credit Act (the National Credit Code) | ||
15 | Lodgment of an application for relief under subsection 6(14) of the National Credit Code | $3,487 |
16 | Lodgment of an application for relief under subsection 6(17) of the National Credit Code | $3,487 |
17 | Lodgment of an application for relief under subsection 171(4) of the National Credit Code | $3,487 |
18 | Lodgment of an application for relief under subsection 171(6) of the National Credit Code | $3,487 |
19 | Lodgment of an application for relief under subsection 203A(1) of the National Credit Code | $3,487 |
20 | Lodgment of an application for relief under subsection 203A(3) of the National Credit Code | $3,487 |
Chargeable matters under the National Consumer Credit Protection (Transitional and Consequential Provisions) Act 2009 | ||
21 | Lodgment of an application to be registered under subitem 11(1) of Schedule 2 to the Transitional Act | no fee |
22 | Lodgment of an application to have conditions imposed, varied or revoked under paragraph 14(2)(b) of Schedule 2 to the Transitional Act | $115 |
23 | Lodgment of a statement under subitem 17(1) of Schedule 2 to the Transitional Act | no fee |
24 | Lodgment of information under subitem 18(1) of Schedule 2 to the Transitional Act | no fee |
25 | Lodgment of an application to suspend or cancel registration under paragraph 23(1)(a) of Schedule 2 to the Transitional Act | no fee |
26 | Lodgment of an application for relief under item 41 of Schedule 2 to the Transitional Act | $3,487 |
Chargeable matters under the National Consumer Credit Protection Regulations 2010 | ||
27 | Lodgment of particulars of a change under subregulation 9(2) of the National Credit Regulations | no fee |
28 | Lodgment of particulars of a change under subregulation 9(3) of the National Credit Regulations | no fee |
29 | Lodgment of particulars of a change in control of a licensee under subregulation 9(10) of the National Credit Regulations | no fee |
30 | Lodgment of notification of appointment under subregulation 19(3) of the National Credit Regulations | no fee |
31 | Lodgment of notification of appointment under subregulation 19(5) of the National Credit Regulations | no fee |
32 | Lodgment of information under a provision of: (a) the National Credit Regulations; or (b) the National Credit Act as modified by a provision of the National Credit Regulations; that relates to an unlicensed carried over lender | no fee |
33 | Lodgment of information under a provision of: (a) the National Credit Regulations; or (b) the National Credit Act as modified by a provision of the National Credit Regulations; that relates to a special purpose funding entity | no fee |
For the purposes of subregulations 4(1) and (2), the following table prescribes fees for chargeable matters.
Note: See also regulation 3 (definitions).
Registry fees | ||
Item | Column 1 | Column 2 |
Chargeable matters under the National Credit Act | ||
1 | Lodgment of a notice of an authorisation, or a notice of a change to, or revocation of, an authorisation, under section 71 of the National Credit Act | no fee |
Chargeable matters under the National Consumer Credit Protection Regulations 2010 | ||
2 | Notification of an address under paragraph 29(6)(a) of the National Credit Regulations | no fee |
3 | Notification of a change of address under paragraph 29(6)(b) of the National Credit Regulations | no fee |
4 | Notification of an address under paragraph 30A(3)(a) of the National Credit Regulations | no fee |
5 | Notification of a change of address under paragraph 30A(3)(b) of the National Credit Regulations | no fee |
Other chargeable matters | ||
6 | Production by ASIC, under a subpoena, of: (a) a register mentioned in the definition of chargeable matter in subsection 4(1) of the Act; or (b) a document mentioned in that definition | $117 |
7 | Lodgment of a document, notice or application under the National Credit Act or Transitional Act that is not mentioned in the other items in this Part, in Part 1 of this Schedule or in Schedule 2 | $117 |
Part 3—Alteration of fees in Part 1 or 2
3 Alteration of fees in Part 1 or 2
For the purposes of subregulation 4(3), column 2 of an item of the following table specifies alterations, of the fees prescribed by Parts 1 and 2 of this Schedule, that apply in the circumstances specified by column 1 of the item.
Alteration of fees | ||
Item | Column 1 | Column 2 |
1 | The chargeable matter is the lodgment of a document otherwise than electronically | The fee specified in Part 1 or 2 and altered under this Part (if necessary) is increased by $25 |
2 | The chargeable matter is the lodgment of a document, and: (a) the document must be lodged within a particular period; and (b) the document is not lodged within the period; and (c) the document is lodged within 1 calendar month after the specified period | The fee specified in Part 1 or 2 and altered under this Part (if necessary) is increased by $67 |
3 | The chargeable matter is the lodgment of a document, and: (a) the document must be lodged within a particular period; and (b) the document is not lodged within the period; and (c) the document is lodged 1 calendar month or more after the specified period | The fee specified in Part 1 or 2 and altered under this Part (if necessary) is increased by $278 |
4 | If more than one item in this table applies to the person, the items are to be applied in the order of items 1, 2 and 3 |
|
37 Schedule 2
Repeal the Schedule, substitute:
Schedule 2—Fees for other chargeable matters
Note: See regulation 5.
For the purposes of subregulations 5(1) and (1A), the following table prescribes fees for chargeable matters.
Note: See also regulation 3 (definitions).
Registry fees | ||
Item | Column 1 | Column 2 |
1 | The making available by ASIC, under subsection 214(1) of the National Credit Act, of an extract of particulars in relation to: (a) a licensee; or (b) a credit representative; or (c) a registered person; or (d) a person or entity whose details are included in any other register that ASIC is required to keep under the National Credit Act or the Transitional Act. | $10 |
| If the extract includes particulars in relation to more than one person or entity, a separate fee is applicable for each person or entity |
|
2 | Inspection of a document register, or a document, under section 219 of the National Credit Act | $30 |
3 | Inspection of a document: (a) which has been lodged with ASIC; and (b) which will be included in a document register under section 219 of the National Credit Act; and (c) in relation to which ASIC has permitted the document register to be inspected | $30 |
Note: Under subsection 219(4) of the National Credit Act, ASIC is not required to permit a person to inspect a document register, or to make any part of a document register available to the public.
Superannuation Auditor Registration Imposition Regulation 2012
38 Section 3
Insert:
indexable matter: see subsection 5(2).
39 Section 4
Repeal the section, substitute:
For the purposes of section 4 of the Act, the fee mentioned in column 2 of an item of the following table is prescribed for the matter mentioned in column 1 of the item.
ASIC fees | ||
Item | Column 1 | Column 2 |
1 | applying for registration as an approved SMSF auditor | $1,927 |
1A | applying for conditions imposed on registration as an approved SMSF auditor to be varied or revoked under section 128D of the SIS Act | $1,028 |
1B | applying for registration as an approved SMSF auditor to be cancelled under section 128E of the SIS Act | $899 |
2 | undertaking a competency examination in accordance with section 128C of the SIS Act | $107 |
3 | giving the Regulator a statement under section 128G of the SIS Act | nil |
4 | giving to the Regulator a statement under section 128G of the SIS Act within 1 month after it fell due (in addition to the fee payable because of item 3) | nil |
5 | giving to the Regulator a statement under section 128G of the SIS Act more than 1 month after it fell due (in addition to the fee payable because of item 3) | nil |
6 | giving to the Regulator particulars under section 128H of the SIS Act within 1 month after they fell due | nil |
7 | giving to the Regulator particulars under section 128H of the SIS Act more than 1 month after they fell due | nil |
For the purposes of section 4 of the Act, the fee mentioned in column 2 of an item of the following table is prescribed for the matter mentioned in column 1 of the item.
Registry fees | ||
Item | Column 1 | Column 2 |
1 | inspecting or searching a register that the Regulator keeps under Division 1A of Part 16 of the SIS Act for a current extract | nil |
2 | inspecting or searching a register that the Regulator keeps under Division 1A of Part 16 of the SIS Act for a historical extract | $19 |
3 | inspecting or searching an extract of 10 pages or less given to or issued by the Regulator under Division 1A of Part 16 of the SIS Act (other than an order made under subsection 130F(2) of the SIS Act) | $19 |
4 | inspecting or searching an extract of more than 10 pages given to or issued by the Regulator under Division 1A of Part 16 of the SIS Act (other than an order made under subsection 130F(2) of the SIS Act) | $40 |
40 Subsections 5(1) and (2)
Repeal the subsections, substitute:
(1) For the purposes of paragraph 4(2)(b) of the Act, the amount of a fee on or after 4 July 2018 is, subject to subsections (2A) to (4), the amount mentioned in column 2 of an item in the table in section 4 or 4A.
Indexable matters
(2) A matter is an indexable matter if it is mentioned in an item in the table in section 4A, and the fee is not nil.
(2A) For the purposes of paragraph 4(2)(b) of the Act, in the financial year starting on 1 July 2019, or a subsequent 1 July, if the latest CPI number is greater than the earlier CPI number, the fee for an indexable matter is the amount worked out using the formula:
where:
previous indexable amount is the amount of the fee for the indexable matter that was applicable immediately before that 1 July.
41 Subsection 5(3)
Omit “the matter mentioned in an item in section 4”, substitute “the matter that is an indexable matter”.
42 Subsection 5(4)
Omit “subsection (1) or (2)”, substitute “subsection (2A)”.
Superannuation Industry (Supervision) Regulations 1994
43 Regulation 9A.07 (after table item 1)
Insert:
1A | applying for conditions imposed on registration as an approved SMSF auditor to be varied or revoked under section 128D of the Act | when the application is submitted |
1B | applying for registration as an approved SMSF auditor to be cancelled under section 128E of the Act | when the application is submitted |
Schedule 2—Amendments commencing 1 July 2019
Corporations (Fees) Regulations 2001
1 Schedule 1 (table item 34)
Repeal the item, substitute:
34 | On giving an exemption under subsection 791C(1) in relation to a particular financial market or type of financial market | $38,651 |
2 Schedule 1 (table item 45)
Repeal the item, substitute:
45 | On giving an exemption under subsection 820C(1) in relation to a particular clearing and settlement facility or type of clearing and settlement facility | $38,651 |