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Corporations (Fees) Regulations 2001

Authoritative Version
SR 2001 No. 194 Regulations as amended, taking into account amendments up to Corporations Legislation Amendment (Professional Standards of Financial Advisers) Regulations 2017
Administered by: Treasury
Registered 15 Mar 2017
Start Date 15 Mar 2017

Corporations (Fees) Regulations 2001

Statutory Rules No. 194, 2001

made under the

Corporations (Fees) Act 2001

Compilation No. 24

Compilation date:                              15 March 2017

Includes amendments up to:            F2017L00117

Registered:                                         15 March 2017

 

About this compilation

This compilation

This is a compilation of the Corporations (Fees) Regulations 2001 that shows the text of the law as amended and in force on 15 March 2017 (the compilation date).

The notes at the end of this compilation (the endnotes) include information about amending laws and the amendment history of provisions of the compiled law.

Uncommenced amendments

The effect of uncommenced amendments is not shown in the text of the compiled law. Any uncommenced amendments affecting the law are accessible on the Legislation Register (www.legislation.gov.au). The details of amendments made up to, but not commenced at, the compilation date are underlined in the endnotes. For more information on any uncommenced amendments, see the series page on the Legislation Register for the compiled law.

Application, saving and transitional provisions for provisions and amendments

If the operation of a provision or amendment of the compiled law is affected by an application, saving or transitional provision that is not included in this compilation, details are included in the endnotes.

Editorial changes

For more information about any editorial changes made in this compilation, see the endnotes.

Modifications

If the compiled law is modified by another law, the compiled law operates as modified but the modification does not amend the text of the law. Accordingly, this compilation does not show the text of the compiled law as modified. For more information on any modifications, see the series page on the Legislation Register for the compiled law.

Self‑repealing provisions

If a provision of the compiled law has been repealed in accordance with a provision of the law, details are included in the endnotes.

  

  

  


Contents

Part 1—Preliminary                                                                                                             1

1............ Name of Regulations........................................................................... 1

1B......... Definitions.......................................................................................... 1

2............ Interpretation (Schedule 1).................................................................. 1

Part 2—Prescribed fees                                                                                                      2

3............ Prescribed fees.................................................................................... 2

5............ Listing of market licensee on its own market...................................... 3

6............ Making decisions and taking action in conflict, or potential conflict, situation         4

7............ Waiver of fees for late lodgment of documents for certain classes of companies     5

8............ Market integrity function—prescribed fees......................................... 6

9............ Market integrity functions—penalty fee for late payment of fees...... 11

9A......... Notices about authorised representatives and relevant providers—prescribed fees  12

9B......... Late fees for notices about authorised representatives and relevant providers          13

Part 3—Transitional matters                                                                                        15

Division 3—Corporations (Fees) Amendment Regulation 2015 (No. 1)                15

13.......... Transitional matters........................................................................... 15

Schedule 1—Fees                                                                                                           16

Endnotes                                                                                                                                    26

Endnote 1—About the endnotes                                                                            26

Endnote 2—Abbreviation key                                                                                27

Endnote 3—Legislation history                                                                             28

Endnote 4—Amendment history                                                                           30

 


Note about numbering

These Regulations are made under the Corporations (Fees) Act 2001. To assist users of these Regulations, the structure and numbering of these Regulations follow, as far as possible, the pattern of the Corporations (Fees) Regulations 1990 that were made under the Corporations Act 1989. However, these Regulations have an additional provision about commencement and the inclusion of a definition that were not in the Corporations (Fees) Regulations 1990.

Part 1Preliminary

1  Name of Regulations

                   These Regulations are the Corporations (Fees) Regulations 2001.

1B  Definitions

                   In these Regulations:

Act means the Corporations (Fees) Act 2001.

ASIC Act means the Australian Securities and Investments Commission Act 2001.

ASIC staff member means a staff member within the meaning of the ASIC Act.

Corporations Act means the Corporations Act 2001.

Corporations Regulations means the Corporations Regulations 2001.

member of ASIC means a member of ASIC under Part 5 of the ASIC Act.

Note:          Expressions that are defined in the Corporations Act have the same meanings in these Regulations: see subsection 4(2) of the Act.

2  Interpretation (Schedule 1)

                   In Schedule 1, a reference to a chapter, part, division, section, subsection, paragraph or subparagraph, without reference to an enactment, is a reference to that chapter, part, division, section, subsection, paragraph or subparagraph of the Corporations Act.

Part 2Prescribed fees

  

3  Prescribed fees

             (1)  For section 5 of the Act, a fee is prescribed for a chargeable matter mentioned in an item in Schedule 1.

Note:          Fees for other chargeable matters are prescribed in regulations 5, 6, 8, 9, 9A and 9B.

             (2)  For paragraph 6(1)(a) of the Act, in the financial year starting on 1 July 2009, the amount of a fee for a chargeable matter mentioned in an item in Schedule 1 is the amount mentioned in column 3 of the item.

             (3)  For paragraph 6(1)(b) of the Act, in the financial year starting on 1 July 2010, or a subsequent 1 July, if the latest CPI number is greater than the earlier CPI number, the fee for a chargeable matter is the amount worked out using the formula: 

                  

where:

previous indexable amount is the amount of the fee for the chargeable matter that was applicable immediately before that 1 July.

             (4)  In the financial year starting on 1 July 2010, or a subsequent 1 July, if the latest CPI number is not greater than the earlier CPI number, the fee for a chargeable matter is the amount of the fee for the chargeable matter that was applicable immediately before that 1 July.

             (5)  If, apart from this subregulation, the amount worked out under subregulation (3) would be an amount of dollars and cents, the amount is to be rounded to the nearest whole dollar and, if the amount to be rounded is 50 cents, rounded down.

             (6)  For this regulation:

                     (a)  if the Australian Statistician publishes a CPI number for a March quarter in substitution for a CPI number previously published by the Australian Statistician for that quarter, the publication of the later CPI number must be disregarded; and

                     (b)  if the Australian Statistician changes the reference base for the Consumer Price Index, then, after the change is made, regard must be had only to the CPI numbers published using the new reference base.

             (7)  In this regulation:

CPI number means the All Groups Consumer Price Index number (being the weighted average of the 8 Australian capital cities) published by the Australian Statistician.

earlier CPI number is the CPI number for the March quarter 2 financial years before the relevant financial year begins.

latest CPI number is the CPI number for the last March quarter before the relevant financial year begins.

5  Listing of market licensee on its own market

             (1)  For section 5 of the Act, the fee set out in subregulation (3) is prescribed for the performance by a member of ASIC, or an ASIC staff member, of the following functions under subsection 798C(2) of the Corporations Act:

                     (a)  reviewing and providing consent to an application for waiver of an operating rule relating to a clearing and settlement facility operated by a market licensee or an associate of the market licensee in respect of the securities of the market licensee;

                     (b)  undertaking an inquiry about compliance with any operating rule of the clearing and settlement facility mentioned in paragraph (a) which relates to securities of the market licensee;

                     (c)  taking action to ensure compliance with the operating rules of the clearing and settlement facility mentioned in paragraph (a) following an inquiry under paragraph (b);

                     (d)  an inquiry about compliance with an arrangement of the kind mentioned in subsection 798C(2) of the Corporations Act;

                     (e)  taking action to ensure compliance with the arrangement following an inquiry under paragraph (d).

Note 1:       These functions are mentioned in paragraph (k) 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.

             (2)  For section 5 of the Act, the fee set out in subregulation (3) is prescribed for the performance by a member of ASIC, or an ASIC staff member, of the following functions in accordance with listing rules mentioned in subsection 798C(4) of the Corporations Act:

                     (a)  processing and considering the admission of a licensee to a market’s official list;

                     (b)  processing and considering an application for waiver of a listing rule applying to the market licensee;

                     (c)  processing and considering the quotation of additional securities of the market licensee;

                     (d)  processing and considering a transaction involving a related party of the market licensee within the meaning of section 228 of the Corporations Act;

                     (e)  processing and considering an application for requotation of securities of the market licensee;

                      (f)  processing and considering a transaction relating to the proposed change of the nature or scale of activities of the market licensee;

                     (g)  processing and considering a transaction relating to a proposed merger or acquisition involving the market licensee;

                     (h)  conducting an inquiry about compliance by the market licensee with a listing rule;

                      (i)  taking action to ensure compliance with the listing rule following an inquiry under paragraph (h).

Note 1:       These functions are mentioned in paragraph (k) 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.

             (3)  The fee is:

                  

             (4)  For section 5 of the Act, if:

                     (a)  ASIC performs 1 or more functions in a period described in subregulation (5) in accordance with subsection 798C(2) or (4) of the Corporations Act; and

                     (b)  none of the functions is mentioned in subregulation (1) or (2);

a fee of $5 000 is prescribed for all of the functions of that kind performed in the period.

Note 1:       These functions are mentioned in paragraph (k) 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.

             (5)  For paragraph (4)(a), the periods are:

                     (a)  the period starting when this subregulation commences and ending at the end of 30 April 2002; and

                     (b)  the period starting on 1 May 2002 and ending at the end of 30 June 2002; and

                     (c)  each subsequent period of 2 calendar months.

6  Making decisions and taking action in conflict, or potential conflict, situation

             (1)  For section 5 of the Act, the fee set out in subregulation (2) is prescribed for the performance by ASIC of a function required or permitted by regulations made for 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.

             (2)  The fee is:

                  

7  Waiver of fees for late lodgment of documents for certain classes of companies

             (1)  For section 1359 of the Corporations Act, a fee under item 28 of Schedule 1 that would otherwise be payable in relation to the late lodgment of a notice under subsection 142(2), 146(1), 205B(1), (2), (4) or (5), 205D(3), 254X(1), 254Y(1) or 349A(1) of the Corporations Act is waived for a class of companies each of which lodges the notice:

                     (a)  using Form 484; and

                     (b)  after 30 June 2003 and before 1 November 2003.

             (2)  For section 1359 of the Corporations Act, a fee under item 28 of Schedule 1 that would otherwise be payable in relation to the late lodgment of a response to an extract of particulars under subsection 346C(1) of the Corporations Act is waived for a class of companies the review date for each of which is after 30 June 2003 and before 1 October 2003, if the response is lodged:

                     (a)  using Form 484; and

                     (b)  before 1 November 2003.

             (3)  For section 1359 of the Corporations Act, a fee under item 28 of Schedule 1 that would otherwise be payable in relation to the late lodgment of a notice of an addition or alteration mentioned in subsection 178A(1) of the Corporations Act is waived for a class of companies each of which gives notice of the addition or alteration in responding to an extract of particulars issued after 30 June 2003 and before 1 July 2004, if the response is lodged:

                     (a)  using Form 484; and

                     (b)  in accordance with section 346C of the Corporations Act.

Note 1:       Under subsection 346C(4) of the Corporations Act, if a company responds to an extract of particulars to correct or provide a particular in accordance with subsection 346C(3) of the Corporations Act, any requirement elsewhere in the Corporations Act to lodge a prescribed form in relation to the particular is satisfied by the response.

Note 2:       Form 484 is a form approved by ASIC under paragraph 350(1)(b) of the Corporations Act and is available from the ASIC website: www.asic.gov.au.

8  Market integrity function—prescribed fees

Small financial market

             (1)  For subsection 6A(1) of the Act, if ASIC performs its functions under Part 7.2A (Supervision of financial markets) of the Corporations Act in relation to a small financial market during a billing period:

                     (a)  the fee is $9 065; and

                     (b)  the fee is not imposed again for the billing period if ASIC performs its functions during the billing period in relation to another small financial market operated under the same Australian market licence (within the meaning of section 761A of the Corporations Act).

             (2)  For subparagraph 7(1)(m)(ii) of the Act, the time at which liability for the fee is incurred is the first day after the billing period in which ASIC performs its functions.

Wholesale financial market

             (3)  For subsection 6A(1) of the Act, if ASIC performs its functions under Part 7.2A (Supervision of financial markets) of the Corporations Act in relation to a wholesale financial market during a billing period:

                     (a)  the fee is $9 375; and

                     (b)  the fee is not imposed again for the billing period if ASIC performs its functions during the billing period in relation to another wholesale financial market operated under the same Australian market licence (within the meaning of section 761A of the Corporations Act).

             (4)  For subparagraph 7(1)(m)(ii) of the Act, the time at which liability for the fee is incurred is the first day after the billing period in which ASIC performs its functions.

ASX 24

             (5)  For subsection 6A(1) of the Act, if ASIC performs its functions under Part 7.2A (Supervision of financial markets) of the Corporations Act in relation to the financial market operated by Australian Securities Exchange Limited during a billing period:

                     (a)  the fee is $323 405; and

                     (b)  the fee is not imposed again if ASIC performs its functions during the billing period in relation to another market operated under the same Australian market licence (within the meaning of section 761A of the Corporations Act).

             (6)  For subparagraph 7(1)(m)(ii) of the Act, the time at which liability for the fee is incurred is the first day after the billing period in which ASIC performs its functions.

FEX Global

          (6A)  For subsection 6A(1) of the Act, if ASIC performs its functions under Part 7.2A (Supervision of financial markets) of the Corporations Act in relation to the financial market operated by FEX Global Pty Ltd during a billing period:

                     (a)  the fee for the initial billing period is worked out by:

                              (i)  multiplying $51 250 by the number of days in the period starting on the day on which ASIC first performs its functions and ending at the end of the billing period; and

                             (ii)  dividing the result by 92; and

                            (iii)  rounding the result down to the nearest whole dollar; and

                     (b)  the fee for a subsequent billing period is $51 250; and

                     (c)  the fee is not imposed again if ASIC performs its functions during the billing period in relation to another market operated under the same Australian market licence (within the meaning of section 761A of the Corporations Act).

          (6B)  For subparagraph 7(1)(m)(ii) of the Act, the time at which the liability for the fee is incurred is the first day after the billing period in which ASIC performs its functions.

Cash equity market—operator fee

             (7)  For subsection 6A(1) of the Act, if ASIC performs its functions under Part 7.2A (Supervision of financial markets) of the Corporations Act in relation to an operator of a cash equity market, the method for calculating the amount of the fee is:

                     (a)  if the function is performed in relation to the operator ASX Limited:

                           

                            where:

         TR is the total number of transactions executed or reported under the operating rules of the financial market operated by ASX Limited during the billing period that are recognised by ASIC’s Market Surveillance System as executed transactions.

         TTR is the total number of transactions executed or reported under the operating rules of all cash equity markets during the billing period that are recognised by ASIC’s Market Surveillance System as executed transactions.

         MR is the total number of messages from the financial market operated by ASX Limited during the billing period that are recognised by ASIC’s Market Surveillance System as orders or executed transactions.

         TMR is the total number of messages from all cash equity markets during the billing period that are recognised by ASIC’s Market Surveillance System as orders or executed transactions; or

                     (b)  if the function is performed in relation to the operator Chi‑X Australia Pty Ltd:

                           

                            where:

         TR is the total number of transactions executed or reported under the operating rules of the financial market operated by Chi‑X Australia Pty Ltd during the billing period that are recognised by ASIC’s Market Surveillance System as executed transactions.

         TTR is the total number of transactions executed or reported under the operating rules of all cash equity markets during the billing period that are recognised by ASIC’s Market Surveillance System as executed transactions.

         MR is the total number of messages from the financial market operated by Chi‑X Australia Pty Ltd during the billing period that are recognised by ASIC’s Market Surveillance System as orders or executed transactions.

         TMR is the total number of messages from all cash equity markets during the billing period that are recognised by ASIC’s Market Surveillance System as orders or executed transactions.

             (8)  For subparagraph 7(1)(m)(ii) of the Act, the time at which liability for the fee is incurred is the first day after the billing period in which ASIC performs its functions.

Cash equity markets—participant fee

             (9)  For subsection 6A(1) of the Act, if ASIC performs its functions under Part 7.2A (Supervision of financial markets) of the Corporations Act in relation to a participant in a cash equity market, the method for calculating the amount of the fee is:

where:

TR is the total number of transactions executed on, or reported to, the cash equity markets by a participant during the billing period that:

                     (a)  are reported by the operators of the cash equity markets to ASIC’s Market Surveillance System; and

                     (b)  are recognised by ASIC’s Market Surveillance System as executed transactions.

TTR is the total number of transactions executed on, or reported to, the cash equity markets by all participants during the billing period that:

                     (a)  are reported by the operators of the cash equity markets to ASIC’s Market Surveillance System; and

                     (b)  are recognised by ASIC’s Market Surveillance System as executed transactions.

MR is the total number of messages by a participant in the cash equity markets during the billing period that:

                     (a)  are reported by the operators of the cash equity markets to ASIC’s Market Surveillance System; and

                     (b)  are recognised by ASIC’s Market Surveillance System as orders or executed transactions.

TMR is the total number of messages by all participants in the cash equity markets during the billing period that:

                     (a)  are reported by the operators of the cash equity markets to ASIC’s Market Surveillance System; and

                     (b)  are recognised by ASIC’s Market Surveillance System as orders or executed transactions.

          (9A)  Despite subregulation (9), if a payment (the FIDA payment) is made to ASIC from the Financial Industry Development Account in the National Guarantee Fund, and relates to ASIC’s performance of its functions described in subregulation (9) during a financial year:

                     (a)  ASIC must, as soon as practicable, reduce the figures of 1 987 625 and 1 926 625 in the formula in subregulation (9), having regard to:

                              (i)  the amount of the FIDA payment; and

                             (ii)  any other matters that ASIC considers relevant; and

                     (b)  for subsection 6A(1) of the Act, the amount of a fee that has already been paid during that financial year, by reference to that formula, is taken to be reduced to the amount calculated using that formula with the reduced figures; and

                     (c)  for subsection 6A(1) of the Act, the amount of a fee that:

                              (i)  has not yet been paid during that financial year; and

                             (ii)  would be paid by reference to subregulation (9);

                            is the amount calculated using that formula with the reduced figures.

           (10)  For subparagraph 7(1)(n)(ii) of the Act, the time at which liability for the fee is incurred is the first day after the billing period in which ASIC performs its functions.

           (11)  In this regulation:

billing period means a period of 3 months starting on 1 July, 1 October, 1 January or 1 April of each year.

cash equity market means:

                     (a)  the financial market operated by ASX Limited; or

                     (b)  the financial market operated by Chi‑X Australia Pty Ltd.

exempt market means a market that has been exempted, by regulations made for paragraph 798L(1)(b) of the Corporations Act, from all of the provisions of Part 7.2A of that Act.

initial billing period, in relation to a financial market, means the billing period during which the market began operating.

orders, in relation to a financial product to which Division 3 of Part 7.1 of the Corporations Act applies, means:

                     (a)  an instruction to purchase or sell; or

                     (b)  an instruction to amend or cancel an earlier instruction to purchase or sell.

small financial market means a financial market that has the following characteristics:

                     (a)  it is not:

                              (i)  the financial market operated by Australian Securities Exchange Limited; or

                             (ii)  the financial market operated by ASX Limited; or

                            (iii)  the financial market operated by Chi‑X Australia Pty Ltd; or

                            (iv)  the financial market operated by FEX Global Pty Ltd; or

                             (v)  an exempt market; or

                            (vi)  a wholesale financial market;

                     (b)  the operator is licensed under subsection 795B(1) of the Corporations Act;

                     (c)  the total value of completed transactions in securities (as measured by the sale price of the securities) that are reported to the operator of the market under the operating rules of the market during the billing period is less than $2 500 000 000.

wholesale financial market means a financial market that has the following characteristics:

                     (a)  it is not:

                              (i)  a small financial market; or

                             (ii)  the financial market operated by Australian Securities Exchange Limited; or

                            (iii)  the financial market operated by ASX Limited; or

                            (iv)  the financial market operated by Chi‑X Australia Pty Ltd; or

                             (v)  an exempt market;

                     (b)  the operator is licensed under subsection 795B(1) of the Corporations Act;

                     (c)  each participant in the market is a wholesale client within the meaning of section 761G of the Corporations Act;

                     (d)  each participant in the market acts:

                              (i)  only on its own behalf; or

                             (ii)  only on behalf of other wholesale clients.

Note 1:       ASIC’s functions under Part 7.2A (Supervision of financial markets) of the Corporations Act are mentioned in paragraphs (m) and (n) 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:       Subparagraphs 7(1)(m)(i) and (n)(i) of the Act identify the person liable to pay the fee.

9  Market integrity functions—penalty fee for late payment of fees

             (1)  This regulation applies if a person has not paid one or more fees prescribed in regulation 8 (the market integrity fees), which the person is liable to pay, by the end of the billing period in which they were incurred (the overdue time).

             (2)  For paragraph 6A(1)(b) of the Act:

                     (a)  a penalty fee for late payment of the market integrity fees is prescribed in relation to the performance by ASIC of its functions under Part 7.2A (Supervision of financial markets) of the Corporations Act; and

                     (b)  the penalty fee is additional to the market integrity fees.

             (3)  For subparagraphs 7(1)(m)(ii) and (n)(ii) of the Act, the time at which liability for the penalty fee is incurred is the overdue time.

             (4)  The amount of the penalty fee for the market integrity fees is worked out as follows:

                     (a)  work out the total of:

                              (i)  all of the market integrity fees; and

                             (ii)  all of the penalty fees that have already been incurred relating to those market integrity fees;

                            that have not been paid at the overdue time;

                     (b)  work out the number of billing periods for which one or more fees have not been paid;

                     (c)  use the following table to identify the item that relates to that total amount of the fees and the number of billing periods.

 

Fee for late payment

 

 

Item

Column 1

Total amount of unpaid market integrity fees and penalty fees

Column 2

Fee for one billing period

Column 3

Fee for 2 or more billing periods

1

$0‑$10 000

$150

$250

2

$10 000‑$50 000

$300

$500

3

$50 000‑$100 000

$1 200

$2 000

4

above $100 000

$2 400

$4 000

 

Example:    A market integrity fee becomes overdue on the first day of the billing period after it was incurred. Another fee prescribed and incurred for regulation 8 is already overdue, and has been overdue for 2 billing periods (penalty fees may be also unpaid for non‑payment of that market integrity fee).

                   Add up all of the market integrity fees, and unpaid penalty fees, that are unpaid at the overdue time and find the item in the table that matches the total by reference to billing periods. Since a market integrity fee has been overdue for more than one billing period, use column 3 to work out the late payment fee that attaches to the total.

9A  Notices about authorised representatives and relevant providers—prescribed fees

             (1)  For section 5 of the Act, the fee in subregulation (2) is prescribed for lodging a notice with ASIC under any one or more of the following:

                     (a)  subsection 916F(1) or (3) of the Corporations Act;

                     (b)  subsection 922D(1), 922H(1), 922HB(1) or 922HD(1) of that Act.

Note:          Some of the notices referred to in subregulation (1) may be combined in a single notice.

             (2)  The fee is:

Note 1:       For the definitions of prescribed amount and relevant number of persons, see subregulation (5).

Note 2:       An additional fee may be charged if a notice is lodged late (see regulation 9B).

Where no fee is payable

             (3)  For section 5 of the Act, no fee is prescribed for lodging a notice if:

                     (a)  the notice is lodged under subsection 922J(1) or 922K(1) or section 1546X of the Corporations Act; or

                     (b)  for a notice lodged under subsection 916F(1) or 922D(1) of that Act—the notice is lodged within 10 business days of the date an Australian financial services licence takes effect.

Indexation

             (4)  Subregulations 3(3) to (7) apply in relation to the prescribed amount in the same way as those subregulations apply in relation to a fee prescribed for a chargeable matter.

Definitions

             (5)  In this regulation:

prescribed amount means:

                     (a)  for a notice lodged under subsection 916F(1) or 922D(1) of the Corporations Act, or both:

                              (i)  if the notice is lodged electronically—$43; or

                             (ii)  if the notice is lodged in any other form—$79; and

                     (b)  for a notice lodged under subsection 916F(3) or 922H(1) or both, or under subsection 922HB(1) or 922HD(1), of that Act:

                              (i)  if the notice is lodged electronically—$29; or

                             (ii)  if the notice is lodged in any other form—$50.

relevant number of persons to which a notice relates means the following:

                     (a)  for a notice lodged only under subsection 916F(1) or (3) of the Corporations Act—the number of authorised representatives to whom the notice relates;

                     (b)  for a notice lodged only under subsection 922D(1), 922H(1), 922HB(1) or 922HD(1) of that Act—the number of relevant providers to whom the notice relates;

                     (c)  for a notice lodged under subsections 916F(1) and 922D(1), or 916F(3) and 922H(1), of that Act—the total of the following:

                              (i)  the number of authorised representatives to whom the notice relates;

                             (ii)  the number of relevant providers who are not authorised representatives to whom the notice relates.

relevant provider has the meaning given by section 910A of the Corporations Act.

9B  Late fees for notices about authorised representatives and relevant providers

             (1)  For section 5 of the Act, the fee in subregulation (2) is prescribed (in addition to the fee (if any) prescribed by regulation 9A) if:

                     (a)  a notice is lodged with ASIC under any one or more of the following:

                              (i)  subsection 916F(1) or (3) of the Corporations Act;

                             (ii)  subsection 922D(1), 922H(1), 922HB(1), 922HD(1), 922J(1) or 922K(1) of that Act; and

                     (b)  the notice is not lodged in accordance with subsection 916F(1) or (3) or 922L(2) of that Act.

             (2)  The fee is:

Indexation

             (3)  Subregulations 3(3) to (7) apply in relation to the lower amount and the higher amount in the same way as those subregulations apply in relation to a fee prescribed for a chargeable matter.

Relationship with item 28 of Schedule 1

             (4)  Item 28 of Schedule 1 does not apply in relation to a notice referred to in paragraph (1)(a).

Definitions

             (5)  In this regulation:

higher amount means $308.

lower amount means $74.

relevant number for the higher amount means the number of:

                     (a)  for a notice lodged only under subsection 916F(1) or (3) of the Corporations Act—authorised representatives; and

                     (b)  for a notice lodged only under subsection 922D(1), 922H(1), 922HB(1), 922HD(1), 922J(1) or 922K(1) of that Act—relevant providers; and

                     (c)  for a notice lodged under subsections 916F(1) and 922D(1), or 916F(3) and 922H(1), of that Act—authorised representatives, and relevant providers who are not authorised representatives;

in relation to whom the notice was lodged 1 month or more after the time required under subsection 916F(1) or (3) or subsection 922L(2) of that Act, as the case requires.

relevant number for the lower amount means the number of:

                     (a)  for a notice lodged only under subsection 916F(1) or (3) of the Corporations Act—authorised representatives; and

                     (b)  for a notice lodged only under subsection 922D(1), 922H(1), 922HB(1), 922HD(1), 922J(1) or 922K(1) of that Act—relevant providers; and

                     (c)  for a notice lodged under subsections 916F(1) and 922D(1), or 916F(3) and 922H(1), of that Act—authorised representatives, and relevant providers who are not authorised representatives;

in relation to whom the notice was lodged less than 1 month after the time required under subsection 916F(1) or (3) or subsection 922L(2) of that Act, as the case requires.

Part 3Transitional matters

Division 3Corporations (Fees) Amendment Regulation 2015 (No. 1)

13  Transitional matters

                   Despite the amendments of these Regulations made by Schedule 1 to the Corporations (Fees) Amendment Regulation 2015 (No. 1):

                     (a)  regulation 8, as in force at a time before 1 July 2015, continues to apply in relation to a fee that relates to ASIC’s performance of its functions at that time; and

                     (b)  regulation 9, as in force immediately before 1 July 2015, continues to apply in relation to a fee (including a fee for late payment) to which that regulation applied at that time.


Schedule 1Fees

(regulation 3)

  

 

Column 1
Item

Column 2
Matter

Column 3
Fee

Occupational licensing

1

On application under section 913A for an Australian financial services licence (if sections 1433 and 1434 do not apply), using the ASIC e Licensing service or in any other form:

 

 

(a) by a body corporate, partnership or non‑corporate trustee

$1 485

 

(b) by a natural person

Note:       See also items 45 and 47.

$825

 

subregulations 3(3) and (4) do not apply to these fees on 1 July 2012

 

1A

On application under paragraph 914A(2)(b) for imposition, variation or revocation of conditions on an Australian financial services licence (if regulation 10.2.37 of the Corporations Regulations 2001 does not apply):

 

 

(a) using the ASIC eLicensing service

$230

 

(b) in any other form

$270

 

Note:       See also item 46.

 

1D

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

3

On application under Part 9.2 for registration as an auditor:

 

 

(a) if the application is lodged electronically

$150

 

(b) if the application is not lodged electronically

$330

3A

On lodging a statement under section 1287A:

 

 

(a) if the statement is lodged electronically

$65

 

(b) if the statement is not lodged electronically

$135

4A

On application for exemption from the requirement to hold an Australian financial services licence under paragraph 911A(2)(l):

 

 

(a) by a body corporate, partnership or non‑ corporate trustee

$270

 

(b) by a natural person

$150

4B

On lodging an application under section 20‑5 of Schedule 2 to the Act for registration as a liquidator

$2 200

4C

For the registration by ASIC of a person as a liquidator under section 20‑30 of Schedule 2 to the Act

$1 300

4D

On lodging an application under section 20‑70 of Schedule 2 to the Act for the renewal of registration as a liquidator:

 

 

(a) if the application is lodged more than 1 month before the renewal date

$1 700

 

(b) if the application is lodged within 1 month before the renewal date

$1 920

Incorporation and registration of companies and other bodies

5

On application for:

 

 

(a) registration of a company under section 118:

 

 

(i) if the company has a share capital

$400

 

(ii) if the company does not have a share capital

$330

 

(b) 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

$330

 

(ii) in any other case

$400

 

(c) transfer of the registration of a company under section 119A

$400

6

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

$330

 

(ii) if, in its place of origin, it is incorporated or registered under a law except a law dealing with the incorporation of associations

$400

 

(b) a foreign company

$400

6A

On application under section 601EA for registration of a managed investment scheme:

$2 010

Choice of review date

7

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 7A does not apply

$33

7A

On application under subsection 345B(1) or (2) for approval of a choice of a review date, by 1 or more companies having the same ultimate holding company, director or company secretary, or the responsible entity of 1 or more registered managed investment schemes:

 

 

(a) for an application relating to fewer than 10 companies or registered managed investment schemes

$33 for each company or scheme

 

(b) for an application relating to at least 10 companies or registered managed investment schemes

$330

Annual returns and accounts

8

On lodging an annual return or balance sheet and profit and loss account of a registered foreign company under section 601CK

$1 000

9

On lodging a profit and loss statement and balance sheet under subsection 989B(2):

 

 

(a) by a body corporate, partnership or non‑corporate trustee

$549

 

(b) by a natural person

$225

 

subregulations 3(3) and (4) do not apply to these fees on 1 July 2012

 

9A

On lodging a report under section 319 by a disclosing entity, except a company or registered scheme

$1 000

9B

On lodging a report under section 320

no fee

Fund raising

10

On lodging, under section 718, a disclosure document that is:

 

 

(a) a prospectus

$2 010

 

(b) a profile statement

$2 010

 

(c) an offer information statement

$2 010

10A

On lodging, under section 719, a supplementary or replacement document

no fee

Charges

13

On lodging a notice under section 263 or 264

$135

14

On lodging a notice under section 268 or a memorandum under subsection 269(2)

$65

Market licensees

15

On giving an annual report to ASIC under subsection 792F(1)

$330

16

On lodging written notice of changes to operating rules with ASIC under subsection 793D(1)

$135

17

On lodging written notice of changes to operating rules with ASIC under subsection 793D(3)

$135

17A

On lodging an application, under subsection 795A(1), for an Australian market licence

$1 340

17B

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

$670

17C

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

$230

17CA

On giving an annual report to ASIC under subsection 821E(1)

$330

17D

On lodging written notice of changes to operating rules with ASIC under subsection 822D(1)

$135

17E

On lodging written notice of changes to operating rules with ASIC under subsection 822D(3)

$135

17F

On lodging an application, under subsection 824A(1), for an Australian CS facility licence

$1 340

17G

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

$670

17H

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

$230

17I

On lodging an application, under subsection 851A(1), for approval to have voting power of more than 15%

$670

17J

On lodging an application, under subsection 851C(2), to extend the period of an approval to have voting power of more than 15%

$670

17K

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

17L

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

17M

On lodging an application, under subsection 851F(3), for the revocation of an approval to have voting power of more than 15%

$670

17N

On giving the Minister or ASIC information in accordance with regulations made for paragraph 854A(1)(c)

$230

17O

On lodging an application, under subsection 882B(1), for compensation arrangements

$670

17P

On lodging written notice, under subsection 884B(2), of a change to a matter required to be dealt with by the compensation rules

$135

17Q

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

$330

17R

On lodging written notice, under subsection 890G(1), of a change to the SEGC’s operating rules

$135

17S

On lodging, under subsection 892H(6), a copy of a report and financial statements

$330

17T

On lodging an application for a declaration by ASIC under subsection 1073E(1)

$670

17U

On lodging an application for an exemption or declaration by ASIC under subsection 1075A(1)

$670

17V

On giving an exemption under subsection 791C(1) in relation to a particular financial market or type of financial market

$1 340

17W

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

18

On lodging, under subsection 633(1), a copy of the bidder’s statement, and of the offer document, for an off‑market bid

$2 010

19

On lodging, under paragraph 650D(1)(b), a notice

$1 000

20

On lodging, under section 635, a copy of the bidder’s statement for a market bid

$1 000

21

On lodging, under paragraph 647(3)(a), a supplementary statement

no fee

Other applications

22

On lodging an application:

(a) 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; or

$1 000

 

(b) under section 601QA, 283GA, 655A, 669, 673 or 741

 

23

On lodging an application:

(a) for ASIC to exercise a power under section 601AE or 601AF; or

(b) under Chapter 6, 6A, 6B or 6C for which a fee is not provided by any other item

$540

24

On application:

(a) under section 111AT, paragraph 157(1)(b) or section 340; or

(b) for the exercise by ASIC of its power under subsection 150(1)

$330

25

On application:

(a) under subsection 163(1); or

(b) under Chapter 2L, 5C or 6D for which a fee is not provided by any other item

$65

26

On lodging an application for the reservation of a name or for the extension of a reservation of a name

$40

27

On lodging an application for which a fee is not provided by any other item

$33

27A

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

27B

On application for a declaration under subsection 765A(2) that a specified facility, interest or other thing is not a financial product for the purposes of Chapter 7

$400

27C

On application under subparagraph 911A(2)(h)(ii) or paragraph 7.9.08(1)(a) of the Corporations Regulations 2001 for approval of an overseas or foreign regulatory body

no fee

27D

On application for exemption or a declaration under sections 951B, 992B, 1020F, 1075A 1437, 1442 or 1445

$270

27E

On application for a declaration under paragraph  1071H(5)(d) that a company is not required to comply with section 1071H

$270

27F

On application under subregulation 7.8.02(6C) of the Corporations Regulations 2001 that the minimum balance of moneys 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

27G

On application under paragraph 7.8.16(4)(b) of the Corporations Regulations 2001 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

27H

On application under subparagraph 7.9.32(2)(a)(ii) of, or Part 16 of Schedule 10A to, the Corporations Regulations 2001 for an extension of fund reporting periods

$270

27I

On making an application to the Panel under the Corporations Act

$2 010

Late lodgement

28

On the late lodgement of a document (in addition to any fee provided by any other item for the lodgement of that document):

 

 

(a) if lodged within one month after the prescribed time

$65

 

(b) if lodged more than one month after the prescribed time

$270

Supply of information and documents

29

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

no fee

 

(ii) if the document contains both current and non‑current information

$17

 

(b) in any other case:

 

 

(i) if the document contains only current information

$9

 

(ii) if the document contains both current and non‑current information

$17

30

For inspecting, or an enquiry involving the inspection of, documents that are lodged by or in relation to a particular corporation or registered scheme:

 

 

(a) where the documents are reproduced using a computer system:

 

 

(i) for less than 10 pages

$17

 

(ii) for 10 pages or more

$33

 

(b) in any other case

$17

30AB

For inspecting, or an enquiry involving the inspection of, a quarterly report lodged with ASIC under section 283BF

 

no fee

30A

For an electronic transmission notifying a change in the information relating to an entity, in addition to any fee payable under item 29 or paragraph 30(a)

$9

31

For inspecting, or an enquiry involving an inspection of, the Register of Licence Holders, the Register of Futures Licensees, the Register of Auditors, 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

no fee

 

(b) in any other case

$9

31A

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 the Corporations Act) of:

(a) the register in respect of financial services licensees mentioned in subsection 922A(2) of the Corporations Act; or

(b) the register in respect of authorised representatives of financial services licensees mentioned in subsection 922A(2) of that Act; or

(c) the register in respect of persons against whom a banning order or disqualification order is made mentioned in subsection 922A(2) of that Act; or

(d) the Register of Relevant providers maintained under section 922Q of the Corporations Act;

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

32

For inspecting, or an enquiry 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, where documents are reproduced using a computer system:

 

 

(a) for less than 10 pages

$17

 

(b) for 10 pages or more

$33

33

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

no fee

 

(b) in any other case

$33

34

For a certificate issued by ASIC, except a certificate issued under:

(a) paragraph 118(1)(c), section 160, subsection 164(6), subsection 165(5), paragraph 601BD(1)(c) or subsection 601CU(1), 1280(5), 1282(6) or 1283(2); or

(b) regulation 2A.2.04 of the Corporations Regulations

$17

35

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 30, 31 or 32

$17

36

For the production by ASIC, pursuant to a subpoena, of a document in its custody

$33

37

Where 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 29, 30, 31, 32 or 33

$3

Other matters

39

On lodging any document under Chapter 2L, 5C, 6D and 7 if no fee is prescribed in relation to the document in any other item, except where no fee appears in column 3 of an item in relation to the document

$33

40

For any act that ASIC is required or authorised to do on the request of a person, if no fee is prescribed in relation to the act, except:

(a) an act under section 601AE or 601AF; or

$33

 

(b) where no fee appears in column 3 of an item in relation to the act

 

41

For the preparation by ASIC of the statement referred to in paragraph 411(17)(b)

$135

42

On submitting a proposed statement under subsection 412(1) to ASIC for examination

$670

42A

On electronically lodging a notice with ASIC for publication on ASIC’s publication website, as required by one of the following sections of the Act:

(a) section 412;

(b) section 436E;

(c) section 439A;

(d) section 446A;

(e) section 449C;

(f) section 450A;

(g) section 465A;

(h) section 497;

(i) section 498;

(j) section 568A

$145

42B

On electronically lodging a notice with ASIC for publication on ASIC’s publication website, as required by one of the following regulations of the Corporations Regulations 2001:

(a) regulation 5.3A.07;

(b) regulation 5.6.14A;

(c) regulation 5.6.39;

(d) regulation 5.6.48

$145

42C

On electronically lodging a notice with ASIC for publication on ASIC’s publication website, as required by one of the following sections of the Act:

(a) section 491;

(b) section 509

$64

42D

On electronically lodging a notice with ASIC for publication on ASIC’s publication website, as required by one of the following regulations of the Corporations Regulations 2001:

(a) regulation 5.6.65;

(b) regulation 5.6.69

$64

43

On lodging, by an disclosing entity, a document referred to in subsection 675(2) relating to price sensitive information

no fee

44

Lodgment with ASIC of a Product Disclosure Statement mentioned in section 1015B (other than a supplementary Product Disclosure Statement)

$2 010

44A

On lodging a notice with ASIC about the occurrence of an event mentioned in paragraph 1015D(2)(b) or (c)

no fee

45

On giving notice by an auditor of a financial services licensee to ASIC under paragraph 990G(1)(a)

no fee

46

On lodging any document under subsection 912C(1), 912D(1), 912D(2) or 912E(2), or paragraph 913B(1)(ca),

no fee

46AA

On lodging a notice under subsection 922HA(1)

$250

Legislative streamlining

46A

On lodging a Replacement Product Disclosure Statement with ASIC under Subdivision E of Division 2 of Part 7.9

no fee

47

On application under section 913A for an Australian financial services licence (if section 1433 applies):

 

 

(a) using the ASIC eLicensing service:

 

 

(i) by a body corporate, partnership or non‑ corporate trustee

$230

 

(ii) by a natural person

$135

 

(b) in any other form:

 

 

(i) by a body corporate, partnership or non‑ corporate trustee

$400

 

(ii) by a natural person

$230

 

Note:       See also item 1.

 

48

On application under paragraph 914A(2)(b) for the variation of conditions on an Australian financial services licence (if regulation 10.2.37 of the Corporations Regulations 2001 applies)

no fee

 

Note:       See also item 1A.

 

Special licences for insurance multi‑agents during first 2 years after FSR commencement

49

On application under section 913A for a qualified Australian financial services licence (if section 1434 applies):

 

 

(a) using the ASIC eLicensing service

$150

 

(b) in any other form

$230

50

On application under section 913A for an Australian financial services licence (if the person is the holder of a qualified Australian financial services licence):

 

 

(a) using the ASIC eLicensing service

$135

 

(b) in any other form

$150

Authorised audit companies

51

On lodging an application for registration as an authorised audit company under section 1299A:

 

 

(a) in electronic form

$270

 

(b) in any other form

$540

52

On lodging an annual statement under section 1299G:

 

 

(a) in electronic form

$135

 

(b) in any other form

$270

 


Endnotes

Endnote 1—About the endnotes

The endnotes provide information about this compilation and the compiled law.

The following endnotes are included in every compilation:

Endnote 1—About the endnotes

Endnote 2—Abbreviation key

Endnote 3—Legislation history

Endnote 4—Amendment history

Abbreviation key—Endnote 2

The abbreviation key sets out abbreviations that may be used in the endnotes.

Legislation history and amendment history—Endnotes 3 and 4

Amending laws are annotated in the legislation history and amendment history.

The legislation history in endnote 3 provides information about each law that has amended (or will amend) the compiled law. The information includes commencement details for amending laws and details of any application, saving or transitional provisions that are not included in this compilation.

The amendment history in endnote 4 provides information about amendments at the provision (generally section or equivalent) level. It also includes information about any provision of the compiled law that has been repealed in accordance with a provision of the law.

Editorial changes

The Legislation Act 2003 authorises First Parliamentary Counsel to make editorial and presentational changes to a compiled law in preparing a compilation of the law for registration. The changes must not change the effect of the law. Editorial changes take effect from the compilation registration date.

If the compilation includes editorial changes, the endnotes include a brief outline of the changes in general terms. Full details of any changes can be obtained from the Office of Parliamentary Counsel.

Misdescribed amendments

A misdescribed amendment is an amendment that does not accurately describe the amendment to be made. If, despite the misdescription, the amendment can be given effect as intended, the amendment is incorporated into the compiled law and the abbreviation “(md)” added to the details of the amendment included in the amendment history.

If a misdescribed amendment cannot be given effect as intended, the abbreviation “(md not incorp)” is added to the details of the amendment included in the amendment history.

 

Endnote 2—Abbreviation key

 

ad = added or inserted

o = order(s)

am = amended

Ord = Ordinance

amdt = amendment

orig = original

c = clause(s)

par = paragraph(s)/subparagraph(s)

C[x] = Compilation No. x

    /sub‑subparagraph(s)

Ch = Chapter(s)

pres = present

def = definition(s)

prev = previous

Dict = Dictionary

(prev…) = previously

disallowed = disallowed by Parliament

Pt = Part(s)

Div = Division(s)

r = regulation(s)/rule(s)

ed = editorial change

reloc = relocated

exp = expires/expired or ceases/ceased to have

renum = renumbered

    effect

rep = repealed

F = Federal Register of Legislation

rs = repealed and substituted

gaz = gazette

s = section(s)/subsection(s)

LA = Legislation Act 2003

Sch = Schedule(s)

LIA = Legislative Instruments Act 2003

Sdiv = Subdivision(s)

(md) = misdescribed amendment can be given

SLI = Select Legislative Instrument

    effect

SR = Statutory Rules

(md not incorp) = misdescribed amendment

Sub‑Ch = Sub‑Chapter(s)

    cannot be given effect

SubPt = Subpart(s)

mod = modified/modification

underlining = whole or part not

No. = Number(s)

    commenced or to be commenced

 

Endnote 3—Legislation history

 

Number and year

FRLI registration or gazettal

Commencement

Application, saving and transitional provisions

194, 2001

13 July 2001

28 June 2001 (r 1A)

 

320, 2001

15 Oct 2001

11 Mar 2002 (r 2 and gaz 2001, No GN42)

42, 2002

7 Mar 2002

12.01 am (A.C.T.) 11 Mar 2002 (r 2)

146, 2002

27 June 2002

1 July 2002 (r 2)

128, 2003

19 June 2003

19 June 2003 (r 2)

159, 2003

26 June 2003

Sch 2: 1 Sept 2003 (r 2(b))
Remainder: 1 July 2003 (r 2(a))

r 4

241, 2003

18 Sept 2003

1 July 2003 (r 2)

209, 2004

9 July 2004

9 July 2004 (r 2)

400, 2004

23 Dec 2004

23 Dec 2004 (r 2)

135, 2006

15 June 2006 (F2006L01817)

1 July 2006 (r 2)

326, 2007

28 Sept 2007 (F2007L03805)

Sch 2: 1 July 2008 (r 2(b))
Remainder: 29 Sept 2007 (r 2(a))

56, 2010

25 Mar 2010 (F2010L00736)

26 Mar 2010 (r 2)

57, 2010

25 Mar 2010 (F2010L00741)

26 Mar 2010 (r 2)

214, 2010

13 July 2010 (F2010L01942)

1 Aug 2010 (r 2)

129, 2011

30 June 2011 (F2011L01369)

1 July 2011 (r 2)

r 3

273, 2011

13 Dec 2011 (F2011L02654)

1 Jan 2012 (r 2)

r 4

114, 2012

20 June 2012 (F2012L01272)

Sch 2: 1 July 2012 (s 2(c))
Sch 3: 1 July 2013 (s 2(d))

173, 2012

13 July 2012 (F2012L01551)

1 Aug 2012 (s 2)

130, 2013

17 June 2013 (F2013L01011)

Sch 1 (item 1): 18 June 2013 (s 2)

152, 2013

28 June 2013 (F2013L01264)

Sch 1 (item 10): 1 July 2013 (s 2)

153, 2013

28 June 2013 (F2013L01224)

1 July 2013 (s 2)

4, 2015

16 Feb 2015 (F2015L00153)

Sch 1: 3 Mar 2015 (s 2 item 2)

109, 2015

29 June 2015 (F2015L00970)

1 July 2015 (s 2(1) item 1)

 

Name

Registration

Commencement

Application, saving and transitional provisions

Corporations (Fees) Amendment Regulation 2016

12 Dec 2016 (F2016L01909)

Sch 1 (items 1–4): 1 Mar 2017 (s 2(1) item 2)
Sch 1 (items 5–11): 1 Sept 2017 (s 2(1) item 3)

Corporations Legislation Amendment (Professional Standards of Financial Advisers) Regulations 2017

13 Feb 2017 (F2017L00117)

Sch 1 (items 1–14): 15 Mar 2017 (s 2(1) item 1)

 

Endnote 4—Amendment history

 

Provision affected

How affected

Part 1

 

Part 1 heading...........................

ad No 4, 2015

r 1A..........................................

rep LA s 48D

r 1B...........................................

am No 42, 2002

 

rs No 241, 2003

 

am No 4, 2015

r 2.............................................

am No 241, 2003

Part 2

 

Part 2 heading...........................

ad No 4, 2015

r 2A..........................................

rep No 159, 2003

r 3.............................................

am No 42, 2002; No 241, 2003

 

rs No 57, 2010

 

am No 4, 2015

r 4.............................................

rep LA s 48C

r 5.............................................

ad No 42, 2002

 

am No 241, 2003

r 6.............................................

ad No 42, 2002

 

am No 241, 2003

r 7.............................................

ad No 241, 2003

r 8.............................................

ad No 214, 2010

 

am No 129, 2011

 

rs No 273, 2011

 

am No 153, 2013; No 109, 2015

r 9.............................................

ad No 214, 2010

 

am No 273, 2011

 

rs No 153, 2013

r 9A..........................................

ad No 4, 2015

 

am F2017L00117

r 9B...........................................

ad No 4, 2015

 

am F2017L00117

Part 3

 

Part 3 heading...........................

ad No 4, 2015

Division 1

 

Division 1 heading....................

ad No 4, 2015

 

rep No 109, 2015

r 10...........................................

ad No 153, 2013

 

am No 4, 2015

 

rep No 109, 2015

Division 2.................................

ad No 4, 2015

 

rep F2017L00117

r 11...........................................

ad No 4, 2015

 

rep F2017L00117

r 12...........................................

ad No 4, 2015

 

rep F2017L00117

Division 3

 

Division 3.................................

ad No 109, 2015

r 13...........................................

ad No 109, 2015

Schedule 1

 

Schedule 1................................

am No 320, 2001; No 42, 2002; No 146, 2002; No 128, 2003; No 159, 2003; No 241, 2003; No 209, 2004; No 400, 2004; No 135, 2006; No 326, 2007; No 56, 2010; No 114, 2012; No 173, 2012; No 114, 2013, No 130, 2013; No 152, 2013; No 4, 2015; F2016L01909 (Sch 1 items 5–11); F2017L00117