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ASIC Supervisory Cost Recovery Levy Regulations 2017
In force
Administered by
Department of the Treasury
This item is authorised by the following title:
ASIC Supervisory Cost Recovery Levy Act 2017
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F2023C01003 (C09)
01 November 2023
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Part 1—Preliminary
1 Name
3 Authority
4 Definitions
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Part 2—General provisions
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Division 1—Regulatory costs
5 Amounts not included in regulatory costs
5A Amounts included in regulatory costs
Division 1A—Exempt and regulated entities
5B Exempt entities
5C Regulated entities
Division 2—Amount of levy payable
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Subdivision 2.1—General
6 Amount of levy
7 Levy component
8 Levy component for leviable entities that are deregistered
Subdivision 2.2—Levy components
9 Basic levy component
10 Graduated levy component
11 Pro rata of entity metric
12 Rules about amounts
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Part 3—Sectors, sub sectors and levy components
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Division 1—Corporate sector
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Subdivision 1.1—General
13 Corporate sector
14 Basic levy component applies to sub sectors in Subdivision 1.2
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Subdivision 1.2—Sub sectors to which basic levy component applies
15 Auditors of disclosing entities
16 Large proprietary companies
17 Public companies (unlisted)
18 Registered company auditors
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Subdivision 1.3—Sub sectors to which graduated levy component applies
19 Listed corporations
20 Registered liquidators
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Division 2—Deposit taking and credit sector
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Subdivision 2.1—General
21 Deposit taking and credit sector
22 Basic levy component applies to sub sectors in Subdivision 2.2
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Subdivision 2.2—Sub sectors to which basic levy component applies
23 Margin lenders
24 Small and medium amount credit providers
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Subdivision 2.3—Sub sectors to which graduated levy component applies
25 Credit intermediaries
26 Credit providers
27 Deposit product providers
28 Payment product providers
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Division 3—Investment management, superannuation and related services sector
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Subdivision 3.1—General
29 Investment management, superannuation and related services sector
30 Basic levy component applies to sub sectors in Subdivision 3.2
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Subdivision 3.2—Sub sectors to which basic levy component applies
31 Custodians
32 Managed discretionary account providers
33 Traditional trustee company service providers
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Subdivision 3.3—Sub sectors to which graduated levy component applies
34 Operators of investor directed portfolio services
35 Responsible entities
35A Operators of notified foreign passport funds and regulated former notified funds
36 Superannuation trustees
37 Wholesale trustees
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Division 4—Financial advice sector
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Subdivision 4.1—General
38 Financial advice sector
39 Basic levy component applies to sub sectors in Subdivision 4.2
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Subdivision 4.2—Sub sectors to which basic levy component applies
40 Licensees that provide only general advice to retail or wholesale clients
41 Licensees that provide personal advice to only wholesale clients
42 Licensees that provide personal advice to retail clients on only products that are not relevant financial products
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Subdivision 4.3—Sub sectors to which graduated levy component applies
43 Licensees that provide personal advice on relevant financial products to retail clients
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Division 5—Market infrastructure and intermediaries sector
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Subdivision 5.1—General
44 Market infrastructure and intermediaries sector
45 Basic levy component applies to sub sectors in Subdivision 5.2
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Subdivision 5.2—Sub sectors to which basic levy component applies
46 Overseas market operators
47 Small securities exchange operators with self listing function only
48 Small securities exchange operators
49 Small futures exchange operators
51 Large securities exchange operators
52 Large futures exchange operators
52A New specialised market operators
52B Established specialised market operators
53 Exempt market operators
54 Tier 1 clearing and settlement facility operators
55 Tier 2 clearing and settlement facility operators
56 Tier 3 clearing and settlement facility operators
57 Tier 4 clearing and settlement facility operators
58 Exempt CS facility operators
59 Australian derivative trade repository operators
61 Retail over the counter derivatives issuers
62 Wholesale electricity dealers
62A Benchmark administrators
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Subdivision 5.3—Sub sectors to which graduated levy component applies
62B Credit rating agencies
63 Corporate advisors
64 Large futures exchange participants
65 Large securities exchange participants
66 Over the counter traders
67 Securities dealers
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Division 6—Insurance sector
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Subdivision 6.1—General
68 Insurance sector
69 Basic levy component applies to sub sectors in Subdivision 6.2
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Subdivision 6.2—Sub sectors to which basic levy component applies
70 Insurance product distributors
71 Risk management product providers
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Subdivision 6.3—Sub sectors to which graduated levy component applies
72 Insurance product providers
72AA Claims handling and settling services providers
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Division 7—Large institutions sector
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Subdivision 7.1—General
72A Large institutions sector
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Subdivision 7.2—Sub sectors to which basic levy component applies
72B Entities subject to close and continuous monitoring
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Part 4—Miscellaneous
73 Annual determination
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Part 5—Application and transitional provisions
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Division 1—Application provisions relating to the ASIC Supervisory Cost Recovery Levy Amendment (Enhancements) Regulations 2018
74 Application of amendments—Schedules 1, 2, 3, 5, 6, 9, 11 and 13 to the ASIC Supervisory Cost Recovery Levy Amendment (Enhancements) Regulations 2018
75 Application of amendments—Schedules 4, 7, 8, 10 and 12 to the ASIC Supervisory Cost Recovery Levy Amendment (Enhancements) Regulations 2018
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Division 2—Application provisions relating to the ASIC Supervisory Cost Recovery Levy Amendment (Claims Handling and Settling Services Providers) Regulations 2021
76 Application of amendments
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Schedule 1—List of sub sectors
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Endnotes
Endnote 1—About the endnotes
Endnote 2—Abbreviation key
Endnote 3—Legislation history
Endnote 4—Amendment history