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Corporations (Fees) Regulations 2001

Authoritative Version
SR 2001 No. 194 Regulations as amended, taking into account amendments up to Treasury Laws Amendment (ASIC Cost Recovery and Fees) Regulations 2019
Administered by: Treasury
Registered 18 Jul 2019
Start Date 01 Jul 2019

Commonwealth Coat of Arms of Australia

Corporations (Fees) Regulations 2001

Statutory Rules No. 194, 2001

made under the

Corporations (Fees) Act 2001

Compilation No. 31

Compilation date:                              1 July 2019

Includes amendments up to:            F2019L00390

Registered:                                         18 July 2019

 

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 1 July 2019 (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If a provision of the compiled law has been repealed in accordance with a provision of the law, details are included in the endnotes.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 (Schedules 1 and 2)....................................................... 1

Part 2—Prescribed fees                                                                                                      2

3............ Prescribed fees—Schedules 1 and 2................................................... 2

5............ Performance of ASIC functions.......................................................... 3

9A......... Notices about authorised representatives and relevant providers—prescribed fees  5

9B......... Late fees for notices about authorised representatives and relevant providers          6

Part 3—Application, saving and transitional provisions                                9

Division 1—Amendments made by the Treasury Laws Amendment (ASIC Cost Recovery and Fees) Regulations 2019                                                            9

10.......... Indexation of fees................................................................................ 9

Schedule 1—ASIC fees                                                                                           10

1............ ASIC fees......................................................................................... 10

Schedule 2—Registry fees                                                                                    23

1............ Registry fees..................................................................................... 23

Endnotes                                                                                                                                    27

Endnote 1—About the endnotes                                                                            27

Endnote 2—Abbreviation key                                                                                28

Endnote 3—Legislation history                                                                             29

Endnote 4—Amendment history                                                                           31


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.

indexable matter: see subregulation 3(2A).

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.

old Law has the same meaning as in section 1451 of the old Corporations Law.

Passport Rules for this jurisdiction has the same meaning as in the Corporations Act.

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.

2  Interpretation (Schedules 1 and 2)

                   In Schedules 1 and 2, 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—Schedules 1 and 2

             (1)  For section 5 of the Act, a fee is prescribed for a chargeable matter mentioned in an item in Schedule 1 or 2, unless “no fee” appears in column 2 of the item in relation to the matter.

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

             (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 in relation to the matter.

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 in relation to the matter.

             (3)  In the financial year starting on or after 1 July 2019, 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.

             (4)  In the financial year starting on or after 1 July 2019 if the latest CPI number is not greater than the earlier CPI number, the fee for an indexable matter is the amount of the fee for the indexable matter that was applicable immediately before that 1 July.

             (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.

             (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  Performance of ASIC functions

Matters with hourly fee rate

             (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.

          (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

             (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.

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 an indexable 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 an indexable matter.

Relationship with item 14 of Schedule 2

             (4)  Item 14 of Schedule 2 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 3Application, saving and transitional provisions

Division 1Amendments made by the Treasury Laws Amendment (ASIC Cost Recovery and Fees) Regulations 2019

10  Indexation of fees

             (1)  Despite subregulation 3(2A), the chargeable matter mentioned in paragraph (b) of item 22 of the table in clause 1 of Schedule 2, as amended by the Treasury Laws Amendment (ASIC Cost Recovery and Fees) Regulations 2019, is not an indexable matter in the financial year starting on 1 July 2019.

             (2)  To avoid doubt, the repeal and substitution of items 19A, 20 and 21 of the table in clause 1 of Schedule 2 by the Treasury Laws Amendment (ASIC Cost Recovery and Fees) Regulations 2019 does not affect the application of subregulation 3(3) in relation to the indexable matters mentioned in those items in the financial year starting on 1 July 2019.


Schedule 1ASIC fees

Note:       See regulation 3.

  

  

1  ASIC fees

                   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
Chargeable matter

Column 2
Fee

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

$38,651

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 the imposition of conditions or additional conditions, or the variation or revocation of conditions, on an Australian market licence:

 

 

(a) low complexity; or

$2,580

 

(b) medium complexity; or

$18,035

 

(c) high complexity

$44,660

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

$38,651

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 the imposition of conditions or additional conditions, or the variation or revocation of conditions, on an Australian CS facility licence:

 

 

(a) low complexity; or

$2,580

 

(b) medium complexity; or

$18,035

 

(c) high complexity

$44,660

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

Passport funds

79A

On application, under section 1212, to have a managed investment scheme registered as an Australian passport fund

$8,862.72

79B

On lodging, under section 1212, a notice withdrawing an application to have a managed investment scheme registered as an Australian passport fund

no fee

79C

On lodging, under section 1212C, a notice that the name of the fund in another participating economy is not the same as the name of the fund in this jurisdiction

no fee

79D

On lodging, under section 1213, a notice of intention to offer interests in a foreign passport fund

$2,550

79E

On lodging, under section 1213, a notice withdrawing a notice of intention to offer interests in a foreign passport fund

no fee

79F

On lodging a notice with ASIC under:

(a) subsection 12(1) of the Passport Rules for this jurisdiction (a limit set in Division 6.3 or 6.4 of those rules has been exceeded for 7 days without being remedied); or

(b) subsection 12(2) of the Passport Rules for this jurisdiction (there has been a significant breach of those rules adversely affecting the value of assets); or

(c) subsection 12(4) of the Passport Rules for this jurisdiction (there has been a significant breach of the law of a host economy adversely affecting the value of assets)

no fee

79G

On lodging a notice with ASIC, under the table in section 12 of the Passport Rules for this jurisdiction, that the operator of a notified foreign passport fund is changed

$1,187

79H

On lodging a report with ASIC, under section 15 of the Passport Rules for this jurisdiction, of an implementation review of an Australian passport fund or a notified foreign passport fund

no fee

79J

On application for ASIC to give a notice under subsection 33(3) of the Passport Rules for this jurisdiction (exceptional market circumstances for Australian passport funds)

$1,540

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, 8 or 8A; 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

80A

On application for ASIC to approve, under subsection 218(2), a period of less than 14 days for lodgement of documents before notice of a meeting is given

$130

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

82A

On application, under paragraph 329(5)(a), for the consent of ASIC to the resignation of the auditor of a company

$40

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, other than a Product Disclosure Statement lodged under paragraph 1212(2)(b) with an application to register an Australian passport fund, or under paragraph 1213(2)(b) with a notice of intention to offer interests in a foreign passport fund; 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

Schedule 2Registry fees

Note:       See regulation 3.

  

  

1  Registry fees

                   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
Chargeable matter

Column 2
Fee

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), (2) or (2A) for approval of a choice of a review date, by a company, the responsible entity of a registered scheme or the operator of a notified foreign passport fund to which item 4 of this Schedule does not apply

$40

4

On application under subsection 345B(1), (2) or (2A) for approval of a choice of a review date, by one or more companies having the same ultimate holding company, director or company secretary, the responsible entity of one or more registered schemes or the operator of one or more notified foreign passport funds:

 

 

(a) for an application relating to fewer than 10 companies, registered schemes or notified foreign passport funds; or

$40 for each company, scheme or fund

 

(b) for an application relating to at least 10 companies, registered schemes or notified foreign passport funds

$397

Annual returns and accounts

5

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

$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

7A

On lodging an application for the consent of the Minister under subsection 1213B(6) to a name being available to a foreign passport fund

$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

12A

On application, under subsection 601PBB, to deregister an Australian passport fund as a registered scheme

no fee

12B

On application, under section 1216, for deregistration of an Australian passport fund as an Australian passport fund

$899

12C

On application, under section 1216E, for a notified foreign passport fund to be removed as a notified foreign passport fund

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, registered scheme or notified foreign passport fund, if the information is retrieved using a computer system:

 

 

(a) if requested by a journalist, or 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, registered scheme or notified foreign passport fund:

 

 

(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 a journalist, or 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

19A

For inspecting, or an inquiry involving the inspection of, the Register of Passport Funds:

 

 

(a) if the request is made by a journalist; or

no fee

 

(b) if the request is not made by a journalist and the documents are reproduced using a computer system:

 

 

(i) for less than 10 pages; or

$17

 

(ii) for 10 pages or more; or

$40

 

(c) in any other case

$17

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 the register or registers relating to financial services mentioned in section 922A or the Register of Relevant Providers maintained under section 922Q:

 

 

(a) if requested by a journalist, or 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

$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) if requested by a journalist; or

no fee

 

(b) in any other case:

 

 

(i) for less than 10 pages; or

$17

 

(ii) for 10 pages or more

$40

22

For the issue of a document relating to recorded entries about a corporation, registered scheme or a notified foreign passport fund, or a director or secretary of a company or of the operator of a notified foreign passport fund, on all registers maintained using a computer system:

 

 

(a) if requested by a journalist, or 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

$19

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

23A

On lodging a notice under Chapter 8A of the Corporations Act or the Passport Rules for this jurisdiction 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 notice

$40

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


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

15 July 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 (item 5): 1 Sept 2017 (s 2(1) item 3)
Sch 1 (items 6–11): repealed before commencing (s 2(1) item 3)

as amended by

 

 

 

ASIC Supervisory Cost Recovery Levy (Consequential Amendments) Regulations 2017

29 June 2017 (F2017L00804)

Sch 1 (items 1, 2): 1 July 2017 (s 2(1) item 2)

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)

ASIC Supervisory Cost Recovery Levy (Consequential Amendments) Regulations 2017

29 June 2017 (F2017L00804)

Sch 1 (items 3–10): 1 July 2017 (s 2(1) item 2)
Sch 1 (items 11, 12): 1 Sept 2017 (s 2(1) item 3)

ASIC Supervisory Cost Recovery Levy Amendment (Enhancements) Regulations 2018

29 June 2018 (F2018L00963)

Sch 16: 1 July 2018 (s 2(1) item 11)

Treasury Laws Amendment (ASIC Fees) Regulations 2018

29 June 2018 (F2018L00965)

Sch 1 (items 1–22): 4 July 2018 (s 2(1) item 2)
Sch 2: 1 July 2019 (s 2(1) item 3)

Corporations Amendment (Asia Region Funds Passport) Regulations 2018

20 Aug 2018 (F2018L01144)

Sch 2 (items 15–26): 18 Sept 2018 (s 2(1) item 2)

Treasury Laws Amendment (ASIC Cost Recovery and Fees) Regulations 2019

25 Mar 2019 (F2019L00390)

Sch 2 (items 1–4): 1 Apr 2019 (s 2(1) item 3)
Sch 2 (items 7–13): 1 July 2019 (s 2(1) item 4)

 

Endnote 4—Amendment history

 

Provision affected

How affected

Note preceding Part 1................

rep F2018L00965

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; F2018L00965; F2018L01144

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

am No 241, 2003; F2018L00965

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; F2017L00804; F2018L00963; F2018L00965; F2019L00390

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

rep LA s 48C

 

ad F2017L00804

 

am F2017L00804

 

rep F2018L00963

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

ad No 42, 2002

 

am No 241, 2003; F2018L00965

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

ad No 42, 2002

 

am No 241, 2003

 

rep F2018L00965

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

ad No 241, 2003

 

rep F2018L00965

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

ad No 214, 2010

 

am No 129, 2011

 

rs No 273, 2011

 

am No 153, 2013; No 109, 2015

 

rep F2017L00804

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

ad No 214, 2010

 

am No 273, 2011

 

rs No 153, 2013

 

rep F2017L00804

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

ad No 4, 2015

 

am F2017L00117; F2018L00965

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

ad No 4, 2015

 

am F2017L00117; F2018L00965

Part 3

 

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

ad No 4, 2015

 

rep F2017L00804

 

ad F2019L00390

Part 3........................................

rep F2017L00804

 

ad F2019L00390

Division 1

 

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

ad No 4, 2015

 

rep No 109, 2015

 

ad F2019L00390

Division 1.................................

rep No 109, 2015

 

ad F2019L00390

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

ad No 153, 2013

 

am No 4, 2015

 

rep No 109, 2015

 

ad F2019L00390

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.................................

ad No 109, 2015

 

rep F2017L00804

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

ad No 109, 2015

 

rep F2017L00804

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 130, 2013; No 152, 2013; No 4, 2015; F2016L01909; F2017L00117; F2017L00804

 

rs F2018L00965

 

am F2018L00965; F2018L01144; F2019L00390

Schedule 2

 

Schedule 2................................

ad F2018L00965

 

am F2018L01144; F2019L00390