[pic] Corporations (Fees) Regulations 2001 Statutory Rules 2001 No. 194 as amended made under the Corporations (Fees) Act 2001 This compilation was prepared on 1 July 2008 taking into account amendments up to SLI 2007 No. 326 Prepared by the Office of Legislative Drafting and Publishing, Attorney-General's Department, Canberra Contents Note about numbering 3 1 Name of Regulations [see Note 1] 3 1A Commencement [see Note 1] 3 1B Definitions 3 2 Interpretation (Schedule 1) 4 3 Prescribed fees 4 4 Repeal of old Corporations (Fees) Regulations 4 5 Listing of market licensee on its own market 4 6 Making decisions and taking action in conflict, or potential conflict, situation 7 7 Waiver of fees for late lodgment of documents for certain classes of companies 7 Schedule 1 Fees 9 Notes 24 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. 1 Name of Regulations [see Note 1] These Regulations are the Corporations (Fees) Regulations 2001. 1A Commencement [see Note 1] These Regulations commence on the same day as the Corporations (Fees) Act 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. 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. 3 Prescribed fees The fee prescribed for sections 5 and 6 of the Act for a chargeable matter set out in Schedule 1 is the fee specified in Schedule 1 for that matter. Note Other fees are set out in regulations 5 and 6. 4 Repeal of old Corporations (Fees) Regulations The following Statutory Rules are repealed: ( 1990 No. 456 ( 1992 No. 236 ( 1993 No. 242 ( 1994 Nos. 34, 199, 303 and 422 ( 1995 Nos. 124 and 346 ( 1996 No. 251 ( 1997 No. 130 ( 1998 Nos. 184 and 295 ( 2000 Nos. 12, 38 and 97. Note The Corporations (Fees) Regulations 1990 were made under the old Corporations Law, but are continued in effect by section 1380 of the Corporations Act 2001. 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: [pic] (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: [pic] 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. Schedule 1 Fees (regulation 3) |Column |Column 2 |Column 3| |1 | | | |Item |Matter |Fee | | |Occupational licensing | | |1 |On application under section 913A for | | | |an Australian financial services | | | |licence (if sections 1433 and 1434 do | | | |not apply): | | | |(a) using the ASIC eLicensing service:| | | | (i) by a body corporate, partnership |$270 | | |or non- corporate trustee | | | | (ii) by a natural person |$150 | | |(b) in any other form: | | | | (i) by a body corporate, partnership |$540 | | |or non- corporate trustee | | | | (ii) by a natural person |$330 | | |Note See also items 45 and 47. | | |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. | | |1B |On lodging a notice under subsection | | | |916F (1): | | | |(a) within 10 business days of an |no fee | | |Australian financial services licence | | | |taking effect | | | |(b) at any other time: | | | | (i) using the ASIC eLicensing service|$33 | | | (ii) in any other form |$65 | | |Note A notice might contain details | | | |of more than 1 representative | | | |authorised by a person. | | |1C |On lodging a notice under subsection | | | |916F (3) (which requires a notice to | | | |be lodged if there are any changes to | | | |the details required in subsection | | | |916F (2), or if the authorisation of a| | | |representative is revoked under | | | |section 916A or 916B): | | | |(a) using the ASIC eLicensing service |$20 | | |(b) in any other form |$40 | | |Note A notice might contain: | | | |(a) changes in details relating to | | | |more than 1 authorised representative;| | | |or | | | |(b) revocations of more than 1 | | | |authorisation of a representative. | | |1D |On lodging an application under |no fee | | |subsection 915A (1) for variation of | | | |an Australian financial services | | | |licence to take account of a change in| | | |the licensee's name | | |3 |On application under Part 9.2 for | | | |registration as: | | | | (a) an auditor: | | | | (i) if the application is lodged |$150 | | |electronically | | | | (ii) if the application is not lodged|$330 | | |electronically | | | | (b) an official liquidator |$330 | | | (c) a liquidator, except a liquidator| | | |mentioned in paragraph (d) |$330 | | | (d) a liquidator of a specified body |$65 | | |corporate | | |3A |On lodging a statement under section | | | |1287A: | | | | (a) if the statement is lodged |$65 | | |electronically | | | | (b) if the statement is not lodged |$135 | | |electronically | | |4 |On lodging a statement under section |$135 | | |1288 | | |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 |$270 | | |or non- corporate trustee | | | |(b) by a natural person |$150 | | |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 | $400 | | |capital | | | | (ii) if the company does not have a |$330 | | |share capital | | | |(b) registration of a company under | | | |section 601BD: | | | | (i) if, at the time of lodging the | | | |application, | | | |the body corporate was registered |$330 | | |under Division 2 of Part 5B.2 | | | | (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|$330 | | |the incorporation of associations | | | | (ii) if, in its place of origin, it | | | |is incorporated or registered under a | | | |law except a law dealing with the |$400 | | |incorporation of associations | | | |(b) a foreign company |$400 | |6A |On application under section 601EA for| | | |registration of a managed investment |$2 010 | | |scheme: | | | |Choice of review date | | |7 |On application under subsection |$33 | | |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 | | |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 |$33 for | | |fewer than 10 companies or registered |each | | |managed investment schemes |company | | | |or | | | |scheme | | |(b) for an application relating to at |$330 | | |least 10 companies or registered | | | |managed investment schemes | | | |Annual returns and accounts | | |8 |On lodging an annual return or balance|$1 000 | | |sheet and profit and loss account of a| | | |registered foreign company under | | | |section 601CK | | |9 |On lodging a profit and loss statement| | | |and balance sheet under subsection | | | |989B (2): | | | | (a) by a body corporate, partnership |$330 | | |or non- corporate trustee | | | | (b) by a natural person |$135 | |9A |On lodging a report under section 319 |$1 000 | | |by a disclosing entity, except a | | | |company or registered scheme | | |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 |no fee | | |supplementary or replacement document | | | |Charges | | |13 |On lodging a notice under section 263 |$135 | | |or 264 | | |14 |On lodging a notice under section 268 |$65 | | |or a memorandum under subsection 269 | | | |(2) | | | |Market licensees | | |15 |On giving an annual report to ASIC |$330 | | |under subsection 792F (1) | | |16 |On lodging written notice of changes |$135 | | |to operating rules with ASIC under | | | |subsection 793D (1) | | |17 |On lodging written notice of changes |$135 | | |to operating rules with ASIC under | | | |subsection 793D (3) | | |17A |On lodging an application, under |$1 340 | | |subsection 795A (1), for an Australian| | | |market licence | | |17B |On lodging an application, under |$670 | | |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 | | |17C |On lodging an application, under |$230 | | |subsection 797A (1), for the variation| | | |of an Australian market licence to | | | |take account of a change in the | | | |licensee's name | | |17CA |On giving an annual report to ASIC |$330 | | |under subsection 821E (1) | | |17D |On lodging written notice of changes |$135 | | |to operating rules with ASIC under | | | |subsection 822D (1) | | |17E |On lodging written notice of changes |$135 | | |to operating rules with ASIC under | | | |subsection 822D (3) | | |17F |On lodging an application, under |$1 340 | | |subsection 824A (1), for an Australian| | | |CS facility licence | | |17G |On lodging an application, under |$670 | | |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 | | |17H |On lodging an application, under |$230 | | |subsection 826A (1), for the variation| | | |of an Australian CS facility licence | | | |to take account of a change in the | | | |licensee's name | | |17I |On lodging an application, under |$670 | | |subsection 851A (1), for approval to | | | |have voting power of more than 15% | | |17J |On lodging an application, under |$670 | | |subsection 851C (2), to extend the | | | |period of an approval to have voting | | | |power of more than 15% | | |17K |On lodging an application, under |$670 | | |paragraph 851D (3) (b), for the | | | |imposition, revocation or variation of| | | |conditions on an approval to have | | | |voting power of more than 15% | | |17L |On lodging an application, under |$670 | | |subsection 851E (1), to vary a | | | |percentage specified in an approval to| | | |have voting power of more than 15% | | |17M |On lodging an application, under |$670 | | |subsection 851F (3), for the | | | |revocation of an approval to have | | | |voting power of more than 15% | | |17N |On giving the Minister or ASIC |$230 | | |information in accordance with | | | |regulations made for paragraph 854A | | | |(1) (c) | | |17O |On lodging an application, under |$670 | | |subsection 882B (1), for compensation | | | |arrangements | | |17P |On lodging written notice, under |$135 | | |subsection 884B (2), of a change to a | | | |matter required to be dealt with by | | | |the compensation rules | | |17Q |On lodging an application, under |$330 | | |subsection 884C (1), for approval of a| | | |change to a matter that is not | | | |required to be dealt with by the | | | |compensation rules | | |17R |On lodging written notice, under |$135 | | |subsection 890G (1), of a change to | | | |the SEGC's operating rules | | |17S |On lodging, under subsection 892H (6),|$330 | | |a copy of a report and financial | | | |statements | | |17T |On lodging an application for a |$670 | | |declaration by ASIC under subsection | | | |1073E (1) | | |17U |On lodging an application for an |$670 | | |exemption or declaration by ASIC under| | | |subsection 1075A (1) | | |17V |On giving an exemption under |$1 340 | | |subsection 791C (1) in relation to a | | | |particular financial market or type of| | | |financial market | | |17W |On giving an exemption under |$1 340 | | |subsection 820C (1) in relation to a | | | |particular clearing and settlement | | | |facility or type of clearing and | | | |settlement facility | | |18 |On lodging, under subsection 633 (1), |$2 010 | | |a copy of the bidder's statement, and | | | |of the offer document, for an | | | |off-market bid | | |19 |On lodging, under paragraph 650D (1) |$1 000 | | |(b), a notice | | |20 |On lodging, under section 635, a copy |$1 000 | | |of the bidder's statement for a market| | | |bid | | |21 |On lodging, under paragraph 647 (3) |no fee | | |(a), a supplementary statement | | | |Other applications | | |22 |On lodging an application: |$1 000 | | |(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 | | | | (b) under section 601QA, 283GA, 655A,| | | |669, 673 or 741 | | |23 |On lodging an application: |$540 | | |(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 | | |24 |On application: |$330 | | |(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) | | |25 |On application: |$65 | | |(a) under subsection 163 (1); or | | | |(b) under Chapter 2L, 5C or 6D for | | | |which a fee is not provided by any | | | |other item | | |26 |On lodging an application for the |$40 | | |reservation of a name or for the | | | |extension of a reservation of a name | | |27 |On lodging an application for which a | | | |fee is not provided by any other item |$33 | |27A |On application by a financial services|no fee | | |licensee to ASIC for ASIC's consent to| | | |remove an auditor of the licensee from| | | |office under paragraph 990F (b) | | |27B |On application for a declaration under|$400 | | |subsection 765A (2) that a specified | | | |facility, interest or other thing is | | | |not a financial product for the | | | |purposes of Chapter 7 | | |27C |On application under subparagraph 911A|no fee | | |(2) (h) (ii) or paragraph 7.9.08 (1) | | | |(a) of the Corporations Regulations | | | |2001 for approval of an overseas or | | | |foreign regulatory body | | |27D |On application for exemption or a |$270 | | |declaration under sections 951B, 992B,| | | |1020F, 1075A 1437, 1442 or 1445 | | |27E |On application for a declaration under|$270 | | |paragraph 1071H (5) (d) that a company| | | |is not required to comply with section| | | |1071H | | |27F |On application under subregulation |$270 | | |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 | | |27G |On application under paragraph 7.8.16 |$270 | | |(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 | | |27H |On application under subparagraph |$270 | | |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 | | |27I |On making an application to the Panel |$2 010 | | |under the Corporations Act | | | |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 | |30A |For an electronic transmission | | | |notifying a change in the information | | | |relating to an entity, in addition to |$9 | | |any fee payable under item 29 or | | | |paragraph 30 (a) | | |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,| | | |or the Register of Official | | | |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 |no fee | | |available to the public otherwise than| | | |by subscription | | | |(b) in any other case |$9 | |31A |For inspecting, or an enquiry | | | |involving an inspection of: | | | |( the register in respect of financial| | | |services licensees mentioned in | | | |subsection 922A (2) | | | |( the register in respect of | | | |authorised representatives of | | | |financial services licensees mentioned| | | |in subsection 922A (2) | | | |( the register in respect of persons | | | |against whom a banning order or | | | |disqualification order is made | | | |mentioned in subsection 922A (2) | | | | (a) if requested by or on behalf of |no fee | | |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 | | | | (b) in any other case |$9 | |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 |no fee | | |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 | | | |(b) in any other case |$33 | |34 |For a certificate issued by ASIC, |$17 | | |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 | | |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|$17 | | |30, 31 or 32 | | |36 |For the production by ASIC, pursuant | | | |to a subpoena, of a document in its |$33 | | |custody | | |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 |$3 | | |item 29, 30, 31, 32 or 33 | | | |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 |$33 | | |relation to the document | | |40 |For any act that ASIC is required or |$33 | | |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 | | | |(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|$135 | | |(17) (b) | | |42 |On submitting a proposed statement | | | |under subsection 412 (1) to ASIC for |$670 | | |examination | | |43 |On lodging, by an disclosing entity, a| | | |document referred to in subsection 675| | | |(2) relating to price sensitive |no fee | | |information | | |44 |Lodgment with ASIC of a Product | | | |Disclosure Statement mentioned in | | | |section 1015B (other than a |$2 010 | | |supplementary Product Disclosure | | | |Statement) | | |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 |no fee | | |under paragraph 990G (1) (a) | | |46 |On lodging any document under |no fee | | |subsection 912C (1), 912D (1), 912D | | | |(2) or 912E (2), or paragraph 913B (1)| | | |(ca), | | | |Legislative streamlining | | |46A |On lodging a Replacement Product |no fee | | |Disclosure Statement with ASIC under | | | |Subdivision E of Division 2 of | | | |Part 7.9 | | |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 |$230 | | |or non- corporate trustee | | | | (ii) by a natural person |$135 | | |(b) in any other form: | | | | (i) by a body corporate, partnership |$400 | | |or non- corporate trustee | | | | (ii) by a natural person |$230 | | |Note See also item 1. | | |48 |On application under paragraph 914A |no fee | | |(2) (b) for the variation of | | | |conditions on an Australian financial | | | |services licence (if regulation | | | |10.2.37 of the Corporations | | | |Regulations 2001 applies) | | | |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 | | |Referral of financial reports to | | | |Financial Reporting Panel | | |53 |On the referral of a financial report |$2 010 | | |to the Financial Reporting Panel by a | | | |lodging entity under section 323EG | | Notes to the Corporations (Fees) Regulations 2001 Note 1 The Corporations (Fees) Regulations 2001 (in force under the Corporations (Fees) Act 2001) as shown in this compilation comprise Statutory Rules 2001 No. 194 amended as indicated in the Tables below. For all relevant information pertaining to application, saving or transitional provisions see Table A. Under the Legislative Instruments Act 2003, which came into force on 1 January 2005, it is a requirement for all non-exempt legislative instruments to be registered on the Federal Register of Legislative Instruments. From 1 January 2005 the Statutory Rules series ceased to exist and was replaced with Select Legislative Instruments (SLI series). Numbering conventions remain the same, ie Year and Number. Table of Instruments |Year and |Date of |Date of |Application| |number |notification |commencement |, saving or| | |in Gazette or | | | | |FRLI | |transitiona| | |registration | |l | | | | |provisions | |2001 No. 194|13 July 2001 |28 June 2001 | | |2001 No. 320|15 Oct 2001 |11 Mar 2002 (see|- | | | |r. 2 and Gazette| | | | |2001, No. GN42) | | |2002 No. 42 |7 Mar 2002 |11 Mar 2002 (a) |- | |2002 No. 146|27 June 2002 |1 July 2002 |- | |2003 No. 128|19 June 2003 |19 June 2003 |- | |2003 No. 159|26 June 2003 |Rr. 1-4 and |R. 4 | | | |Schedule 1: | | | | |1 July 2003 | | | | |Remainder: 1 | | | | |Sept 2003 | | |2003 No. 241|18 Sept 2003 |1 July 2003 |- | |2004 No. 209|9 July 2004 |9 July 2004 |- | |2004 No. 400|23 Dec 2004 |23 Dec 2004 |- | |2006 No. 135|15 June 2006 |1 July 2006 |- | | |(see | | | | |F2006L01817) | | | |2007 No. 326|28 Sept 2007 |Rr. 1-3 and |- | | |(see |Schedule 1: | | | |F2007L03805) |29 Sept 2007 | | | | |Remainder: 1 | | | | |July 2008 | | (a) Regulation 2 of the Corporations (Fees) Amendment Regulations 2002 (No. 1) provides as follows: 2 These Regulations commence at 12.01 am (in the Australian Capital Territory) on 11 March 2002. Table of Amendments |ad. = added or inserted am. = amended rep. = | |repealed rs. = repealed and substituted | |Provision affected|How affected | |R. 1B |am. 2002 No. 42 | | |rs. 2003 No. 241 | |R. 2 |am. 2003 No. 241 | |R. 2A |rep. 2003 No. 159 | |R. 3 |am. 2003 No. 241 | |Note to r. 3 |ad. 2002 No. 42 | |R. 5 |ad. 2002 No. 42 | | |am. 2003 No. 241 | |Notes to r. 5 (1) |rs. 2003 No. 241 | |Notes to r. 5 (2) |rs. 2003 No. 241 | |Notes to r. 5 (4) |rs. 2003 No. 241 | |R. 6 |ad. 2002 No. 42 | | |am. 2003 No. 241 | |Notes to r. 6 (1) |rs. 2003 No. 241 | |R. 7 |ad. 2003 No. 241 | |Schedule 1 | | |Schedule 1 |am. 2001 No. 320; 2002 Nos. 42 and | | |146; 2003 Nos. 128, 159 and 241; 2004| | |Nos. 209 and 400; 2006 No. 135; 2007 | | |No. 326 | Table A Application, saving or transitional provisions Statutory Rules 2003 No. 159 4 Transitional Despite the amendments made by Schedule 1: (a) subject to paragraph (b), the Corporations (Fees) Regulations 2001, as in force immediately before 1 July 2003, continue to apply in relation to an annual return that is due, but not lodged, before 1 July 2003; and (b) item 28 of Schedule 1 to the Corporations (Fees) Regulations 2001, as amended by item [8] of Schedule 2, applies in relation to an annual return that is due before 1 July 2003 and is lodged on or after 1 September 2003.