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 or non‑ corporate trustee

$270

        (ii)   by a natural person

$150

(b)    in any other form:

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

$540

        (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 Australian financial services licence taking effect

no fee

(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 subsection 915A (1) for variation of an Australian financial services licence to take account of a change in the licensee's name

no fee

3

On application under Part 9.2 for registration as:

   (a)  an auditor:

         (i)   if the application is lodged electronically

$150

        (ii)   if the application is not lodged electronically

$330

   (b)  an official liquidator

$330

   (c)  a liquidator, except a liquidator mentioned in paragraph (d)

$330

   (d)  a liquidator of a specified body corporate

$65

3A

On lodging a statement under section 1287A:

   (a)  if the statement is lodged electronically

$65

   (b)  if the statement is not lodged electronically

$135

4

On lodging a statement under section 1288

$135

4A

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

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

$270

(b)    by a natural person

$150

Incorporation and registration of companies and other bodies

5

On application for:

(a)    registration of a company under section 118:

        (i)    if the company has a share capital

        $400

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

$330

(b)    registration of a company under section 601BD:

       (i)    if, at the time of lodging the application,
the body corporate was registered under Division 2 of Part 5B.2

$330

          (ii)   in any other case

$400

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

$400

6

On lodging the documents under Part 5B.2 for the registration of:

(a)    a registrable Australian corporation:

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

$330

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

$400

(b)    a foreign company

$400

6A

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

$2 010

Choice of review date

7

On application under subsection 345B (1) or (2) for approval of a choice of a review date by a company or the responsible entity of a registered managed investment scheme to which item 7A does not apply

$33

7A

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

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

$33 for each company or scheme

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

$330

Annual returns and accounts

8

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

$1 000

9

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

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

$330

   (b)  by a natural person

$135

9A

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

$1 000

9B

On lodging a report under section 320

no fee

Fund raising

10

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

   (a)  a prospectus

$2 010

   (b)  a profile statement

$2 010

   (c)  an offer information statement

$2 010

10A

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

no fee

Charges

13

On lodging a notice under section 263 or 264

$135

14

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

$65

Market licensees

15

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

$330

16

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

$135

17

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

$135

17A

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

$1 340

17B

On lodging an application, under subsection 796A (2), for:

   (a)  the imposition of conditions on an Australian market licence; or

   (b)  the imposition of additional conditions on an Australian market licence; or

   (c)  the variation of conditions imposed on an Australian market licence; or

   (d)  the revocation of conditions imposed on an Australian market licence

$670

17C

On lodging an application, under subsection 797A (1), for the variation of an Australian market licence to take account of a change in the licensee's name

$230

17CA

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

$330

17D

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

$135

17E

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

$135

17F

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

$1 340

17G

On lodging an application, under subsection 825A (2), for:

   (a)  the imposition of conditions on an Australian CS facility licence; or

   (b)  the imposition of additional conditions on an Australian CS facility licence; or

   (c)  the variation of conditions imposed on an Australian CS facility licence; or

   (d)  the revocation of conditions imposed on an Australian CS facility licence

$670

17H

On lodging an application, under subsection 826A (1), for the variation of an Australian CS facility licence to take account of a change in the licensee's name

$230

17I

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

$670

17J

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

$670

17K

On lodging an application, under paragraph 851D (3) (b), for the imposition, revocation or variation of conditions on an approval to have voting power of more than 15%

$670

17L

On lodging an application, under subsection 851E (1), to vary a percentage specified in an approval to have voting power of more than 15%

$670

17M

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

$670

17N

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

$230

17O

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

$670

17P

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

$135

17Q

On lodging an application, under subsection 884C (1), for approval of a change to a matter that is not required to be dealt with by the compensation rules

$330

17R

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

$135

17S

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

$330

17T

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

$670

17U

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

$670

17V

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

$1 340

17W

On giving an exemption under subsection 820C (1) in relation to a particular clearing and settlement facility or type of clearing and settlement facility

$1 340

18

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

$2 010

19

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

$1 000

20

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

$1 000

21

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

no fee

Other applications

22

On lodging an application:

   (a)  for the consent of the Minister under subsection 147 (2) or 601DC (2) to the use of a name by a corporation or proposed corporation; or

$1 000

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

23

On lodging an application:

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

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

$540

24

On application:

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

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

$330

25

On application:

   (a)  under subsection 163 (1); or

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

$65

26

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

$40

27

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

$33

27A

On application by a financial services licensee to ASIC for ASIC's consent to remove an auditor of the licensee from office under paragraph 990F (b)

no fee

27B

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

$400

27C

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

no fee

27D

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

$270

27E

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

$270

27F

On application under subregulation 7.8.02 (6C) of the Corporations Regulations 2001 that the minimum balance of moneys held in an account to which section 981B relates may be reduced below the amount required by subregulation 7.8.02 (6) of those Regulations

$270

27G

On application under paragraph 7.8.16 (4) (b) of the Corporations Regulations 2001 that a person is not an officer of a body corporate for the purposes of subregulations 7.8.16 (1) and (2) of those Regulations

$270

27H

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

$270

27I

On making an application to the Panel under the Corporations Act

$2 010

Late lodgement

28

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

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

$65

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

$270

Supply of information and documents

29

For a document issued or displayed by ASIC containing information relating to a single corporation or registered scheme, if the information is retrieved using a computer system:

(a)    if requested by or on behalf of the Australian Broadcasting Corporation, the Special Broadcasting Service, the Australian Bureau of Statistics, the holder of a licence for a commercial broadcasting or television station or the proprietor or publisher of a newspaper generally available to the public otherwise than by subscription:

        (i)    if the document contains only current information

no fee

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

$17

(b)    in any other case:

        (i)    if the document contains only current information

$9

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

$17

30

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

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

        (i)    for less than 10 pages

$17

        (ii)   for 10 pages or more

$33

(b)    in any other case

$17

30A

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

$9

31

For inspecting, or an enquiry involving an inspection of, the Register of Licence Holders, the Register
of Futures Licensees, the Register of Auditors, the Register of Liquidators, 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 available to the public otherwise than by subscription

no fee

(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 the Australian Broadcasting Corporation, the Special Broadcasting Service, the Australian Bureau of Statistics, the holder of a licence for a commercial broadcasting or television station or the proprietor or publisher of a newspaper generally available to the public otherwise than by subscription

no fee

   (b)  in any other case

$9

32

For inspecting, or an enquiry involving the inspection of, the Australian Register of Company Charges and documents lodged by a particular corporation and used by ASIC to compile or maintain that Register, where documents are reproduced using a computer system:

(a)    for less than 10 pages

$17

(b)    for 10 pages or more

$33

33

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

(a)   if requested by or on behalf of the Australian Broadcasting Corporation, the Special Broadcasting Service, the Australian Bureau of Statistics, the holder of a licence for a commercial broadcasting or television station or the proprietor or publisher of a newspaper generally available to the public otherwise than by subscription

no fee

(b)    in any other case

$33

34

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

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

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

$17

35

For supplying a certified copy of, or a certified copy of an extract from, a document filed or lodged with ASIC, in addition to the fee payable under item 30, 31 or 32

$17

36

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

$33

37

Where the inspection of a register or the issue or display of a document occurs at a Business Centre of ASIC, in addition to the fee payable under item 29, 30, 31, 32 or 33

$3

Other matters

39

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

$33

40

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

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

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

$33

41

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

$135

42

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

$670

43

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

no fee

44

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

$2 010

44A

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

no fee

45

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

no fee

46

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

no fee

Legislative streamlining

46A

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

no fee

47

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

(a)    using the ASIC eLicensing service:

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

$230

        (ii)   by a natural person

$135

(b)    in any other form:

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

$400

        (ii)   by a natural person

$230

Note    See also item 1.

48

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

no fee

Note    See also item 1A.

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

49

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

(a)    using the ASIC eLicensing service

$150

(b)    in any other form

$230

50

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

(a)    using the ASIC eLicensing service

$135

(b)    in any other form

$150

Authorised audit companies

51

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

        (a)  in electronic form

$270

        (b)  in any other form

$540

52

On lodging an annual statement under section 1299G:

        (a)  in electronic form

$135

        (b)   in any other form

$270

Referral of financial reports to Financial Reporting Panel

53

On the referral of a financial report to the Financial Reporting Panel by a lodging entity under section 323EG

$2 010