Electronic Lodgement Protocol

ASIC's Electronic Lodgement Protocol (ELP) sets out the terms and conditions for lodging electronic documents with ASIC.

We offer specific terms and conditions for online services available through ASIC Connect. This includes business name holders, financial advisers and authorised representatives.

This page contains:

Electronic Lodgement Protocol - Business names
Electronic Lodgement Protocol - Financial advisers register and authorised representatives register

Read the Electronic Lodgement Protocol (PDF, 245KB)

This approval has effect under paragraph 68(b) of the Business Names Registration Act 2011.

Australian Securities and Investments Commission Business Names Registration Act 2011 - Paragraph 68(b) – Approval

1.	Enabling Legislation
1.1	The Australian Securities and Investments Commission makes this approval under paragraph 68(b) of the Business Names Registration Act 2011 (BNR Act).
2.	Revocation
2.1	All previous approvals under paragraph 68(b) of the BNR Act are revoked.
3.	Approval
3.1	Under paragraph 68(b) of the BNR Act We approve electronic lodgement through Our Online Business Name Service as the manner for lodging the documents in Schedule A (Transactions).Note: For other approved manners of lodgement under section 68(b), see ASIC Approval of manner of lodgement of documents -paper available by contacting Us.
3.2	This approval is the Electronic Lodgement Protocol - Business Names (referred to as the Electronic Lodgement Protocol or ELP in the Online Business Name Service).
3.3	The approval in paragraph 3.1 applies to the lodgement of transactions where you agree to the following terms and conditions.
4.	Access to Our Online Business Name Service
4.1	You may lodge the Transactions with Us electronically through Our Online Business Name Service.
4.2	You must have compatible hardware, software and Your own internet connection to access Our Online Business Name Service.
4.3	You must have a current ASIC Connect account to be able to access ASIC Connect. To obtain an account You must provide Us with requested information and agree to notify Us of any changes to the information provided
4.4	You may link a business name to Your ASIC Connect account to carry out any Transactions in respect of that business name.
4.5	To link a business name to Your ASIC Connect account, You must provide the ASIC Key for that business name.
4.6	You acknowledge that the Transactions may not be accessible from time to time and We will provide notice of the availability of specific online Transactions on the Online Business Name Service.
5.	Authorisation and Use
5.1	You confirm and warrant to Us that You are duly authorised to submit the Transaction.
5.2	You warrant that, where the consent of the business name holder is required, You consent on behalf of the business name holder.
5.3	You warrant that any person using Your ASIC Connect account is so authorised and is aware of, and complies with, this approval.
6.	Incomplete Transactions
6.1	Before submitting a Transaction in ASIC Connect, You may save information related to that Transaction in Your ASIC Connect account for a later time. The information will be saved for a period of 90 days after which it may be deleted. We will not be liable to You or any other person for the loss of any such information, whether accidental or otherwise, before a Transaction is submitted for lodgement.
7.	Receipt of Transactions
7.1	We will issue a summary stating a Transaction number and the date and time of receipt of submitted Transactions.
7.2	Submitted Transactions will not be taken to be received until the summary is issued.
8.	Reliance on Submitted Transactions
8.1	We will rely on submitted Transactions unless You notify Us that the Transactions are not authorised.
8.2	Transactions are taken to be lodged only if We are satisfied that the Transactions meet all the requirements of the Business Names Legislation, including the payment of any fees payable where applicable.
9.	Privacy and Security
9.1	Information provided to us through our Online Business Name Service may include personal information. Please refer to Our Privacy Policy for information about how we handle your personal information, your rights to seek access to and correct personal information, and to complain about breaches of your privacy by ASIC.
9.2	You acknowledge that you have read Our Privacy Policy before you submit a transaction for lodgement.
9.3	You must take all reasonable steps to protect and maintain the security of Your access to Our Online Business Name Service, including maintaining the security of all usernames, passwords, ASIC Keys and any other information relating to access, authentication and security relating to Your access to Our Online Business Name Service.
9.4	You must take all reasonable steps to prevent and detect both unlawful and unauthorised use of Your access to Our Online Business Name Service.
9.5	You must take all reasonable steps to ensure that Your access to and use of Our Online Business Name Service (without limitation including any Transactions submitted to Us) will not disrupt or adversely affect Our Online Business Name Service, the Business Names Register or any of Our other online services.
9.6	You must immediately notify Us if You know or suspect that access or authentication security information has been compromised or any other kind of unlawful and unauthorised use or security breach has occurred, or if You detect a fault, error or problem in Your access to Our Online Business Name Service.
10.	Disclaimer and Liability
10.1	You acknowledge that the speed and characteristics of the Online Business Name Service will vary at times and under varied circumstances and may not always function as described, and may be subject to faults, interruption or breakdown or be fully or partially unavailable.
10.2	We will not be liable to You or any other person for any loss, damage, costs or expenses of any kind arising out of or in connection with any delay, omission, default, negligence or error by Us in relation to the availability, functionality or performance of the transmission, receipt, authentication or lodgement or any other dealing with Our Online Business Name Service including any software developed by third parties for that purpose.
10.3	We will endeavour to provide reasonable notice of any changes to the functionality and other characteristics of Our Online Business Name Service. You acknowledge that it may not be reasonably possible to provide notice in all circumstances and that in no event will We be obliged to provide notice exceeding 7 days.
11.	Other Notices
11.1	Except where the Business Names Legislation otherwise provides, We may advise or notify You of any matter on or via Our website, by telephone, SMS, email, or mail to any relevant address You have provided to Us.
12.	Termination, Suspension and Cancellation
12.1	We may terminate Your ASIC Connect account at any time with or without notice if:We reasonably believe You have breached any clause of the ELP, orWe reasonably believe You have provided Us with incomplete, inaccurate, false or misleading information, orWe consider that Your ASIC Connect account has become inactive.We may suspend Your ASIC Connect account at any time with or without notice for a period of time determined by Us.
12.2	You may cancel Your ASIC Connect account at any time by notifying Us.
13.	Governing Law and Severability
13.1	The law in force in the Australian Capital Territory governs this approval and the Transactions contemplated by this approval.
14.	Consent to Use Email for the Receipt of Notices under the Business Names Legislation
14.1	You agree to provide a valid email address for the business name and You warrant that the email address will be maintained.
14.2	You consent to Us using the email address provided as the address for the receipt of notices under paragraph 73(b) of the BNR Act and any other correspondence from Us relating to the business name.
14.3	The business name holder may change the address for receipt of notices by notifying Us at any time that the address has changed.

Dated 11 March 2014

Signed by Rosanne Bell as a delegate of the Australian Securities and Investments Commission

Glossary

Term	Meaning
ASIC Key	A unique key issued by Us to every business name registered. The ASIC Key is required to conduct Transactions with Us in relation to a business name
ASIC Connect	Online service available at www.asic.gov.au that ASIC customers may use to search ASIC registers and conduct business name transactions.
ASIC Smart Form	An online service that enables an ASIC customer to submit business name transactions to ASIC electronically
Business Names Legislation	Business Names Registration Act 2011, Business Names Registration Regulations 2011, Business Names Registration (Fees) Act 2011, Business Names Registration (Fees) Regulations 2011, Business Names Registration (Transitional and Consequential Provisions) Act 2011, Business Names Registration (Transitional and Consequential Provisions) Regulations 2011, Business Names Registration (Availability of Names) Determination 2012
Business Names Register	The register established and maintained by Us pursuant to section 22 of the BNR Act
Machine to Machine Channel	The service provided by ASIC allowing messages in Extensible Mark-Up Language (XML) to be generated, received and sent to and from ASIC in the prescribed format through the internet.
Online Business Name Service	ASIC Connect , Machine to Machine channel and ASIC Smart Form
The BNR Act	Business Names Registration Act 2011
Transaction or Transactions	Submission and lodgement of documents as required under the Business Names Legislation in the approved manner as set out in Schedule A
We, Us or Our	Australian Securities and Investments Commission
You or Your	An individual, other than Us, who wishes to use Our Online Business Name Service.

Schedule A - Approved online transactions

Transaction	Description	Provision
Apply for a Business Name	Application to register a business name	s23, BNR Act
Apply for a Business Name- Request an alternative Registration period	Application to have an alternative registration period determined for the registration of a new business name	s33, the Act
Cancel or transfer a Business Name	An application to cancel the registration of a business name	s42, the Act
Cancel or transfer a Business Name	Notice to consent to the registration of a business name to another entity	s31, the Act
Change Business Name Details	Notice of change to Business Name Details including Change business name address Change holder details Change partner details Change representative details	s35, the Act
Other notifications	Notification that an entity has become disqualified or that an entity of a grandfathered business name is disqualified	s36, the Act; Item 11 of Schedule 1, the Transitional Act
	Nomination of a principal place of business and nomination of an address for service	Item 17 of Schedule 1, the Transitional Act
	An application for a review of an ASIC decision	s57(3), the Act; Item 28 of Schedule 1, Transitional Act
Search	Application for a copy of entries in the Business Names Register	s60, the Act

1. Enabling Legislation

1.1. The Australian Securities and Investments Commission makes this approval under paragraph 352(1)(b) of the Corporations Act.

2. Name

2.1 This approval is the Electronic Lodgement Protocol - Relevant Provider Register and Authorised Representative Register (referred to as the Electronic Lodgement Protocol or ELP in ASIC Connect).

3. Approval

3.1. Under paragraph 352(1)(b) of the Corporations Act, ASIC approves electronic lodgement through the Online Services of documents in the classes described in Schedule A.

3.2. A Document given to ASIC by you under this approval is taken to be lodged with ASIC if it is lodged by you in accordance with the terms of this approval, including, without limitation, the term in paragraph 6.1, about payment of lodgement fees.

4. Access to the Online Services

4.1. You may lodge a Document with us electronically using our Online Services.

4.2. To lodge a Document under this approval using the Online Services you must supply your own compatible hardware, software and internet connection.

4.3. To use the ASIC Connect Online Service you must have or obtain a current ASIC Connect account. To obtain an account you must provide us with requested information and agree to notify ASIC of any changes to the information provided.

4.4. You may request ASIC to link an Australian Financial Services Licence to your ASIC Connect account to enable lodgement of Documents under this approval. You must provide ASIC with the ASIC Key for the relevant AFSL when you make the request.

4.5. ASIC may, in its complete discretion, decline to accede to a request made under paragraph 4.4 of this approval.

4.6. You must provide a valid email address to ASIC when submitting a Document using the Online Services, and you must be able to be contacted by ASIC at that email address at all times, including after submission of Documents.

4.7. You may notify us at any time that your valid email address has changed.

5. Authorisation to submit Documents

5.1. If you are submitting Documents for lodgement under this approval on behalf of another person or entity you must be duly authorised to submit Documents for that person or entity.

5.2. You must ensure that any person using your ASIC Connect account is authorised to do so, and is aware of, and complies with, this approval.

6. Fees

6.1 Documents submitted for lodgement under this approval must comply with all the requirements of the Corporations Legislation, including the payment of any fees associated with lodgement of Documents

7. Security

7.1. You must take all reasonable steps to protect and maintain the security of your access to the Online Services, including maintaining the security of all usernames, passwords, AUSkeys, ASIC Keys and any other information relating to access, authentication and security relating to your access to the Online Services.

7.2. You must take all reasonable steps to prevent and detect both unlawful and unauthorised use of your access to the Online Services.

7.3. You must take all reasonable steps to ensure that your access to and use of our Online Services (without limitation, including any transactions submitted to us) will not disrupt or adversely affect our Online Services, ASIC registers, or any of ASIC's other online services.

7.4. You must immediately notify us if you know or suspect that access or authentication security information has been compromised or any other kind of unlawful or unauthorised use or security breach has occurred, or if you detect a fault, error or problem in your access to our Online Services.

8. Other information – operation of the Online Services

8.1. ASIC Connect permits you to save information related to a transaction in your ASIC Connect account, for submission at a later time. ASIC saves this information for a period of 90 days after it was first saved by you, after which it may be deleted by ASIC.

8.2. ASIC will not be liable to you or any other person for the loss of any saved information, however arising.

9. Other information - Receipt of Transactions

9.1. ASIC will send, to the email address notified to ASIC under paragraph 4.6 or 4.7 of this approval, a summary stating a transaction number and the date and time of receipt by ASIC, for each Document submitted via the Online Services under this approval.

9.2. Submitted Documents will not be taken to be received by ASIC until the summary mentioned in paragraph 9.1 is issued to you.

10. Other information - Privacy

10.1. Information provided to us through the Online Services may include personal information. Please refer to our Privacy Policy for information about how we handle your personal information, your rights to seek access to and correct personal information, and to complain about breaches of your privacy by ASIC.

11. Disclaimer and Liability

11.1. The Online Services may not be accessible from time to time. ASIC will endeavor to, but may not in every instance, provide notice on its website, of the availability of, or interruptions to, the Online Services.

11.2. The speed and characteristics of the Online Services will vary at times and under varied circumstances, and may not always function as described, and may be subject to faults, interruption or breakdown or be fully or partially unavailable.

11.3. ASIC will not be liable to you or any other person for any loss, damage, costs or expenses of any kind arising out of or in connection with any delay, omission, default, negligence or error by us in relation to the availability, functionality or performance of the transmission, receipt, authentication or lodgement or any other dealing with our Online Services including any software developed by third parties for that purpose.

11.4. ASIC will endeavour to provide reasonable notice of any changes to the functionality and, or other characteristics of the Online Services, however, it may not be reasonably possible to provide notice in all circumstances.

12. Termination, Suspension and Cancellation

12.1. ASIC may terminate your ASIC Connect account at any time with or without notice if ASIC:

(a) reasonably believes you have breached any of the terms of this approval, or

(b) reasonably believes you have given ASIC incomplete, inaccurate, false or misleading information; or

12.2. ASIC may suspend your ASIC Connect account at any time with or without notice for a period of time determined by us.

12.3. You may cancel your ASIC Connect account at any time by requesting ASIC to do so, in writing.

Signed by Rosanne Bell

As a delegate of the Australian Securities and Investments Commission

Definitions

Term	Meaning
AFSL or Australian Financial Services Licence	Has the meaning given by s761A of the Corporations Act
ASIC	Australian Securities and Investments Commission
ASIC Key	A unique key issued by ASIC to an AFS Licensee or Authorised Representative. For further information, see ASIC Keys
ASIC Connect	An online service members of the public may use to search ASIC registers and make lodgements required under the legislation administered by ASIC.
ASIC Smart Form	A Document given to an ASIC customer by ASIC in electronic form
AUSkey	A key issued by the Registrar of the Australian Business Register that a business may use to access participating government online services
Authorised Representative	Has the meaning given by s761A of the Corporations Act
Document	A document in the classes of documents described in Schedule A
Corporations Legislation	Corporations Act 2001, Corporations Regulations 2001, Corporations (Fees) Act 2001, Corporations (Fees) Regulations 2001
Register of Authorised Representatives	The register established and maintained by ASIC under Regulation 7.6.05 of the Corporations Regulations 2001
Online Services	ASIC Connect or email transmission to ASIC of an ASIC Smart Form
Corporations Act	Corporations Act 2001
you or your	An individual using the Online Services to lodge Documents under this approval.

Schedule A –Classes of Documents

Class of Documents	Description	Corporations Act provisions
Notification of authorisation of a relevant provider	Notification about a person who becomes a relevant provider	Division 9 of Part 7.6 of the Corporations Act
Notification when a change in matter for a relevant provider	Notification about a change in a matter, particulars of which are entered for a relevant provider in ASIC's register	Division 9 of Part 7.6 of the Corporations Act
Notification about controller	Notification of controller	Division 9 of Part 7.6 of the Corporations Act
Notification when there is a change of controller	Notification about a change of controller	Division 9 of Part 7.6 of the Corporations Act
Notification of an authorised representative	Notification about a person who becomes an authorised representative	Division 5 of Part 7.6 of the Corporations Act
Notification of a change in authorisation	Notification about a change in detail relating to an authorised representative	Division 5 of Part 7.6 of the Corporations Act

Electronic Lodgement Protocol