Financial services
This is a part of Information Sheet 30 Fees for commonly lodged documents
AFS licence
Note: The form numbers appearing in italics refers to an internal ASIC reference number and not a prescribed form. Item numbers refer to Sch 1 of the Corporations (Fees) Regulations 2001.
|
What do you want to do? |
Use form |
From 1 July 2022 |
Notes |
Sch 1 Item number |
|---|---|---|---|---|
| Apply online for an individual AFS licence | ||||
| For retail clients and low complexity products | FSL1A | $2,233 | Item 1(a)(i) | |
| For retail clients and high complexity products | FSL1C | $5,025 | Item 1(a)(ii) | |
| For wholesale clients and low complexity products | FSL1J | $1,488 | Item 1(c)(i) | |
| For wholesale clients and high complexity products | FSL1L | $3,350 | Item 1(c)(ii) | |
| Apply online for a body corporate AFS licence | ||||
| For retail clients and low complexity products | FSL1E | $3,721 | Item 1(b)(i) | |
| For retail clients and high complexity products | FSL1G | $7,537 | Item 1(b)(ii) | |
| For wholesale clients and low complexity products | FSL1N | $2,233 | Item 1(d)(i) | |
| For wholesale clients and high complexity products | FSL1P | $5,025 | Item 1(d)(ii) | |
| Apply via paper lodgement for an individual AFS licence | ||||
| For retail clients and low complexity products | FSL1B | $3,349 | Item 2(a)(i) | |
| For retail clients and high complexity products | FSL1D | $7,537 | Item 2(a)(ii) | |
| For wholesale clients and low complexity products | FSL1K | $2,233 | Item 2(c)(i) | |
| For wholesale clients and high complexity products | FSL1M | $5,025 | Item 2(c)(ii) | |
| Apply via paper lodgement for a body corporate AFS licence | ||||
| For retail clients and low complexity products | FSL1F | $5,582 | Item 2(b)(i) | |
| For retail clients and high complexity products | FSL1H | $11,305 | Item 2(b)(ii) | |
| For wholesale clients and low complexity products | FSL1O | $3,349 | Item 2(d)(i) | |
| For wholesale clients and high complexity products | FSL1Q | $7,537 | Item 2(d)(ii) | |
|
Vary AFS licence conditions for an individual online |
FS03 |
$2,214 |
Item 3(a) |
|
|
Vary AFS licence conditions for an individual by paper |
FS03 |
$3,328 |
Item 4(a) |
|
|
Vary AFS licence conditions for a body corporate |
FS03 |
$2,470 |
Item 3(b) |
|
| Vary AFS licence conditions for a body corporate by paper | FS03 | $3,704 | Item 4(b) | |
| Request for voluntary suspension of an AFS licence | FS64 |
$899 |
Item 7 | |
| Request to cancel AFS licence | FS65 | $899 | Item 7 | |
|
Application to vary or revoke AFS licence suspension |
FS68 |
$899 |
Item 8 | |
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Notify change of details of AFS licensee |
FS20 |
No fee |
Late fee applies after 10 business days after change |
|
|
Apply to ASIC to declare person regulated by approved foreign regulatory body exempt from the requirement to hold an AFS licence |
FS10 FS10B |
$3,487 |
Item 80 |
|
|
Apply to ASIC to declare body corporate, partnership or non-corporate trustee exempt from the requirement to hold an AFS licence |
FS10 FS10C |
$3,487 |
Item 80 |
|
|
Apply to ASIC to declare an individual exempt from the requirement to hold an AFS licence |
FS10 FS10D |
$3,487 |
Item 80 |
Financial reporting and audit of AFS licensee
Note: Item numbers refer to Sch 1 of the Corporations (Fees) Regulations 2001.
|
What do you want to do? |
Use form |
From 1 July 2022 |
Notes |
Sch 1 Item number |
|---|---|---|---|---|
|
Lodge a profit and loss statement and balance sheet for an AFS licensee that is a body corporate, partnership or non-corporate trustee |
FS70 |
No fee |
Late fee applies more than 3 months after end of financial year for disclosing entities and 4 months for non-disclosing entities |
Item 20 |
|
Lodge a profit and loss statement and balance sheet for an AFS licensee that is an individual |
FS70 |
No fee |
Late fee applies more than 2 months after end of financial year |
Item 20 |
|
Lodge an AFS licensee audit report (lodged with Form FS70) |
FS71 |
No fee |
||
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Notify appointment of an auditor to AFS licensee |
FS06 |
No fee |
Late fee applies more than 14 days after appointment |
Item 158 |
|
Notify cessation of an auditor of AFS licensee |
FS09 |
No fee |
Item 145 | |
|
Apply for consent to remove an auditor of AFS licensee |
FS07 |
No fee |
Item 104 |
Other financial services matters
Note: The form number appearing in italics refers to an internal ASIC reference number and not a prescribed form. Item numbers refer to Sch 1 of the Corporations (Fees) Regulations 2001.
|
What do you want to do? |
Use form |
From 1 July 2022 |
Notes |
Sch Item number |
|---|---|---|---|---|
|
Apply to ASIC that it declare a product is not a ‘financial product’ |
FS10 FS10A |
$3,487 |
Item 80 |
|
|
Apply, as responsible entity, for consent to remove auditor of a registered scheme |
5132 |
No fee |
Item 84 |
|
|
Apply, as responsible entity, for consent to remove auditor of scheme's compliance plan |
5112 |
$791 |
Item 93 |
|
|
Request cancellation of an AFS licence |
FS65 |
$899 |
Item 7 |
|
| Request for voluntary suspension of an AFS licence | FS64 |
$899 |
Item 7 |