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?

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From 1 July 2021

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

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 2021

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

   

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 2021

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 

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Last updated: 01/07/2021 01:25