How to submit a PDS in-use notice

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Complete this task when a Product Disclosure Statement (PDS) has been given to someone in a recommendation, issue or sale situation for the first time.

You only need to tell us about a supplementary PDS if it changes the fees and charges set out in the original PDF or an existing supplementary PDS.

This form must be lodged within five business days from when a copy of the PDS is first given to someone in a recommendation, issue or sale situation.

Late fees will apply if the document is lodged outside the lodgement period.

You will need to log in to your online account before you begin.

Start transaction

Once logged in, select 'Start new form' in the left hand menu.

From the list of available forms, select 'FS88'.

Enter the company ACN/ABN/ARBN

Enter the relevant 'ACN/ABN/ARBN'.

Select 'Next' to continue or
From this point, you can select the 'PDS Notice Guide' in the left hand menu. This guide contains information for preparing and lodging this form.

Review the company details.

Select 'Yes' to confirm the information is correct.
Select 'Next' to continue.

Enter primary responsible person details

Select the reason that best described your relationship to the financial product(s), which is the subject of the PDS.

Note: the primary responsible person for the PDS will be responsible for:

the payment of the lodgement fees for this notice and
ongoing notifications in respect to the PDS.

Select 'Next' to continue.

Review the responsible person details. From here you can:

Select 'Add another responsible person' if you wish and go to Add another responsible person (page 9) or
Select 'Next' to continue and go to Provide contact details (page 11).

Add another responsible person

Enter the 'ABN/ACN' or 'AFS licence number' for the additional responsible person.

Select 'Next' to continue.

Review the responsible person details. From here you can:

Remove a responsible person or
If the list of responsible person(s) is correct, select 'Next' to continue.

Provide contact details

ASIC will direct all questions and correspondence regarding the PDS to the contact person.

Enter the 'Given and family names' for the contact person.
Select the 'Capacity' of the contact person.
Enter the contact person's 'Email address'.
Enter the contact person's 'Telephone number'.
Enter any 'Additional information' in the comments field if you wish.
Select 'Next' to continue.

Enter the 'Name of the PDS'. It must not exceed 100 characters.

Enter a 'Reference number' if you wish. It must not exceed 20 characters. Please note, if you provide a reference number you will need to record this number for future reference.
Enter the 'Date' the PDS was first prepared. The date must be in DD-MM-YYYY format and cannot be a future date.
Enter the 'Date' the PDS was first given in a recommendation, issue or sale situation. The date must be in DD-MM-YYYY format and cannot be a future date.
Select 'Yes' or 'No' to confirm if the PDS replaces an existing PDS.
If you selected 'Yes' to question 5, enter the 'ASIC document number' for the earlier PDF or
Enter your 'Reference number' for the earlier PDS.
Select 'Next' to continue.

Note: you can search for existing PDS reference numbers and document numbers by selecting the 'PDS Transaction History' link in the left-hand menu.

Select 'Yes' or 'No' to confirm if the PDS is a short PDS for:

a FHSA product
a standard margin lending facility
superannuation
a simple managed investment scheme

Select 'Next' to continue.

Provide PDS details

Select 'Yes' or 'No' to confirm if the PDS is a short term PDS.
Select 'Yes' or 'No' to confirm if the PDS is for a stapled security product.
Select 'Yes' or 'No' to confirm if there are multiple documents in the PDS.
Select 'Yes' or 'No' to confirm if the PDS contains information incorporated under regs 7.9.11E, 7.9.11P or 7.9.11X (for shorter PDSs) or regs 7.9.15DA (for other PDSs).
Select 'Yes' or 'No' to confirm if the PDS will be available online to the general public. Provide the URL in the field provided, if you answer 'Yes' to this question.
Select 'Yes' or 'No' to confirm if any of the products in the PDS will be offered in a recognised jurisdiction (New Zealand) under a foreign recognition scheme.
Select 'Next' to continue.

Enter the 'Name of the financial product'. This field is alphanumeric and a maximum of 100 characters can be entered.

Select the 'Type of financial product'. Only one product type can be selected for each financial product.
Select 'Next' to continue.

Note:

If the product type is 'Managed investment scheme (registered)' the ARSN of the scheme must be entered.
Where the product is an 'Unregistered managed investment scheme', select the category 'Miscellaneous financial facility', then select 'Miscellaneous Financial Investment Products'.
Where the product type is 'Superannuation' you must complete the APRA/defined benefit membership question at the bottom of the screen.

Review the list of products for the PDS. From here you can:

Select 'Add another product' or
Delete a listed product by selecting 'Remove' or
Review a listed product (this will take you to a previous screen) or
If you are satisfied the product list is correct, select 'Next' to continue.

Declaration

Select the company's Authorising officeholder from the drop-down list.

Select 'Yes' to complete the declaration when you are satisfied the document is being lodged within the terms and conditions of ASIC’s Electronic Lodgement Protocol.
Select 'Submit' to lodge the form with ASIC.

Confirmation

This screen confirms your document was submitted to ASIC.

Select 'Next' to continue.

Note: Occasionally, the system may occasionally present an additional form submission screen at this point. If this is the case, continue to select 'Next' to finalise this transaction.

Fees advice

Note the Invoice amount is now displayed.

Select 'Print' to print your invoice. Details on how payments to ASIC can be made are on the invoice.
Select 'Next' to continue and finalise the transaction.

ASIC