Corporations (Fees) Amendment Regulations 2003 (No. 2) (Cth)

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Corporations (Fees) Amendment Regulations 2003 (No. 2)1

Statutory Rules 2003 No. 1592

I, GUY STEPHEN MONTAGUE GREEN, Administrator of the Commonwealth of Australia, acting with the advice of the Federal Executive Council, make the following Regulations under the Corporations (Fees) Act 2001.

Dated 25 June 2003

G. S. M. GREEN

Administrator

By His Excellency’s Command

IAN CAMPBELL

Parliamentary Secretary to the Treasurer

Contents

1Name of Regulations

These Regulations are the Corporations (Fees) Amendment Regulations 2003 (No. 2).

2Commencement

These Regulations commence as follows:

  1. (a)

    on 1 July 2003 — regulations 1 to 4 and Schedule 1;

  2. (b)

    on 1 September 2003 — Schedule 2.

3Amendment of Corporations (Fees) Regulations 2001

Schedules 1 and 2 amend the Corporations (Fees) Regulations 2001.

4Transitional

Despite the amendments made by Schedule 1:

  1. (a)

    subject to paragraph (b), the Corporations (Fees) Regulations 2001, as in force immediately before 1 July 2003, continue to apply in relation to an annual return that is due, but not lodged, before 1 July 2003; and

  2. (b)

    item 28 of Schedule 1 to the Corporations (Fees) Regulations 2001, as amended by item [8] of Schedule 2, applies in relation to an annual return that is due before 1 July 2003 and is lodged on or after 1 September 2003.

Schedule 1Amendments commencing on 1 July 2003

(regulation 3)

[1]Regulation 2A

omit

  

[2]Schedule 1, items 7, 7A, 7B and 8, including the heading above item 7

substitute

 

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:

  1. (a)

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

$33 for each company or scheme

  1. (b)

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

$330

Annual returns and accounts

Schedule 2Amendments commencing on 1 September 2003

(regulation 3)

[1]Schedule 1, item 1A

substitute

 

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):

  1. (a)

    using the ASIC eLicensing service

$230

  1. (b)

    in any other form

$270

Note See also item 46.

[2]Schedule 1, items 9, 9AA, 9A, 9B and 10

substitute

 

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):

  1. (a)

    by a body corporate, partnership or non-corporate trustee

$330

  1. (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:

  1. (a)

    a prospectus

$2 010

  1. (b)

    a profile statement

$2 010

  1. (c)

    an offer information statement

$2 010

[3]Schedule 1, items 14 to 19

substitute

 

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:

  1. (a)

    the imposition of conditions on an Australian market licence; or

  2. (b)

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

  3. (c)

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

  4. (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

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:

  1. (a)

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

  2. (b)

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

  3. (c)

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

  4. (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

[4]Schedule 1, items 22 to 25

substitute

 

22

On lodging an application:

  1. (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

  2. (b)

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

$1 000

23

On lodging an application:

  1. (a)

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

  2. (b)

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

$540

24

On application:

  1. (a)

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

  2. (b)

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

$330

25

On application:

  1. (a)

    under subsection 163 (1); or

  2. (b)

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

$65

[5]Schedule 1, item 31A

substitute

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)

  1. (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

  1. (b)

    in any other case

$9

[6]Schedule 1, item 34

substitute

34

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

  1. (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

  2. (b)

    regulation 2A.2.04 of the Corporations Regulations

$17

[7]Schedule 1, item 40

substitute

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:

  1. (a)

    an act under section 601AE or 601AF; or

  2. (b)

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

$33

[8]Additional amendments

Provision

omit

insert

Schedule 1, subparagraph 1 (a) (i), column 3

$240

$270

Schedule 1, subparagraph 1 (b) (i), column 3

$480

$540

Schedule 1, subparagraph 1 (b) (ii), column 3

$300

$330

Schedule 1, subparagraph 1B (b) (i), column 3

$30

$33

Schedule 1, subparagraph 1B (b) (ii), column 3

$60

$65

Schedule 1, paragraphs 3 (a), (b) and (c), column 3

$300

$330

Schedule 1, paragraph 3 (d), column 3

$60

$65

Schedule 1, item 4, column 3

$120

$135

Schedule 1, paragraph 4A (a), column 3

$240

$270

Schedule 1, subparagraph 5 (a) (i), column 3

$740

$800

Schedule 1, subparagraphs 5 (a) (ii) and (b) (i), column 3

$300

$330

Schedule 1, subparagraph 5 (b) (ii), column 3

$720

$800

Schedule 1, paragraph 5 (c), column 3

$750

$800

Schedule 1, subparagraph 6 (a) (i), column 3

$300

$330

Schedule 1, subparagraph 6 (a) (ii) and paragraph 6 (b), column 3

$720

$800

Schedule 1, item 6A, column 3

$1 800

$2 010

Schedule 1, item 13, column 3

$120

$135

Schedule 1, item 20, column 3

$900

$1 000

Schedule 1, item 26, column 3

$36

$40

Schedule 1, item 27, column 3

$30

$33

Schedule 1, items 27D, 27E, 27F, 27G and 27H, column 3

$250

$270

Schedule 1, paragraph 28 (b), column 3

$260

$270

Schedule 1, subparagraph 29 (a) (ii), column 3

$16

$17

Schedule 1, subparagraph 29 (b) (i), column 3

$8

$9

Schedule 1, subparagraphs 29 (b) (ii) and 30 (a) (i), column 3

$16

$17

Schedule 1, subparagraph 30 (a) (ii), column 3

$30

$33

Schedule 1, paragraph 30 (b), column 3

$16

$17

Schedule 1, item 30A, column 3

$8

$9

Schedule 1, paragraph 31 (b), column 3

$8

$9

Schedule 1, paragraph 32 (a), column 3

$16

$17

Schedule 1, paragraph 32 (b), column 3

$30

$33

Schedule 1, paragraph 33 (b), column 3

$30

$33

Schedule 1, item 35, column 3

$16

$17

Schedule 1, item 36, column 3

$30

$33

Schedule 1, item 37, column 3

$2

$3

Schedule 1, item 39, column 3

$30

$33

Schedule 1, item 41, column 3

$120

$135

Schedule 1, item 42, column 3

$600

$670

Schedule 1, item 44, column 3

$1 800

$2 010

Schedule 1, subparagraph 47 (a) (i), column 3

$200

$230

Schedule 1, subparagraph 47 (a) (ii), column 3

$100

$135

Schedule 1, subparagraph 47 (b) (ii), column 3

$200

$230

Schedule 1, paragraph 49 (b), column 3

$200

$230

Schedule 1, paragraph 50 (a), column 3

$100

$135

Notes

1. These Regulations amend Statutory Rules 2001 No. 194, as amended by 2001 No. 320; 2002 Nos. 42 and 146; 2003 No. 128.

2. Notified in the Commonwealth of Australia Gazette on 26 June 2003.

 
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