Document ID: chunk:federal_register_of_legislation:F2023C00435:front:0:p3
Version: federal_register_of_legislation:F2023C00435
Segment Type: other
Provision Reference: 
Character Range: 5759–7773

CSV (comma separated values) format in accordance with Appendix 1 and Appendix 2 of the IDR data reporting handbook.
(3) If there are no complaints for which the licensee is required to give ASIC IDR information for a reporting period, the licensee must give ASIC a confirmation that it did not have any complaints for that reporting period.
(4) The licensee must give ASIC the confirmation through ASIC's Regulatory Portal and within two months after the end of the reporting period.

6 Application

       Section 5 applies to a financial services licensee in relation to reporting periods ending on or after:
           (a) if the licensee is a first tranche firm—31 December 2022; and
           (b) if the licensee is a second tranche firm—30 June 2023; and
           (c) otherwise—31 December 2023.

           Note 1: The requirement to give ASIC information under section 5 applies to a financial services licensee that provides financial services covered by its licence to retail clients: see paragraph 912A(1)(g)(ii) of the Corporations Act.

           Note 2: The following persons must give the same information to ASIC as if they were a financial services licensee:

              (a) a person to whom paragraph 1017G(1)(d) of the Corporations Act applies;

              (b) a credit licensee: see paragraph 47(1)(ha) of the Credit Act;

              (c) a trustee of a regulated superannuation fund, or of an approved deposit fund, to whom paragraph 101(c) of the SIS Act applies;

              (d) an RSA provider to whom paragraph 47(1)(d) of the RSA Act applies.

7 Personal information

       For the avoidance of doubt, nothing in this instrument requires a financial services licensee to give ASIC any information that is personal information within the meaning of the Privacy Act 1988.

Part 3—Repeal

8 Repeal
This instrument is repealed on 1 April 2027.

Schedule 1—Second tranche firms

Second tranche firms

Item  Australian financial services licence number  Licensee name