Document ID: chunk:federal_register_of_legislation:F2023C00842:body:0:p1
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ASIC (Fees—Complexity Criteria) Instrument 2018/578

About this compilation

Compilation No. 2

This is a compilation of ASIC (Fees—Complexity Criteria) Instrument 2018/578 as in force on 1 September 2023. It includes any commenced amendment affecting the legislative instrument to that date.

This compilation was prepared by the Australian Securities and Investments Commission.

The notes at the end of this compilation (the endnotes) include information
about amending instruments and the amendment history of each amended provision.

Contents

Part 1—Preliminary
1 Name of legislative instrument
3 Authority
4 Definitions
Part 2—Determination
5 Application for an Australian financial services licence
6 Application for an Australian market licence
7 Application for an Australian CS facility licence
8 Lodging notice of changes to the operating rules of a licensed market
9 Lodging notice of changes to the operating rules of a licensed CS facility
10 Application to impose, vary or revoke conditions on an Australian market licence
11 Application to impose, vary or revoke conditions on an Australian CS facility licence
Endnotes
Endnote 1—Instrument history
Endnote 2—Amendment history

Part 1—Preliminary

1 Name of legislative instrument
This is the ASIC (Fees—Complexity Criteria) Instrument 2018/578.

3 Authority
This instrument is made under subsection 5A(4) of the Corporations (Fees) Act 2001.

4 Definitions
In this instrument:
           (a) Act means the Corporations Act 2001;
           (b) unless the contrary intention appears, an expression that:
           (i) is used, but not defined, in this instrument; and
           (ii) is defined in section 761A of the Act;
           has the same meaning in this instrument as in section 761A of the Act.

       Part 2—Determination

5 Application for an Australian financial services licence

High complexity
(1) The lodgment of an application, under section 913A of the Act, for an Australian financial services licence, is of high complexity if the authorisations sought relate to any of the following financial products:
           (a) a facility through which, or through the acquisition of which, a person makes a financial investment (within the meaning of section 763B of the Act) and which is not otherwise a specified financial product mentioned in subsection 764A(1) of the Act;
           (b) a facility through which, or through the acquisition of which, a person manages financial risk (within the meaning of section 763C of the Act) and which is not otherwise a specified financial product mentioned in subsection 764A(1) of the Act;
           (c) a margin lending facility that is a non-standard margin lending facility.
(2) The lodgment of an application, under section 913A of the Act, for an Australian financial services licence, is of high complexity if the authorisations sought relate to any of the following financial services:
           (a) make a market for a financial product;
           (b) operate a registered scheme;
           (c) the provision by a trustee