ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2021/0936 I, Richard Goldman, delegate of the Australian Securities and Investments Commission, make the following legislative instrument. Date 15 November 2021 Richard Goldman Contents Part 1—Preliminary 1 Name of legislative instrument 2 Commencement and date of effect 3 Authority 4 Definitions Part 2—Determination 5 Applicable financial year 6 Sub-sector population 7 Sub-sector metrics—basic levy component and graduated levy component Part 1—Preliminary 1 Name of legislative instrument This is the ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2021/0936. 2 Commencement and date of effect (1) This instrument commences on the day after it is registered on the Federal Register of Legislation. Note: The register may be accessed at www.legislation.gov.au. (2) This instrument takes effect as follows: (a) if subsection 11(3) of ASIC Supervisory Cost Recovery Levy Act 2017 applies—the instrument takes effect on the day specified in paragraph 11(3)(a) of that Act; (b) if subsection 11(4) of ASIC Supervisory Cost Recovery Levy Act 2017 applies—the remaining provisions of the instrument take effect on the day specified in paragraph 11(4)(a) of that Act. Note 1: Section 11 of the ASIC Supervisory Cost Recovery Levy Act 2017 contains special provisions dealing with the disallowance and taking effect of instruments of this kind. Note 2: Subsection 9(9) of the ASIC Supervisory Cost Recovery Levy Act 2017 has the effect that the instrument can have retrospective application before the day it is registered on the Federal Register of Legislation. The register may be accessed at www.legislation.gov.au. 3 Authority This instrument is made under section 73 of the ASIC Supervisory Cost Recovery Levy Regulations 2017. 4 Definitions In this instrument: (a) Regulations means the ASIC Supervisory Cost Recovery Levy Regulations 2017; and (b) unless the contrary intention appears, an expression that: (i) is used, but not defined, in this instrument; and (ii) is defined in the Regulations; has the same meaning in this instrument as in the Regulations. Part 2—Determination 5 Applicable financial year This determination applies to the 2020-21 financial year. 6 Sub-sector population For the purposes of the definition of sub-sector population in subsection 4(1) of the Regulations, the sub-sector population for the sub-sector specified in column 2 of the table for the financial year is specified in column 3 of the table. Column 1 Column 2 Column 3 Item Sub-sectors Sub-sector population 1 Auditors of disclosing entities 123 2 Australian derivative trade repository operators 1 2A Benchmark administrators 2 3 Corporate advisors 344 4 Credit intermediaries 4,413 5 Credit providers 1,064 6 Credit rating agencies 6 7 Custodians 1,188 8 Deposit product providers 199 8A Established specialised market operators 20 9 Exempt CS facility operators 1 10 Exempt market operators 5 11 Insurance product distributors 3,345 12 Insurance product providers 94 13 Large futures exchange operators 1 14 Large futures exchange participants 37 15 Large proprietary companies 9,480 16 Large securities exchange operators 2 17 Large securities exchange participants 66 18 Licensees that provide only general advice to retail or wholesale clients 1,031 19 Licensees that provide personal advice on relevant financial products to retail clients 2,933 20 Licensees that provide personal advice to only wholesale clients 1,707 21 Licensees that provide personal advice to retail clients on only products that are not relevant financial products 612 22 Listed corporations 2,125 23 Managed discretionary account providers 250 24 Margin lenders 23 24A New specialised market operators 1 25 Operators of investor directed portfolio services 86 25A Operators of notified foreign passport funds and regulated former notified funds 0 26 Overseas market operators 26 27 Over-the-counter traders 77 28 Payment product providers 665 29 Public companies (unlisted) 15,006 30 Registered company auditors 3,657 31 Registered liquidators 664 32 Responsible entities 437 33 Retail over-the-counter derivatives issuers 98 34 Risk management product providers 69 35 Securities dealers 1,109 36 Small and medium amount credit providers 227 38 Small futures exchange operators 1 39 Small securities exchange operators 2 40 Small securities exchange operators with self-listing function only 1 41 Superannuation trustees 107 42 Tier 1 clearing and settlement facility operators 4 43 Tier 2 clearing and settlement facility operators 1 44 Tier 3 clearing and settlement facility operators 1 45 Tier 4 clearing and settlement facility operators 1 46 Traditional trustee company service providers 11 47 Wholesale electricity dealers 40 48 Wholesale trustees 1,742 7 Sub-sector metrics—basic levy component and graduated levy component For the purposes of the definitions of: (a) basic levy component in subsection 9(1) of the Regulations; and (b) graduated levy component in subsection 10(1) of the Regulations; the applicable sub-sector metric for the sub-sector specified in column 2 of the table for the financial year is specified in column 3 of the table. Column 1 Column 2 Column 3 Item Sub-sectors Sub-sector metric Basic levy component Graduated levy component (as applicable) (as applicable) 1 Auditors of disclosing entities 576,192,544 2 Australian derivative trade repository operators 365 2A Benchmark administrators 676 3 Corporate advisors 3,233,983,688 4 Credit intermediaries 37,703 5 Credit providers 623,068,948,040 6 Credit rating agencies 1,095 7 Custodians 1,188 8 Deposit product providers 2,548,583,726,882 8A Established specialised market operators 7,300 9 Exempt CS facility operators 365 10 Exempt market operators 1,261 11 Insurance product distributors 3,345 12 Insurance product providers 45,595,553,852 13 Large futures exchange operators 365 234,329,737 (messages) 14 Large futures exchange participants 317,754,570 (lots) 15 Large proprietary companies 9,480 16 Large securities exchange operators 2,021,533,155,481 4,834,061,562 (messages) 17 Large securities exchange participants 1,004,880,152 (transactions) 18 Licensees that provide only general advice to retail or wholesale clients 1,031 19 Licensees that provide personal advice on relevant financial products to retail clients 18,704 20 Licensees that provide personal advice to only wholesale clients 1,707 21 Licensees that provide personal advice to retail clients on only products that are not relevant financial products 218,170 22 Listed corporations 1,629,279,991,760 23 Managed discretionary account providers 86,863 24 Margin lenders 8,395 24A New specialised market operators 365 25 Operators of investor directed portfolio services 611,308,368 25A Operators of notified foreign passport funds and regulated former notified funds 0 26 Overseas market operators 9,150 27 Over-the-counter traders 2,264 28 Payment product providers 4,365,727,343 29 Public companies (unlisted) 15,006 30 Registered company auditors 3,657 31 Registered liquidators 46,123 32 Responsible entities 1,511,123,077,175 33 Retail over-the-counter derivatives issuers 33,983 34 Risk management product providers 22,666 35 Securities dealers 173,915,008,233 36 Small and medium amount credit providers 1,307,454,272 38 Small futures exchange operators 97 39 Small securities exchange operators 730 40 Small securities exchange operators with self-listing function only 365 41 Superannuation trustees 2,028,928,734,004 42 Tier 1 clearing and settlement facility operators 1,460 43 Tier 2 clearing and settlement facility operators 365 44 Tier 3 clearing and settlement facility operators 365 45 Tier 4 clearing and settlement facility operators 365 46 Traditional trustee company service providers 4,015 47 Wholesale electricity dealers 40 48 Wholesale trustees 725,380,530,657