ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2022/890 I, Peter Dunlop, delegate of the Australian Securities and Investments Commission, make the following legislative instrument. Date 9 November 2022 Peter Dunlop 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 2022/890. 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 2021-22 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 122 2 Australian derivative trade repository operators 1 2A Benchmark administrators 2 2B Claims handling and settling services providers 304 3 Corporate advisors 343 4 Credit intermediaries 4,291 5 Credit providers 1,041 6 Credit rating agencies 6 7 Custodians 1,277 8 Deposit product providers 197 8A Established specialised market operators 23 9 Exempt CS facility operators 2 10 Exempt market operators 3 11 Insurance product distributors 3,452 12 Insurance product providers 106 13 Large futures exchange operators 1 14 Large futures exchange participants 34 15 Large proprietary companies 9,820 16 Large securities exchange operators 2 17 Large securities exchange participants 63 18 Licensees that provide only general advice to retail or wholesale clients 1,076 19 Licensees that provide personal advice on relevant financial products to retail clients 2,886 20 Licensees that provide personal advice to only wholesale clients 1,822 21 Licensees that provide personal advice to retail clients on only products that are not relevant financial products 596 22 Listed corporations 2,189 23 Managed discretionary account providers 244 24 Margin lenders 24 24A New specialised market operators 1 25 Operators of investor directed portfolio services 82 25A Operators of notified foreign passport funds and regulated former notified funds 0 26 Overseas market operators 29 27 Over-the-counter traders 80 28 Payment product providers 662 29 Public companies (unlisted) 14,859 30 Registered company auditors 3,413 31 Registered liquidators 669 32 Responsible entities 435 33 Retail over-the-counter derivatives issuers 94 34 Risk management product providers 73 35 Securities dealers 1,182 36 Small and medium amount credit providers 419 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 96 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 43 48 Wholesale trustees 1,832 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 610,039,672 2 Australian derivative trade repository operators 365 2A Benchmark administrators 730 2B Claims handling and settling services providers 6,066,296 3 Corporate advisors 4,551,764,509 4 Credit intermediaries 38,722 5 Credit providers 773,879,793,771 6 Credit rating agencies 1,095 7 Custodians 1,277 8 Deposit product providers 2,972,678,312,388 8A Established specialised market operators 7,855 9 Exempt CS facility operators 509 10 Exempt market operators 1,095 11 Insurance product distributors 3,452 12 Insurance product providers 49,584,581,187 13 Large futures exchange operators 365 14 Large futures exchange participants 311,861,292 (messages) 300,040,302 (lots) 15 Large proprietary companies 9,820 16 Large securities exchange operators 2,351,638,397,871 17 Large securities exchange participants 5,695,147,937 (messages) 1,143,113,162 (transactions) 18 Licensees that provide only general advice to retail or wholesale clients 1,076 19 Licensees that provide personal advice on relevant financial products to retail clients 16,153 20 Licensees that provide personal advice to only wholesale clients 1,822 21 Licensees that provide personal advice to retail clients on only products that are not relevant financial products 210,564 22 Listed corporations 1,480,534,962,926 23 Managed discretionary account providers 83,898 24 Margin lenders 8,282 24A New specialised market operators 171 25 Operators of investor directed portfolio services 671,740,471 25A Operators of notified foreign passport funds and regulated former notified funds 26 Overseas market operators 10,306 27 Over-the-counter traders 2,034 28 Payment product providers 4,626,118,061 29 Public companies (unlisted) 14,859 30 Registered company auditors 3,413 31 Registered liquidators 41,226 32 Responsible entities 1,433,561,639,940 33 Retail over-the-counter derivatives issuers 32,303 34 Risk management product providers 24,798 35 Securities dealers 217,147,572,301 36 Small and medium amount credit providers 1,343,318,539 38 Small futures exchange operators 365 39 Small securities exchange operators 730 40 Small securities exchange operators with self-listing function only 365 41 Superannuation trustees 1,989,826,708,586 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 43 48 Wholesale trustees 818,932,713,553