ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2023/778 I, Peter Dunlop, delegate of the Australian Securities and Investments Commission, make the following legislative instrument. Date 3 November 2023 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 2023/778. 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 2022-23 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 127 2 Australian derivative trade repository operators 1 2A Benchmark administrators 2 2B Claims handling and settling services providers 329 3 Corporate advisors 326 4 Credit intermediaries 4,214 5 Credit providers 1,019 6 Credit rating agencies 7 7 Custodians 1,365 8 Deposit product providers 190 8A Established specialised market operators 17 9 Exempt CS facility operators 4 10 Exempt market operators 4 11 Insurance product distributors 3,540 12 Insurance product providers 108 13 Large futures exchange operators 1 14 Large futures exchange participants 34 15 Large proprietary companies 10,184 16 Large securities exchange operators 2 17 Large securities exchange participants 65 18 Licensees that provide only general advice to retail or wholesale clients 1,097 19 Licensees that provide personal advice on relevant financial products to retail clients 2,766 20 Licensees that provide personal advice to only wholesale clients 1,931 21 Licensees that provide personal advice to retail clients on only products that are not relevant financial products 576 22 Listed corporations 2,155 23 Managed discretionary account providers 244 24 Margin lenders 24 24A New specialised market operators 1 25 Operators of investor directed portfolio services 75 25A Operators of notified foreign passport funds and regulated former notified funds 0 26 Overseas market operators 29 27 Over-the-counter traders 64 28 Payment product providers 655 29 Public companies (unlisted) 14,943 30 Registered company auditors 3,337 31 Registered liquidators 675 32 Responsible entities 426 33 Retail over-the-counter derivatives issuers 85 34 Risk management product providers 81 35 Securities dealers 1,173 36 Small and medium amount credit providers 195 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 87 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 44 48 Wholesale trustees 1,909 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 671,422,732 2 Australian derivative trade repository operators 365 2A Benchmark administrators 730 2B Claims handling and settling services providers 6,596,359 3 Corporate advisors 3,183,267,721 4 Credit intermediaries 40,728 5 Credit providers 714,409,148,579 6 Credit rating agencies 1,095 7 Custodians 1,365 8 Deposit product providers 2,961,345,734,368 8A Established specialised market operators 8,395 9 Exempt CS facility operators 841 10 Exempt market operators 1,184 11 Insurance product distributors 3,540 12 Insurance product providers 56,112,307,830 13 Large futures exchange operators 365 14 Large futures exchange participants 347,768,709 (messages) 312,671,840 (lots) 15 Large proprietary companies 10,184 16 Large securities exchange operators 1,978,975,354,682 17 Large securities exchange participants 5,302,599,433 (messages) 955,764,505 (transactions) 18 Licensees that provide only general advice to retail or wholesale clients 1,097 19 Licensees that provide personal advice on relevant financial products to retail clients 15,416 20 Licensees that provide personal advice to only wholesale clients 1,931 21 Licensees that provide personal advice to retail clients on only products that are not relevant financial products 204,026 22 Listed corporations 1,566,994,813,778 23 Managed discretionary account providers 86,043 24 Margin lenders 8,692 24A New specialised market operators 51 25 Operators of investor directed portfolio services 758,514,756 25A Operators of notified foreign passport funds and regulated former notified funds 26 Overseas market operators 10,239 27 Over-the-counter traders 1,942 28 Payment product providers 4,474,355,025 29 Public companies (unlisted) 14,943 30 Registered company auditors 3,337 31 Registered liquidators 48,328 32 Responsible entities 1,472,788,193,319 33 Retail over-the-counter derivatives issuers 29,131 34 Risk management product providers 27,137 35 Securities dealers 162,422,484,644 36 Small and medium amount credit providers 1,473,734,072 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 2,205,973,506,916 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 44 48 Wholesale trustees 867,003,115,407