ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2024/822 I, Peter Dunlop, delegate of the Australian Securities and Investments Commission, make the following legislative instrument. Date 7 November 2024 Peter Dunlop Contents Part 1—Preliminary 3 1 Name of legislative instrument....................................3 2 Commencement and date of effect.................................3 3 Authority....................................................3 4 Definitions...................................................3 Part 2—Determination 4 5 Applicable financial year........................................4 6 Sub-sector population...........................................4 7 Sub-sector metrics—basic levy component and graduated levy component.5 Part 1—Preliminary 1 Name of legislative instrument This is the ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2024/822. 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 2023-24 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 121 2 Australian derivative trade repository operators 2 2A Benchmark administrators 2 2B Claims handling and settling services providers 344 3 Corporate advisors 290 4 Credit intermediaries 4,137 5 Credit providers 1,013 6 Credit rating agencies 6 7 Custodians 1,423 8 Deposit product providers 178 8A Established specialised market operators 23 9 Exempt CS facility operators 4 10 Exempt market operators 3 11 Insurance product distributors 3,588 12 Insurance product providers 102 13 Large futures exchange operators 1 14 Large futures exchange participants 33 15 Large proprietary companies 11,377 16 Large securities exchange operators 2 17 Large securities exchange participants 60 18 Licensees that provide only general advice to retail or wholesale clients 1,122 19 Licensees that provide personal advice on relevant financial products to retail clients 2,680 20 Licensees that provide personal advice to only wholesale clients 1,991 21 Licensees that provide personal advice to retail clients on only products that are not relevant financial products 565 22 Listed corporations 2,097 23 Managed discretionary account providers 252 24 Margin lenders 25 24A New specialised market operators 1 25 Operators of investor directed portfolio services 76 25A Operators of notified foreign passport funds and regulated former notified funds 0 26 Overseas market operators 32 27 Over-the-counter traders 55 28 Payment product providers 651 29 Public companies (unlisted) 14,725 30 Registered company auditors 3,177 31 Registered liquidators 671 32 Responsible entities 416 33 Retail over-the-counter derivatives issuers 80 34 Risk management product providers 85 35 Securities dealers 1,220 36 Small and medium amount credit providers 196 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 78 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 1,961 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 689,872,237 2 Australian derivative trade repository operators 601 2A Benchmark administrators 732 2B Claims handling and settling services providers 6,750,217 3 Corporate advisors 3,256,084,328 4 Credit intermediaries 44,381 5 Credit providers 744,468,316,592 6 Credit rating agencies 1,098 7 Custodians 1,423 8 Deposit product providers 3,091,091,466,997 8A Established specialised market operators 8,418 9 Exempt CS facility operators 796 10 Exempt market operators 763 11 Insurance product distributors 3,588 12 Insurance product providers 63,925,817,224 13 Large futures exchange operators 366 14 Large futures exchange participants 279,867,952 (messages) 359,065,446 (lots) 15 Large proprietary companies 11,377 16 Large securities exchange operators 1,932,929,257,226 17 Large securities exchange participants 5,110,438,104 (messages) 982,028,086 (transactions) 18 Licensees that provide only general advice to retail or wholesale clients 1,122 19 Licensees that provide personal advice on relevant financial products to retail clients 15,233 20 Licensees that provide personal advice to only wholesale clients 1,991 21 Licensees that provide personal advice to retail clients on only products that are not relevant financial products 201,301 22 Listed corporations 1,608,459,018,344 23 Managed discretionary account providers 86,293 24 Margin lenders 8,729 24A New specialised market operators 366 25 Operators of investor directed portfolio services 867,584,868 25A Operators of notified foreign passport funds and regulated former notified funds 26 Overseas market operators 10,882 27 Over-the-counter traders 1,944 28 Payment product providers 4,947,585,594 29 Public companies (unlisted) 14,725 30 Registered company auditors 3,177 31 Registered liquidators 61,241 32 Responsible entities 1,629,962,837,298 33 Retail over-the-counter derivatives issuers 27,993 34 Risk management product providers 29,861 35 Securities dealers 157,863,936,732 36 Small and medium amount credit providers 1,323,434,205 38 Small futures exchange operators 366 39 Small securities exchange operators 732 40 Small securities exchange operators with self-listing function only 366 41 Superannuation trustees 2,463,340,033,354 42 Tier 1 clearing and settlement facility operators 1,464 43 Tier 2 clearing and settlement facility operators 366 44 Tier 3 clearing and settlement facility operators 366 45 Tier 4 clearing and settlement facility operators 366 46 Traditional trustee company service providers 4,026 47 Wholesale electricity dealers 43 48 Wholesale trustees 993,306,731,514