Last Updated: 24 June 2022

PART A INDEX OF PRESCRIBED FORMS

ItemProvisionPrescribed Form NoPrescribed Form nameLodgement fee (VEP)
1.Section 269(1) — Applications for securities exchange and central depository approvalB1Application for securities exchange or central depository approval or renewalApplication — $5,650
Renewal — $5,650
2.Section 269(2) — Applications for securities exchange and central depository approvalB2Certificate of approval of securities exchange or central depositoryNot applicable
3.Section 270 — Changes in securities exchange and central depository rulesB3Change to details (securities exchange or central depository approval)Nil
4.Section 270(4) — Changes in securities exchange and central depository rulesB4Notice of allowance or disallowance of change in rulesNil
5.Section 273 — Application for securities industry licence
Section 274 — Renewal of securities industry licence
B5Application for securities industry licence or renewalSee Part B of Schedule 1
6.Section 273 — Application for securities industry licence
Section 274 — Renewal of securities industry licence
B6Securities industry licence certificateNot applicable
7.Section 275 — Cancelling, suspending or restricting securities industry licencesB7Notice of cancellation, suspension or restriction of securities industry licenceNot applicable
8.Section 277 — Obligation to report changes (securities industry licence)B8Change to details (securities industry licence)Nil
9.Section 298 — The Registrar may approve public company to be a trusteeB9Certificate of approval of public company to be a trusteeNot applicable
10.Section 322(3) — Approval in principle by the Reserve Bank (managed investment scheme)B10Application for approval of managed investment scheme or renewal$1,739
11.Section 322 — Approval in principle by the Reserve Bank (managed investment scheme)B11Certificate of approval or exemption of managed investment schemeNot applicable
12.Section 327 — Removal of trustee (managed investment scheme)
Section 328 — Removal of manager (managed investment scheme)
B12Change of trustee or manager of managed investment schemeNil
13.Section 329 — Approval of scheme deedB13Application for approval of scheme deedInitial application — $1,739
Each subsequent application — $174
14.Section 329 — Approval of scheme deedB14Certificate of approval of scheme deed or refusal to approveNot applicable
15.Section 330 — Copy of scheme deed to be lodged with RegistrarB15Copy of scheme deedNil