| 1 | | Persons that apply under section 15 of the FSP Act to be a registered FSP | | | | Registrar of Financial Service Providers | | $690 |
| 2 | | Registered FSPs that are registered banks or licensed NBDTs | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | If the person’s total assets— (a) exceed $50 billion, $1,299,500; or (b) exceed $10 billion but do not exceed $50 billion, $402,500; or (c) exceed $2 billion but do not exceed $10 billion, $109,250; or (d) exceed $1 billion but do not exceed $2 billion, $52,900; or (e) exceed $500 million but do not exceed $1 billion, $19,550; or (f) exceed $40 million but do not exceed $500 million, $12,075; or (g) do not exceed $40 million, $3,450 |
| 3 | | | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | If the person’s annual gross premium revenue— (a) exceeds $1 billion, $552,000; or (b) exceeds $500 million but does not exceed $1 billion, $425,500; or (c) exceeds $250 million but does not exceed $500 million, $156,400; or (d) exceeds $100 million but does not exceed $250 million, $108,100; or (e) exceeds $50 million but does not exceed $100 million, $57,500; or (f) exceeds $10 million but does not exceed $50 million, $23,000; or (g) does not exceed $10 million, $5,980 |
| 4 | | Registered FSPs that are supervisors licensed under the FMS Act in respect of the supervision of debt securities or managed investment products in registered schemes (or both) | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | If the person’s total supervised interests— (a) exceed $5 billion, $304,750; or (b) exceed $1 billion but do not exceed $5 billion, $140,300; or (c) exceed $100 million but do not exceed $1 billion, $44,850; or (d) do not exceed $100 million, $13,800 |
| 5 | | Registered FSPs that are managers This class does not apply to the extent that the manager is an authorised body providing the service referred to in section 388(a) of the FMC Act under a market services licence held by another person (but subject to regulation 7(1)(a)(ii)) | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | If the relevant total managed assets— (a) exceed $15 billion, $770,500; or (b) exceed $10 billion but do not exceed $15 billion, $649,750; or (c) exceed $5 billion but do not exceed $10 billion, $460,000; or (d) exceed $2 billion but do not exceed $5 billion, $235,750; or (e) exceed $1 billion but do not exceed $2 billion, $149,500; or (f) exceed $500 million but do not exceed $1 billion, $86,250; or (g) exceed $250 million but do not exceed $500 million, $50,600; or (h) exceed $100 million but do not exceed $250 million, $36,800; or (i) exceed $20 million but do not exceed $100 million, $10,350; or (j) exceed $1 but do not exceed $20 million, $2,415 |
| 6 | | Registered FSPs that are— (a) entities (as defined in section 6(1) of the FMC Act) that undertook trading activities on licensed markets in the year ending on the date of the leviable event; or (b) contributory mortgage brokers (as defined in section 2(1) of the Securities Act 1978); or (c) persons registered for the financial service described in section 5(1)(k) of the FSP Act, other than— (i) persons included in class 6A, 6B, 6C, or 6D; and (ii) authorised bodies that only provide the service under a market services licence held by a person in class 6A or 6D; and (iii) DIMS wholesale providers; or (d) persons that hold a market services licence that covers the service of acting as a derivatives issuer in respect of a regulated offer of derivatives (as those terms are defined in section 6(1) of the FMC Act) | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | One of the following amounts (being whichever applicable amount is the greatest): (a) if the person is an entity authorised to undertake trading activities on licensed markets, $9,545: (b) if the person is a contributory mortgage broker, $4,025: (c) if the person is registered for the financial service described in section 5(1)(k) of the FSP Act, $11,960 (but this paragraph does not apply to entities authorised to undertake trading activities on licensed markets): (d) if the person holds a market service licence that covers the service of acting as a derivatives issuer in respect of a regulated offer of derivatives, $20,930 |
| 6A | | Registered FSPs that are licensed DIMS retail providers | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | If the relevant funds under management— (a) exceed $2 billion, $103,500; or (b) exceed $1 billion but do not exceed $2 billion, $51,750; or (c) exceed $500 million but do not exceed $1 billion, $34,500; or (d) exceed $250 million but do not exceed $500 million, $19,665; or (e) exceed $100 million but do not exceed $250 million, $13,570; or (f) exceed $50 million but do not exceed $100 million, $7,475; or (g) exceed $20 million but do not exceed $50 million, $4,600; or (h) do not exceed $20 million, $2,530 |
| 6B | | Registered FSPs that are providers of a regulated client money or property service (as defined in section 6(1) of the FMC Act) other than persons included in class 6(a) or 6C | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | $4,140 |
| 6C | | Registered FSPs that are custodians and persons providing custodial services (as defined in section 431W(2) of the FMC Act) | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | $13,685 |
| 6D | | Registered FSPs that provide a crowd funding service or a peer-to-peer lending service (as those services are defined in regulation 185(1) of the Financial Markets Conduct Regulations 2014) However, this class does not apply to a registered FSP that provides the service only as an authorised body | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | $4,094 |
| 6E | | Registered FSPs that are licensed to provide the licensed market service of acting as an administrator of a financial benchmark | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | |
| 6F | | Registered FSPs that are authorised bodies | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | $1,012 for each market services licence that, in its conditions, authorises the person to provide a market service covered by the licence |
| 6G | | Registered FSPs that are financial advisers (as defined in section 6(1) of the FMC Act) | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | |
| 6H | | Registered FSPs that are licensed financial advice providers (but see regulation 10) | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | $391 plus— (a) $345 for each nominated representative who, at the date of the annual confirmation, is currently nominated under section 431T of the FMC Act by the licensed financial advice provider; and (b) $345 for each nominated representative who, at the date of the annual confirmation, is currently nominated under section 431T of the FMC Act by an authorised body to give financial advice under the licence held by the licensed financial advice provider; and (c) $1,357 if the licensed financial advice provider gives regulated financial advice to its clients on its own account under section 431D(1)(b) of the FMC Act |
| 7 | | Registered FSPs that are not included in any of classes 2 to 6H However, this class also includes each registered FSP that is included in any of classes 2 to 6H but where the amount of levy payable by the FSP under those classes is $0 | | Supplying an annual confirmation to the Registrar of Financial Service Providers under section 28 of the FSP Act | | Registrar of Financial Service Providers | | $759 |
| 8 | | Listed issuers (other than persons included in class 8A) | | Being issued with an invoice under regulation 13 | | FMA | | $5,520 plus any debt collection costs incurred in relation to the person |
| 8A | | Listed issuers with a market capitalisation less than— (a) $60 million (unless paragraph (b) applies to the issuer); or (b) $100 million in the case of a listed issuer to which paragraph (c) of the definition of market capitalisation in regulation 3(1) applies | | Being issued with an invoice under regulation 13 | | FMA | | $1,403 plus any debt collection costs incurred in relation to the person |
| 9 | | Persons that lodge a product disclosure statement (PDS) under section 48 of the FMC Act | | | | Registrar of Financial Service Providers | | $5,405 (except for a PDS for a managed fund) $989 per fund, multi-fund investment option, or life cycle stage covered by the PDS, in the case of a managed fund |
| 10 | | Licensed market operators that operate 1 or more conventional markets | | For the levy other than debt collection costs, giving a report on compliance to the FMA under section 337 of the FMC Act For debt collection costs, being issued with an invoice under regulation 13 | | FMA | | $74,750 plus any debt collection costs incurred in relation to the person |
| 10A | | Licensed market operators that operate 1 or more growth markets (other than persons included in class 10) | | For the levy other than debt collection costs, giving a report on compliance to the FMA under section 337 of the FMC Act For debt collection costs, being issued with an invoice under regulation 13 | | FMA | | $10,925 plus any debt collection costs incurred in relation to the person |
| 11 | | FMC reporting entity (as defined in section 6(1) of the FMC Act) | | Lodging of financial statements (or group financial statements) and auditor’s reports under section 461H of the FMC Act | | Registrar of Financial Service Providers | | $92 |
| 12 | | Accredited bodies (as defined in section 6(1) of the Auditor Regulation Act 2011) | | Making an annual confirmation under section 43 of the Auditor Regulation Act 2011 | | | | |
| 13 | | Overseas auditors holding a specified licence (as defined in regulation 3(1)) | | Being issued with an invoice under regulation 13 | | FMA | | $6,555 plus any debt collection costs incurred in relation to the person |
| 14 | | Persons that make an application for registration or incorporation under— | | | | The person to whom the application is made | | $25 |
| 15 | | Persons that are registered or incorporated, and required to make an annual return, under— | | | | The person to whom the annual return is made | | $25 |