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.

<table cellspacing="0" cellpadding="0" style="margin-left:33.75pt; border:0.75pt solid #000000; border-collapse:collapse"><thead><tr><td style="width:38.8pt; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span style="font-weight:bold">Column 1</span></p></td><td style="width:102.3pt; border-right:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span style="font-weight:bold">Column 2</span></p></td><td colspan="2" style="width:207.9pt; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:center"><span style="font-size:9pt; font-weight:bold">Column 3</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:10pt"><span style="font-weight:bold">Item</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:10pt"><span style="font-weight:bold">Sub-sectors</span></p></td><td colspan="2" style="width:207.9pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:center"><span style="font-size:10pt; font-weight:bold">Sub-sector metric</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span></span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span></span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:center"><span style="font-size:9pt">Basic levy component</span></p><p style="text-align:center"><span style="font-size:9pt">(as applicable)</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:center"><span style="font-size:9pt">Graduated levy component</span></p><p style="text-align:center"><span style="font-size:9pt">(as applicable)</span></p></td></tr></thead><tbody><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>1</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Auditors of disclosing</span><span> </span><span>entities</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; text-align:right; font-size:9pt"><span>689,872,237</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>2</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Australian derivative trade repository operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">601</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>2A</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Benchmark administrators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">732</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>2B</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Claims handling and settling services providers</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">6,750,217</span></p></td></tr><tr style="height:20.5pt"><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>3</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Corporate advisors</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">3,256,084,328</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>4</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Credit intermediaries</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">44,381</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>5</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Credit providers</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">744,468,316,592</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>6</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Credit rating agencies</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">1,098</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>7</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Custodians</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">1,423</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>8</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Deposit product providers</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">3,091,091,466,997</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>8A</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Established specialised market operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">8,418</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>9</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Exempt CS facility operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">796</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>10</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Exempt market operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">763</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>11</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Insurance product distributors</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">3,588</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>12</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Insurance product providers</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right; line-height:normal; font-size:9pt"><span>63,925,817,224</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>13</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Large futures exchange operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">366</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>14</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Large futures exchange participants</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p><span style="font-size:9pt; font-weight:bold"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">279,867,952 (messages)</span></p><p style="text-align:right"><span style="font-size:9pt">359,065,446 (lots)</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>15</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Large proprietary companies</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">11,377</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>16</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Large securities exchange operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt; font-weight:bold"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">1,932,929,257,226</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>17</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Large securities exchange participants</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt; font-weight:bold"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p style="text-align:right"><span style="font-size:9pt">5,110,438,104 (messages)</span></p><p style="text-align:right"><span style="font-size:9pt">982,028,086 (transactions)</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>18</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Licensees that provide only general advice to retail or wholesale clients</span><span></span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">1,122</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt; font-weight:bold"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>19</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Licensees that provide personal advice on relevant financial products to retail clients</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt; font-weight:bold"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">15,233</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>20</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Licensees that provide personal advice to only wholesale clients</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">1,991</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>21</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Licensees that provide personal advice to retail clients on only products that are not relevant financial products</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">201,301</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>22</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Listed corporations</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">1,608,459,018,344</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>23</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Managed discretionary account providers</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">86,293</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>24</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Margin lenders</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">8,729</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>24A</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>New specialised market operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">366</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>25</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Operators of investor directed portfolio services</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">867,584,868</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>25A</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Operators of notified foreign passport funds and regulated former notified funds</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>26</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Overseas market operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">10,882</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>27</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Over-the-counter traders</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">1,944</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>28</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Payment product providers</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">4,947,585,594</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>29</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Public companies (unlisted)</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">14,725</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>30</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Registered company auditors</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">3,177</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>31</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Registered liquidators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">61,241</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>32</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Responsible entities</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">1,629,962,837,298</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>33</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Retail over-the-counter derivatives issuers</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">27,993</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>34</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Risk management product</span><span> </span><span>providers</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">29,861</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>35</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Securities dealers</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">157,863,936,732</span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>36</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Small and medium amount credit providers</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">1,323,434,205</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>38</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Small futures exchange</span><span> </span><span>operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">366</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>39</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Small securities exchange</span><span> </span><span>operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">732</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>40</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Small securities exchange operators with</span><span> </span><span>self-listing function</span><span> </span><span>only</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">366</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>41</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Superannuation trustees</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">2,463,340,033,354</span></p><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>42</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Tier 1 clearing and settlement facility operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">1,464</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>43</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Tier 2 clearing and settlement facility operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">366</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>44</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Tier 3 clearing and settlement facility operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">366</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>45</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Tier 4 clearing and settlement facility operators</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">366</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>46</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Traditional trustee company service providers</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">4,026</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>47</span></p></td><td style="width:102.3pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Wholesale electricity dealers</span></p></td><td style="width:87.95pt; border:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">43</span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; border-bottom:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td></tr><tr><td style="width:38.8pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>48</span></p></td><td style="width:102.3pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-left:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt"><p class="LI-BodyTextNumbered" style="margin-top:0pt; margin-left:0pt; text-indent:0pt; font-size:9pt"><span>Wholesale trustees</span></p></td><td style="width:87.95pt; border-top:0.75pt solid #000000; border-right:0.75pt solid #000000; border-left:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt"></span></p></td><td style="width:109.15pt; border-top:0.75pt solid #000000; border-left:0.75pt solid #000000; padding-right:5.03pt; padding-left:5.03pt; vertical-align:top"><p style="text-align:right"><span style="font-size:9pt">993,306,731,514</span></p></td></tr></tbody></table>

The instrument itself is an informational input to the statutory levy process rather than a payment or reporting notice. However the determination creates practical compliance steps for affected entities. The following compliance roadmap follows directly from the instrument’s text (s 2-7) and the cross-references it makes to the Regulations and the Act.

Confirm legal classification

Action: Review the ASIC Supervisory Cost Recovery Levy Regulations 2017 to identify the precise definition of the sub-sector that might apply to your entity. Reason: Section 4(b) of the instrument imports definitions from the Regulations where an expression is used but not defined in the instrument. Misclassification is the most common source of levy disputes.

Verify presence and numbers in the population table (s 6)

Action: Check whether your entity is counted in the sub-sector population in s 6. If you are listed (for example as one of the 121 auditors of disclosing entities or one of 1,013 credit providers), confirm the count and whether ASIC’s published population aligns with your internal records. If the instrument lists a population but you believe you are wrongly omitted or included, gather documentary proof of your status to present to ASIC.
Reason: Population counts feed into the basic levy component under the Regulations.

Map the applicable metric in s 7

Action: Identify whether your sub-sector’s levy is calculated by reference to the basic levy component metric, the graduated levy component metric, or both. Note the unit (count, monetary aggregate, messages, lots, transactions). Prepare to provide or challenge the underlying data if ASIC uses firm-level data to derive your share.
Reason: Section 7 supplies heterogeneous metrics; the Regulations will convert those metrics into levy shares.

Prepare data and supporting records

Action: Collate the data that corresponds to the metric unit used for your sub-sector (for example balance sheet totals, transaction messages, lot counts, or other activity measures). Ensure the data period aligns with the Regulations’ requirements and matches the unit definitions.
Reason: When ASIC applies the metric to allocate the graduated levy, ASIC will rely on reported or publicly accessible measures. Having contemporaneous records facilitates correction and dispute.

Monitor registration date and effect dates (s 2)

Action: Note that the instrument commences the day after it is registered on the Federal Register of Legislation (s 2(1)). Also check whether subsection 11(3) or 11(4) of the Act applies to determine the effective date (s 2(2)(a)-(b)).
Reason: Effective date determines the levy year and timing of potential liabilities. Retrospective application is possible under subsection 9(9) of the Act (s 2 Note 2).

Watch for ASIC levy notices and calculation breakdowns

Action: Once ASIC issues levy notices under the Act/Regulations, request a calculation breakdown showing how the levy amount was derived from the sub-sector metric and the population tables in this instrument. If the notice does not provide sufficient detail, lodge a formal inquiry with ASIC asking for the mathematical application of s 6 and s 7 to your firm.
Reason: The instrument provides inputs but not the arithmetic. Transparency in ASIC’s calculations is essential to check accuracy.

Use statutory review and political oversight avenues if needed

Action: If you consider the determination unlawful, procedurally unfair, or inconsistent with the Regulations or Act, consider available remedies. Note that section 11 of the Act governs disallowance and taking effect (s 2 Note 1), and administrative law remedies such as judicial review remain available where statutory prerequisites are met.
Reason: The instrument is subject to disallowance and retrospective provisions as indicated in its notes; remedies may include parliamentary disallowance or judicial review under administrative law.

Account for potential pass-through or pricing impacts

Action: If your business model suggests ASIC levies are likely to be passed to customers, quantify that impact and ensure any changes to customer fees or product pricing comply with consumer protection rules and your licensing conditions.
Reason: The instrument’s metrics may increase the levy share for certain sub-sectors (s 7). How firms manage cost recovery is a commercial decision with regulatory consequences.

Engage with ASIC early where there is disagreement

Action: If there are errors in population counts or metric assignments, contact ASIC with documentary evidence promptly. The instrument does not set a correction mechanism but dealing with ASIC administratively is the practical first step.
Reason: Corrections after levy notices may be more difficult to resolve.

Retain records for potential retrospective application

Action: Because Note 2 flags subsection 9(9) of the Act permitting retrospective application, keep records for the relevant retrospective period and be prepared to show compliance, classification and data used for the metric.
Reason: Retrospective determinations can create liabilities for prior periods and recordkeeping supports any later review.

If the entity seeks formal dispute resolution or legal challenge, ensure you have the legislative mapping from this instrument to the Regulations and the Act, and prepare a chronology showing the instrument’s registration date, any ASIC notices, and the data used in levying. The instrument’s role is to set the inputs; compliance in practice is about mapping, recordkeeping, and timely engagement with ASIC.

ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2024/822

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What it does

Current sections

ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2024/822

Source text: opening excerpt

1 ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2024/822

Main concepts

Who it affects

Key duties and rights

Penalties and enforcement

How it interacts with other laws

Amendment history

Litigation history

Gotchas

How to comply