Division Table 3: Investment options - Financial Sector (Collection of Data) (reporting standard) determination No. 43 of 2023 - Table 3: Investment options

Table 3: Investment options

Unless aggregation is permitted as described below, report each investment option that members invested in or had the option to invest in at any time during the reporting period. Report each group of investment options that have been aggregated that members invested in or had the option to invest in at any time during the reporting period.

For the 30 June 2021 reporting period, for each investment menu reported with Investment Menu Type of ‘Lifecycle option’, RSE licensees must report all investment options the investment menu provided a pathway to from 30 June 2014 up to and including 30 June 2021, regardless of whether the investment options have an investment option end date prior to 30 June 2021.

The investment option categories that may be aggregated are:

Direct Shares;
Direct Term Deposit;
Direct Hybrid Security and
Direct Fixed Income Instrument.

Where an investment option category has been listed as being permitted to be aggregated, the RSE licensee can either:

Report each investment option within that investment option category on a separate line; or
Aggregate the investment options within that investment option category subject to the following conditions:
- Only investment options with the same investment option type and investment option category may be aggregated;
- The investment option name and description should reflect the fact that aggregation has taken place;
- The number of investments included column must be completed, indicating the number of investment options that have been aggregated;
- APIR Code should be left blank;
- Ticker Symbol Text should be left blank;
- Investment Option Inception Date should be the earliest of the inception dates of the investment options being aggregated;
- Only investment options with the same combination of:
  - Exchange Code Text;
  - Able To Freeze For Redemptions Investment Option Indicator;
  - Frozen For Redemptions Investment Option Indicator; and
  - Open To New Members Investment Option Indicator,

can be aggregated.

For columns:
- Minimum Balance Investment Option Amount;
- Investment Cap Investment Option Percent; and
- Minimum Purchase Transaction Investment Option Amount,

the lowest non blank value of this column from the aggregated investment options should be reported. Should all aggregated investment options have an blank value, then that column may be left blank for the aggregation.

Column	Field name	Unique identifier	Applicable to	Valid values	Description
1	Investment Option Status Type		All filers	NewNo ChangeUpdate	Report the status for the investment option record.Report ‘New’ if this is a new investment option being reported for the first time.Report ‘No Change’ if there has been no change to the investment option since it was last reported.Report ‘Update’ if there has been a change to the investment option since it was last reported.
2	Investment Option Identifier	Y	All filers	No more than 20 alpha-numeric characters (with no special characters)	Report the investment option identifier.
3	Investment Option Name Text		All filers	Free text	Report the name of the investment option.
4	Investment Option Description Text		All filers	Free text	Provide a description of the investment option.
5	Trustee Directed Product Indicator		All filers	YesNo	Report whether the the investment option is a trustee directed product.
6	Investment Option Type		All filers	Multi ManagerSingle AssetExchange Traded ProductListed Investment CompanySingle Manager - Other ListedSingle Manager - UnlistedManaged Discretionary AccountSeparately Managed AccountInsurance OnlyDefined Benefit	Report the investment option type.
7	Investment Option Category Type		All filers	Single SectorMulti SectorDirect Cash AccountDirect Term DepositDirect Fixed Income InstrumentDirect SharesDirect Hybrid SecurityAnnuityOther	Report the investment option category.
8	Investment Option Included Count		All filers	Whole number	Where two or more investments have been aggregated for the purpose of reporting for this form, report the number of distinct investments included that would otherwise have satisfied the definition of investment option. Otherwise, leave this field blank.
9	APIR Code		All filers	String of 9 alpha numeric characters	Where applicable, report the APIR code. Otherwise leave this field blank.
10	Exchange Code Text		All filers	Free text	Where applicable, report the exchange code. Otherwise leave this field blank.
11	Ticker Symbol Text		All filers	Free text	Where applicable, report the ticker symbol of the investment option. Otherwise, leave this field blank.
12	Able To Freeze For Redemptions Investment Option Indicator		All filers	YesNo	Report whether the investment option is able to be frozen for redemptions.
13	Frozen For Redemptions Investment Option Indicator		All filers	YesNo	Report whether the investment option is frozen for redemptions.
14	Open To New Members Investment Option Indicator		All filers	YesNo	Report whether the investment option is open to new members.
15	Not Open To New Members Investment Option Reason Type		All filers	Failed Performance TestLegacy ProductOtherNot Applicable	Report an explanation for any investment option that is no longer open to new members.
16	Minimum Balance Investment Option Amount		All filers	Whole dollars	Report the minimum balance allowable within the investment option. Where there is no minimum, leave this field blank.
17	Investment Cap Investment Option Percent		All filers	Percentage to 2 decimal places	Report the investment cap applicable to the investment option as a percentage. Where there is no cap, leave this field blank.
18	Minimum Purchase Transaction Investment Option Amount		All filers	Whole dollars	Report the minimum purchase transaction of the investment option. Where there is no minimum, leave this field blank.
19	Investment Option Inception Date		All filers	Date values (dd/mm/yyyy)	Report the inception date of the investment option.
20	Investment Option End Date		All filers	Date values (dd/mm/yyyy)	Report the end date of the investment option where applicable. If the investment option has no end date, leave this field blank.
21	Investment Option Management Type		All filers	Internally ManagedExternally Managed - Connected EntityExternally Managed - Non-connected EntityNot Applicable	Report the investment management type for the investment option.
22	Investment Option Strategy Setting Type		All filers	RSE LicenseeConnected EntityNon-connected Entity	Report the investment asset allocation target type for the investment option.
23	Date Of Change		All filers	Date values (dd/mm/yyyy)	Where an RSE licensee makes a change to information relating to an investment option, report the date of change. Where there is no change, leave this field blank.
24	Investment Performance Start Date		All filers	Date values (dd/mm/yyyy)	Report the date when the investment option received its first contribution or funding from a member.

Table 3: Investment optionsTable 3: Investment options

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Table 3: Investment options