91AV

Reference: s912D(2)

Lodge: In writing as soon as possible, no fee

Further information: r1.0.05A(2)(c)

Reference : r7.6.04(1)(a)

Lodge: In writing within 3 days, no fee

Reference: s912DA

Lodge: : Notify ASIC of change in control of an Australian financial services licence

Further information: Change in control of an AFS licensee

Reference: s923B(3), PF 209.2

Lodge: - Vary authorisations and conditions of an Australian financial services licence

An application to vary the 'other conditions' of an AFS licence within 10 days.

Notification of change of details of an licensee

Includes:

• name
• principal business address
• ongoing contact person
• obtain ABN
• add or remove business name
• external dispute resolution details
• advise or modify licensees CPD year.

Reference: r7.6.04(1)(b), r7.6.05(1)

Lodge: - Notify change of details of an Australian financial services licence

Notification of change of licensee’s responsible managers

Includes:

• change of details of existing responsible manager
• removal of responsible manager
• appointment of new responsible manager

Reference: r7.6.04(1)(b), r7.6.05(1)

Lodge: - Notify change of responsible manager details of an Australian financial services licence

If lodging an application to Vary authorisations and conditions of an Australian financial services licence for a change of a key person, the change in licensee’s responsible managers must be lodged first and then the licensee must complete and submit the vary application.

Reference: s157(2)

Lodge: Form 205

Further information: Changing a company name

Note than a Notification of change of licensee’s responsible manager details of an Australian financial services licence will also have to be lodged where a responsible manager who is an existing key person has ceased or is being appointed as part of a key person change.

Reference: r7.6.05(1), PF 209.3

Lodge: - Vary authorisations and conditions of an Australian financial services licence

Reference: s916F(1), r7.6.05(2)

Reference: s916F(3)(b), r7.6.005(2)

Reference: s916F(3)(a), r7.6.04(1)(c), r7.6.05(2)

Submit Australian financial services licence annual financial statements

Reference: s989B, s989D

Lodge: Submit Annual financial services licence annual financial statements

Further information: RG 43, RG 68, r7.8.14 & 14A, r7.8.13,ÌýPF 27

Notify ASIC or apply to ASIC about Australian financial services licence auditor appointments

Reference: s990B(6), s990F(b), r7.8.15(9)

Lodge: - Notify ASIC or apply to ASIC about Australian financial services licence auditor appointments. If the licensee is a public company, s990B of the Act does not apply (s990A of the Act). Please refer to s327A – Public company auditor (initial appointment of auditor) and s319 – Lodgement of annual reports with ASIC (Form 388) for information relating to auditor appointments and notifications.

Further information: r7.8.15(1A), r7.8.16 regarding ineligibility to act as an auditor,ÌýAuditor appointments.

ASIC must provide consent prior to resignation of an auditor. See Resignation or removal of an auditor of an Australian financial services licensee.

Reference: s601CK

Lodge: Forms 405 & 406 lodgement as a foreign company satisfy the lodgement requirements under the Class Orders

Further information: RG 58, RG 68