Lodgement requirements for AFS licensees

Breaches and events

Notification of a breach of an AFS licensee’s general obligations (s912A), or an AFS licensee’s compensation arrangements (s912B), or the financial services laws (s912A(1)(c))

Reference: s912D(1)

Lodge: Form FS80

Further information: RG 78, RG 104, RG 105, RG 126 , r1.0.05A(2)(b), r7.6.02A

Notification of a licensee participating, or ceasing to participate, in a licensed market or a licensed CS facility

Reference: s912D(2)

Lodge: In writing as soon as possible, no fee

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

Notification of any event that may make a material adverse change to the licensee's financial position

Reference : r7.6.04(1)(a)

Lodge: In writing within 3 days, no fee

Notification of change of control of the licensee

Reference: r7.6.04(1)(i) &(2)

Lodge: Form FS20

Further information: Change in control of an AFS licensee

Notification of ineligibility to satisfy s923B(3) ‘Broker Terms’ criteria

Reference: s923B(3), PF 209.2

Lodge: FS03 An application to vary the 'other conditions' of an AFS licence within 10 days Further information: RG 2.43 If you are varying the ‘other conditions’ on your licence, at A2 the system will provide a free-text box to type in so that you can explain to us which conditions you want to vary and why you should be allowed to do this.

Change in licensee's particulars

Notification of change of licensee's particulars


  • name
  • principal business address
  • contact person
  • ABN
  • responsible managers
  • dispute resolution or compensation details.

If lodging an application (Form FS03) for the change of a key person an FS20 must also be lodged to remove or appoint a responsible manager.

If lodging an application (Form FS03) for the variation of the financial services or products, the FS20 must notify changes in the responsible manager’s responsibilities.

Reference: r7.6.04(1)(b), r7.6.05(2)

Lodge: Form FS20

Notification of change of company name

Reference: s157(2)

Lodge: Form 205

Further information: Changing a company name

Notification of appointment or departure of key person

Note than an FS20 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: Form FS03

Further information: RG 2.160 & 2.161

Authorised representatives

Notification of appointment of an authorised representative

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

Notification of revocation of an authorised representative

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

Notification of change of details of authorisation of an authorised representative

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

Financial statements and audit

Notification of financial statements: profit and loss statement and balance sheet

Reference: s989B, s989D

Lodge: Form FS70

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

Notification of appointment of auditor (proprietary company and non-corporate licensee)

Reference: s990B(6)

Lodge: Form FS06 (FS06 not required if the name of the auditor is notified in the FS01 application form. 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, Auditor appointments

Notification of resignation of an auditor (proprietary company and non-corporate licensee)

Public company licensee must comply with s329

Reference: s990G(1)(a) ASIC must provide consent prior to resignation

Lodge: Form FS08

Further information: Resignation or removal of an auditor of an Australian financial services licensee

Notification of cessation of auditor

Reference: r7.8.15(9)

Lodge: Form FS09

Further information: Resignation or removal of an auditor of an Australian financial services licensee

Application for consent to remove an auditor (proprietary company and non-corporate licensee)

Public company licensee must comply with s329

Reference: s990F(b) ASIC must provide consent

Lodge: Form FS07

Annual lodgement

Auditor's report on the financial statements

Reference: s989(B)(3) (See above)

Lodge: Form FS71

Further information: r7.8.13, PF 27

Annual return of a foreign ADI or foreign company other than a foreign ADI

Reference: CO 03/823, CO 06/68, s601CK

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

Further information: RG 58, RG 68

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Last updated: 23/03/2016 03:07