How to register a managed investment scheme

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Complete this task when an applicant (an individual or the proposed responsible entity, or another corporation) wants to register a managed investment scheme. 

You will need to log in to your online account before you begin. 

Start transaction

Once logged in, select 'Start new form' in the left hand menu. 

From the list of available forms, select '5100A'. 

Provide proposed responsible entity details

Enter the 'AFS licence number'. 

  • If you are unsure of your AFS licence number you can select the link to search for it. 
  • Select 'Next' to continue. 

Review the responsible entity details.  

  • Select 'Yes' to confirm the information is correct. 
  • Select 'Next' to continue. 

Provide scheme details

Enter the 'Name of the scheme'. 

  • Enter the 'Proposed scheme details' in the text box provided. 
  • Select the relevant boxes to provide the 'Scheme kind(s)'. Up to three kinds can be selected. 
  • Select 'Next' to continue. 

Provide compliance plan auditor details

You need to enter the details of the consenting compliance plan auditor. 

  • Enter the 'ASIC registered auditor number' or 
  • Enter the 'Firm of auditor's details' (name of firm and principal business address). 
  • Select 'Next' to continue. 
  1. If you entered an ASIC registered auditor number at the previous screen, the name and address details will be pre-populated on this screen or 
  2. If you entered the firm of auditors details at the previous screen, then the principal business address must be entered. 
  3. Select 'Next' to continue. 

Attach the scheme’s constitution

You must attach a copy of the 'Scheme's constitution' and the table that cross-references its contents to the requirements of s601GA and GB. Select 'Browse' to locate your document. 

  • Each document must be in.tif, .pdf, or .rtf format and no bigger than 10.0MB.
  • A maximum resolution of 200dpi is recommended. 
  • You must attach a minimum of 2 documents. 

Enter a 'Description of the document'. 

  • Select 'Next' to continue. 

Review the attachments

Review the list of documents. From here you can: 

  1. 'Remove' an attachment or 
  2. 'View' an attachment. 

Select the box to confirm the scheme's Constitution has been executed by the proposed entity and includes a table that cross references the contents of the Constitution required by section 601GA and GB of the Act to the equivalent provisions in the Constitution.

  • When you are satisfied the attachments list is correct and complete, select 'Next' to continue. 

Attach the scheme's compliance plan

You must attach a copy of the 'Scheme's compliance plan'. If necessary, also attach a copy of the agent's authorities. Select 'Browse' to locate your document. 

  • Each document must be in.tif, .pdf, or .rtf format and no bigger than 10.0MB.

Enter a 'Description of the document'. 

  • Select 'Next' to continue. 

Review the attachments

Review the list of documents. From here you can: 

  1. 'Remove' an attachment or 
  2. 'View' an attachment. 

Select the box to confirm that the Compliance Plan has been signed by all the directors of the proposed responsible entity or their agent's, and that where agents have signed the Compliance Plan the agent's authorities to sign the Compliance Plan are also attached. 

  • When you are satisfied the attachments list is correct and complete, select 'Next' to continue. 

Attach the director's statement

You must attach the Form 5103 Director's Statement. You can download this from our website.

  • Once you have completed, scanned and saved the document, select 'Browse' to locate your document. 

Note: the file must be in.tif, .pdf, or .rtf format and no bigger than 10.0MB.

Enter a 'Description of the document'. 

  • Select 'Next' to continue. 

Review the attachment

Review the Director's statement attachment. From here you can: 

  1. 'Remove' an attachment or 
  2. 'View' an attachment. 

Select the box to confirm the Director's statement has been signed by all directors of the proposed responsible entity. 

  • When you are satisfied the attachments list is correct and complete, select 'Next' to continue. 

Certify attachments

Select 'Yes' to certify that each of the attached documents is a true copy of the original document. 

  • Select 'Next' to continue. 

Declaration

Select the company's Authorising officeholder from the drop-down list.

  • Select 'Yes' to complete the declaration when you are satisfied the document is being lodged within the terms and conditions of ASIC’s Electronic Lodgement Protocol.
  • Select 'Submit' to lodge the form with ASIC.

Confirmation

This screen confirms your document was submitted to ASIC. 

  • Select 'Next' to continue.

Note: Occassionally, the system may present an additional form submission screen at this point. If this is the case, continue to select 'Next' to finalise this transaction.

Fees advice

The Invoice amount is now displayed.

  • Select 'Print' to print your invoice.
  • Select 'Next' to continue and finalise the transaction.

What is an ASIC key?

Your ASIC key is a unique number used in ASIC Connect that helps us establish your identity and protects your business information by making sure only you and those you have authorised can access it.

Learn more about ASIC keys

What is a corporate key?

A corporate key is an 8-digit number uniquely associated with a company’s ACN. Your company needs only one corporate key.

Learn more about corporate keys

What is an invitation key?

An invitation key is a unique key to register for, or connect to an entity in, the ASIC Regulatory Portal.

Learn more about invitation keys 

What is an industry funding security key?

Your industry funding security key is a unique number used to launch an online transaction in the ASIC Regulatory Portal that will enable us to calculate your final industry funding invoice. You will be prompted to submit business activity metric information on the operation of your business in the previous financial year.

Learn more about industry funding security keys

Last updated: 30/03/2021 09:31