How to register a managed investment scheme
Download the full user guide (including screenshots) as a PDF (1.14MB)
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.
- 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
- If you entered the firm of auditors details at the previous screen, then the principal business address must be entered.
- 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:
- 'Remove' an attachment or
- '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:
- 'Remove' an attachment or
- '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:
- 'Remove' an attachment or
- '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.