In-use notices

ASIC Corporations (In-use Notices for Employer-sponsored Superannuation and Superannuation Dashboards) Instrument 2022/496 provides an alternative to lodging multiple in-use notices under subsection 1015D(2) of the Corporations Act 2001 (the Act) for certain standard-employer sponsored superannuation funds.

The primary notice

If trustees choose to rely on the relief in the instrument, they must create the primary notice and lodge the notice with ASIC.

The primary notice must:

• clearly mark on the first page that the instrument is being relied on,
• show the trustee's name and ACN, ARBN or ABN details and AFS licence number,
• be signed and dated,
• provide the following in tabular format:
  • date of each PDS or Supplementary PDS using the common part,
  • date of when each PDS or Supplementary PDS using the common part was first given,
  • details of the contact person in respect of each PDS or Supplementary PDS using the common part,
  • URL details for each PDS or Supplementary PDS using the common part (if the PDS or Supplementary PDS is available on the internet),
  • date of any previous PDSs or Supplementary PDSs, and
  • if the primary notice relates to a Supplementary PDS:

1. the date of the PDS it supplements,
2. the reference number of that PDS,
3. a summary of changes causing the supplementary PDS to be issued.

The secondary notice

If trustees choose to rely on the relief in the instrument, they must create the secondary notice and lodge the notice with ASIC.

The secondary notice must:

• show the trustee’s name and ACN, ARBN or ABN details and AFS licence number,
• be signed and dated,
• show the reference number and date of the primary notice,
• provide a tabular list of those PDSs or supplementary PDSs that:
  • use the same common part,
  • have been given in a recommendation, issue or sale situation during the life of the common part, and
  • at the end of the financial year to which the notice relates, are available to be given in a recommendation, issue or sale situation.

Lodgement details

Trustees relying upon the relief in the instrument must lodge the primary notice and secondary notice as a paper form with ASIC. Paper forms should be posted to:

Australian Securities & Investments Commission
PO Box 4000
Gippsland Mail Centre
VIC 3841

Read more about lodging paper forms

For the primary notice – The notice should be lodged as soon as practicable, after the end of each financial year, and in any event within five business days after the common part is first given to someone in a recommendation, sale or issue situation as part of a PDS or Supplementary PDS.

For the secondary notice – The notice should be lodged as soon as practicable after the end of each financial year, and in any event within five business days of the end of each financial year, that a PDS including the relevant common part remains available to be given to someone in a recommendation, issue or sale situation.