How to register a managed investment scheme

To register a scheme the proposed responsible entity must be:

  • a registered Australian public company, and
  • hold an Australian financial services (AFS) licence authorising the responsible entity to operate the scheme.

If the proposed responsible entity does not hold an AFS licence authorising it to operate the scheme, it should ensure an application for an AFS licence, or variation of an existing licence, has been submitted to us well in advance of applying for registration of the scheme.

For more information read:

Applying to register a scheme

Current AFS licensees can lodge Form 5100 online through either the AFS licensee portal or the registered agent portal.

New AFS licence applicants can lodge Form 5100 online through the registered agent portal.

Alternatively, you can download a copy of Form 5100 and post it to us.

Common registration issues

Information Sheet 220 Managed investment schemes: Common registration issues (INFO 220) explains the common issues we identify in the content of scheme constitutions during the registration process, and how we address these issues.

On the registration form you will be asked to describe how scheme funds will be applied and what investment strategies are likely to be adopted.

Scheme kinds identified for licensing purposes are:

  • financial assets
  • derivatives
  • mortgages
  • IDPS-like
  • direct real property
  • stable property trusts or syndicates
  • listed property trusts
  • service strata schemes
  • primary production - these schemes will be further categorised according to the type of scheme eg horticulture, aquaculture, tea trees, viticulture, forestry, cattle breeding, horse breeding, livestock grown for fleece and ratifies.
  • film schemes
  • time-sharing schemes.

If you register a scheme online, you must attach copies of:

  1. The scheme's constitution (as defined by section 601GA of the
    Corporations Act 2001 (Corporations Act)).
    For more information read Regulatory Guide 134Managed Investments: Constitutions.
  2. The scheme's compliance plan (as defined by section 601HA and signed in accordance with section 601HC).
    For more information read Regulatory Guide 132Managed investments: Compliance plans and our compliance plan commentaries.
  3. Form 5103 - a statement signed by the directors of the proposed responsible entity that:
    1. the scheme's constitution complies with sections 601GA and 601GB; and
    2. the scheme's compliance plan complies with section 601HA.
  4. An annexure that cross references the contents of a constitution required by sections 601GA and 601GB to the equivalent provisions in the scheme's constitution.
  5. If necessary, agent's authorities appointing another person to sign the compliance plan (see regulation 5C.4.01 of the Corporations Regulations 2001).

You must retain the original documents for a period of seven years from the date on which you lodged the form online.

If you register on paper make sure you send us:

  1. the completed application form and fee payment
  2. copies of the documents listed above.
  3. an extra photocopy of the completed application and each of the above documents.

Send these to:
Australian Securities & Investments Commission,
GPO Box 9827
Brisbane QLD 4001.

Compliance plans

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Last updated: 15/06/2020 04:52