Electronic Lodgement Protocol
ob体育's Electronic Lodgement Protocol (ELP) sets out the terms and conditions for lodging electronic documents with ob体育.听
We offer specific terms and conditions for online services available through ob体育 Connect. This includes business name holders, financial advisers and authorised representatives.
This page contains:
- Electronic Lodgement Protocol - Business names
- Electronic Lodgement Protocol - Financial advisers register and authorised representatives register
Read the 听(PDF, 245KB)听
Electronic Lodgement Protocol - Business names
This approval has effect under paragraph 68(b) of the听Business Names Registration Act 2011.
Australian Securities and Investments Commission Business Names Registration Act 2011 - Paragraph 68(b) 鈥� Approval
| 1. | Enabling Legislation |
| 1.1 | The Australian Securities and Investments Commission makes this approval under paragraph 68(b) of the听Business Names Registration Act 2011 (BNR Act). |
| 2. | Revocation |
| 2.1 | All previous approvals under paragraph 68(b) of the BNR Act are revoked. |
| 3. | Approval |
| 3.1 | Under paragraph 68(b) of the BNR Act We approve electronic lodgement through Our Online Business Name Service as the manner for lodging the documents in Schedule A (Transactions).Note: For other approved manners of lodgement under section 68(b), see听ob体育 Approval of manner of lodgement of documents -paper听available by contacting Us. |
| 3.2 | This approval is the Electronic Lodgement Protocol - Business Names (referred to as the Electronic Lodgement Protocol or ELP in the Online Business Name Service). |
| 3.3 | The approval in paragraph 3.1 applies to the lodgement of transactions where you agree to the following terms and conditions. |
| 4. | Access to Our Online Business Name Service |
| 4.1 | You may lodge the Transactions with Us electronically through Our Online Business Name Service. |
| 4.2 | You must have compatible hardware, software and Your own internet connection to access Our Online Business Name Service. |
| 4.3 | You must have a current ob体育 Connect account to be able to access ob体育 Connect. To obtain an account You must provide Us with requested information and agree to notify Us of any changes to the information provided |
| 4.4 | You may link a business name to Your ob体育 Connect account to carry out any Transactions in respect of that business name. |
| 4.5 | To link a business name to Your ob体育 Connect account, You must provide the ob体育 Key for that business name. |
| 4.6 | You acknowledge that the Transactions may not be accessible from time to time and We will provide notice of the availability of specific online Transactions on the Online Business Name Service. |
| 5. | Authorisation and Use |
| 5.1 | You confirm and warrant to Us that You are duly authorised to submit the Transaction. |
| 5.2 | You warrant that, where the consent of the business name holder is required, You consent on behalf of the business name holder. |
| 5.3 | You warrant that any person using Your ob体育 Connect account is so authorised and is aware of, and complies with, this approval. |
| 6. | Incomplete Transactions |
| 6.1 | Before submitting a Transaction in ob体育 Connect, You may save information related to that Transaction in Your ob体育 Connect account for a later time. The information will be saved for a period of 90 days after which it may be deleted. We will not be liable to You or any other person for the loss of any such information, whether accidental or otherwise, before a Transaction is submitted for lodgement. |
| 7. | Receipt of Transactions |
| 7.1 | We will issue a summary stating a Transaction number and the date and time of receipt of submitted Transactions. |
| 7.2 | Submitted Transactions will not be taken to be received until the summary is issued. |
| 8. | Reliance on Submitted Transactions |
| 8.1 | We will rely on submitted Transactions unless You notify Us that the Transactions are not authorised. |
| 8.2 | Transactions are taken to be lodged only if We are satisfied that the Transactions meet all the requirements of the Business Names Legislation, including the payment of any fees payable where applicable. |
| 9. | Privacy and Security |
| 9.1 | Information provided to us through our Online Business Name Service may include personal information. Please refer to听听for information about how we handle your personal information, your rights to seek access to and correct personal information, and to complain about breaches of your privacy by ob体育. |
| 9.2 | You acknowledge that you have read听听before you submit a transaction for lodgement. |
| 9.3 | You must take all reasonable steps to protect and maintain the security of Your access to Our Online Business Name Service, including maintaining the security of all usernames, passwords, ob体育 Keys and any other information relating to access, authentication and security relating to Your access to Our Online Business Name Service. |
| 9.4 | You must take all reasonable steps to prevent and detect both unlawful and unauthorised use of Your access to Our Online Business Name Service. |
| 9.5 | You must take all reasonable steps to ensure that Your access to and use of Our Online Business Name Service (without limitation including any Transactions submitted to Us) will not disrupt or adversely affect Our Online Business Name Service, the Business Names Register or any of Our other online services. |
| 9.6 | You must immediately notify Us if You know or suspect that access or authentication security information has been compromised or any other kind of unlawful and unauthorised use or security breach has occurred, or if You detect a fault, error or problem in Your access to Our Online Business Name Service. |
| 10. | Disclaimer and Liability |
| 10.1 | You acknowledge that the speed and characteristics of the Online Business Name Service will vary at times and under varied circumstances and may not always function as described, and may be subject to faults, interruption or breakdown or be fully or partially unavailable. |
| 10.2 | We will not be liable to You or any other person for any loss, damage, costs or expenses of any kind arising out of or in connection with any delay, omission, default, negligence or error by Us in relation to the availability, functionality or performance of the transmission, receipt, authentication or lodgement or any other dealing with Our Online Business Name Service including any software developed by third parties for that purpose. |
| 10.3 | We will endeavour to provide reasonable notice of any changes to the functionality and other characteristics of Our Online Business Name Service. You acknowledge that it may not be reasonably possible to provide notice in all circumstances and that in no event will We be obliged to provide notice exceeding 7 days. |
| 11. | Other Notices |
| 11.1 | Except where the Business Names Legislation otherwise provides, We may advise or notify You of any matter on or via Our website, by telephone, SMS, email, or mail to any relevant address You have provided to Us. |
| 12. | Termination, Suspension and Cancellation |
| 12.1 | We may terminate Your ob体育 Connect account at any time with or without notice if:We reasonably believe You have breached any clause of the ELP, orWe reasonably believe You have provided Us with incomplete, inaccurate, false or misleading information, orWe consider that Your ob体育 Connect account has become inactive.We may suspend Your ob体育 Connect account at any time with or without notice for a period of time determined by Us. |
| 12.2 | You may cancel Your ob体育 Connect account at any time by notifying Us. |
| 13. | Governing Law and Severability |
| 13.1 | The law in force in the Australian Capital Territory governs this approval and the Transactions contemplated by this approval. |
| 14. | Consent to Use Email for the Receipt of Notices under the Business Names Legislation |
| 14.1 | You agree to provide a valid email address for the business name and You warrant that the email address will be maintained. |
| 14.2 | You consent to Us using the email address provided as the address for the receipt of notices under paragraph 73(b) of the BNR Act and any other correspondence from Us relating to the business name. |
| 14.3 | The business name holder may change the address for receipt of notices by notifying Us at any time that the address has changed. |
Dated 11 March 2014
Signed by Rosanne Bell as a delegate of the Australian Securities and Investments Commission
Glossary
| Term | Meaning |
| ob体育 Key | A unique key issued by Us to every business name registered. The ob体育 Key is required to conduct Transactions with Us in relation to a business name |
| ob体育 Connect | Online service available at www.asic.gov.au that ob体育 customers may use to search ob体育 registers and conduct business name transactions. |
| ob体育 Smart Form | An online service that enables an ob体育 customer to submit business name transactions to ob体育 electronically |
| Business Names Legislation | Business Names Registration Act 2011, Business Names Registration Regulations 2011, Business Names Registration (Fees) Act 2011, Business Names Registration (Fees) Regulations 2011, Business Names Registration (Transitional and Consequential Provisions) Act 2011, Business Names Registration (Transitional and Consequential Provisions) Regulations 2011, Business Names Registration (Availability of Names) Determination 2012 |
| Business Names Register | The register established and maintained by Us pursuant to section 22 of the BNR Act |
| Machine to Machine Channel | The service provided by ob体育 allowing messages in Extensible Mark-Up Language (XML) to be generated, received and sent to and from ob体育 in the prescribed format through the internet. |
| Online Business Name Service | ob体育 Connect , Machine to Machine channel and ob体育 Smart Form |
| The BNR Act | Business Names Registration Act 2011 |
| Transaction or Transactions | Submission and lodgement of documents as required under the Business Names Legislation in the approved manner as set out in Schedule A |
| We, Us or Our | Australian Securities and Investments Commission |
| You or Your | An individual, other than Us, who wishes to use Our Online Business Name Service. |
Schedule A - Approved online transactions
| Transaction | Description | Provision |
| Apply for a Business Name | Application to register a business name | s23, BNR Act |
| Apply for a Business Name- Request an alternative Registration period | Application to have an alternative registration period determined for the registration of a new business name | s33, the Act |
| Cancel or transfer a Business Name | An application to cancel the registration of a business name | s42, the Act |
| Notice to consent to the registration of a business name to another entity | s31, the Act | |
| Change Business Name Details | Notice of change to Business Name Details including
|
s35, the Act |
| Other notifications | Notification that an entity has become disqualified or that an entity of a grandfathered business name is disqualified | s36, the Act; Item 11 of Schedule 1, the Transitional Act |
| Nomination of a principal place of business and nomination of an address for service | Item 17 of Schedule 1, the Transitional Act | |
| An application for a review of an ob体育 decision | s57(3), the Act; Item 28 of Schedule 1, Transitional Act | |
| Search | Application for a copy of entries in the Business Names Register | s60, the Act |
Electronic Lodgement Protocol - Financial advisers and authorised representatives
1.听听听 Enabling Legislation
1.1.听听 The Australian Securities and Investments Commission makes this approval under paragraph 352(1)(b) of the Corporations Act. 听
2.听听听 Name
2.1听听听听 This approval is the Electronic Lodgement Protocol - Relevant Provider Register and Authorised Representative Register (referred to as the Electronic Lodgement Protocol or ELP in ob体育 Connect).
3.听听听 Approval
3.1.听听 Under paragraph 352(1)(b) of the Corporations Act, ob体育 approves electronic lodgement through the Online Services of documents in the classes described in Schedule A.
3.2.听听 A Document given to ob体育 by you under this approval is taken to be lodged with ob体育 if it is lodged by you in accordance with the terms of this approval, including, without limitation, the term in paragraph 6.1, about payment of lodgement fees.听
4.听听听 Access to the Online Services
4.1.听听 You may lodge a Document with us electronically using our Online Services.
4.2.听听 To lodge a Document under this approval using the Online Services you must supply your own compatible hardware, software and internet connection. 听
4.3.听听 To use the ob体育 Connect Online Service you must have or obtain a current ob体育 Connect account.听 To obtain an account you must provide us with requested information and agree to notify ob体育 of any changes to the information provided.
4.4.听听 You may request ob体育 to link an Australian Financial Services Licence to your ob体育 Connect account to enable lodgement of Documents under this approval.听 You must provide ob体育 with the ob体育 Key for the relevant AFSL when you make the request.
4.5.听听 ob体育 may, in its complete discretion, decline to accede to a request made under paragraph 4.4 of this approval.
4.6.听听 You must provide a valid email address to ob体育 when submitting a Document using the Online Services, and you must be able to be contacted by ob体育 at that email address at all times, including after submission of Documents.
4.7.听听听听 You may notify us at any time that your valid email address has changed.
5.听听听 Authorisation to submit Documents
5.1.听听 If you are submitting Documents for lodgement under this approval on behalf of another person or entity you must be duly authorised to submit Documents for that person or entity.
5.2.听听 You must ensure that any person using your ob体育 Connect account is authorised to do so, and is aware of, and complies with, this approval.
6.听听听 Fees
6.1听听听听 Documents submitted for lodgement under this approval must comply with all the requirements of the Corporations Legislation, including the payment of any fees associated with lodgement of Documents
7.听听听 Security
7.1.听听听听 You must take all reasonable steps to protect and maintain the security of your access to the Online Services, including maintaining the security of all usernames, passwords, AUSkeys, ob体育 Keys and any other information relating to access, authentication and security relating to your access to the Online Services.
7.2.听听听听 You must take all reasonable steps to prevent and detect both unlawful and unauthorised use of your access to the Online Services.
7.3.听听听听 You must take all reasonable steps to ensure that your access to and use of our Online Services (without limitation, including any transactions submitted to us) will not disrupt or adversely affect our Online Services, ob体育 registers, or any of ob体育's other online services.
7.4.听听听听 You must immediately notify us if you know or suspect that access or authentication security information has been compromised or any other kind of unlawful or unauthorised use or security breach has occurred, or if you detect a fault, error or problem in your access to our Online Services.
8.听听听 Other information 鈥� operation of the Online Services
8.1.听听 ob体育 Connect permits you to save information related to a transaction in your ob体育 Connect account, for submission at a later time.听 ob体育 saves this information for a period of 90 days after it was first saved by you, after which it may be deleted by ob体育.
8.2.听听 ob体育 will not be liable to you or any other person for the loss of any saved information, however arising.
9.听听听 Other information - Receipt of Transactions
9.1.听听 ob体育 will send, to the email address notified to ob体育 under paragraph 4.6 or 4.7 of this approval, a summary stating a transaction number and the date and time of receipt by ob体育, for each Document submitted via the Online Services under this approval.
9.2.听听 Submitted Documents will not be taken to be received by ob体育 until the summary mentioned in paragraph 9.1 is issued to you.
10.听 听Other information - Privacy
10.1. Information provided to us through the Online Services may include personal information. Please refer to our Privacy Policy for information about how we handle your personal information, your rights to seek access to and correct personal information, and to complain about breaches of your privacy by ob体育.听
11. Disclaimer and Liability
11.1. The Online Services may not be accessible from time to time. 听ob体育 will endeavor to, but may not in every instance, provide notice on its website, of the availability of, or interruptions to, the Online Services. 听
11.2. The speed and characteristics of the Online Services will vary at times and under varied circumstances, and may not always function as described, and may be subject to faults, interruption or breakdown or be fully or partially unavailable.
11.3. ob体育 will not be liable to you or any other person for any loss, damage, costs or expenses of any kind arising out of or in connection with any delay, omission, default, negligence or error by us in relation to the availability, functionality or performance of the transmission, receipt, authentication or lodgement or any other dealing with our Online Services including any software developed by third parties for that purpose.
11.4. ob体育 will endeavour to provide reasonable notice of any changes to the functionality and, or other characteristics of the Online Services, however, it may not be reasonably possible to provide notice in all circumstances. 听
12.听 Termination, Suspension and Cancellation
12.1. ob体育 听may terminate your ob体育 Connect account at any time with or without notice if ob体育:
(a)听听听听听 reasonably believes you have breached any of the terms of this approval, or
(b)听听听听听 reasonably believes you have given ob体育 incomplete, inaccurate, false or misleading information; or
(c)听听听听听 considers that your ob体育 Connect account has become inactive.
12.2. ob体育 may suspend your ob体育 Connect account at any time with or without notice for a period of time determined by us.
12.3. You may cancel your ob体育 Connect account at any time by requesting ob体育 to do so, in writing.听
听
Signed by Rosanne Bell
As a delegate of the Australian Securities and Investments Commission
Definitions
| Term | Meaning |
| AFSL or Australian Financial Services Licence | Has the meaning given by s761A of the Corporations Act |
| ob体育 | Australian Securities and Investments Commission |
| ob体育 Key | A unique key issued by ob体育 to an AFS Licensee or Authorised Representative.听 For further information, see ob体育 Keys |
| ob体育 Connect | An online service members of the public may use to search ob体育 registers and make lodgements required under the legislation administered by ob体育.听 |
| ob体育 Smart Form | A Document听 given to an ob体育 customer by ob体育 in electronic form |
| AUSkey | A key issued by the Registrar of the Australian Business Register that a business may use 听to access participating government online services |
| Authorised Representative | Has the meaning given by s761A of the Corporations Act |
| Document | A document in the classes of documents described in Schedule A |
| Corporations Legislation | Corporations Act 2001, Corporations Regulations 2001, Corporations (Fees) Act 2001, Corporations (Fees) Regulations 2001 |
| Register of Authorised Representatives | The register established and maintained by ob体育 under Regulation 7.6.05 of the Corporations Regulations 2001 |
| Online Services | ob体育 Connect or email transmission to ob体育 of an ob体育 Smart Form |
| Corporations Act | Corporations Act 2001 |
| you or your | An individual using the Online Services to lodge Documents under this approval. |
Schedule A 鈥揅lasses of Documents
| Class of Documents | Description | Corporations Act provisions |
| Notification of authorisation of a relevant provider 听 | Notification about a person who becomes a relevant provider听 | Division 9 of Part 7.6 of the Corporations Act |
| Notification when a change in matter for a relevant provider听 | Notification about a change in a matter, particulars of which are entered for a relevant provider in ob体育's register | Division 9 of Part 7.6 of the Corporations Act |
| Notification about controller | Notification of controller | Division 9 of Part 7.6 of the Corporations Act |
| Notification when there is a change of controller | Notification about a change of controller | Division 9 of Part 7.6 of the Corporations Act |
| Notification of an authorised representative | Notification about a person who becomes an authorised representative | Division 5 of Part 7.6 of the Corporations Act |
| Notification of a change in authorisation | Notification about a change in detail relating to an authorised representative | Division 5 of Part 7.6 of the Corporations Act |
Terms and conditions of email lodgement with ob体育
When sending an email lodgement to ob体育, you must keep the email and a copy of the document for at least 7 years.
You don't need to submit the original form when lodging by email.
The maximum size of emails that we will accept is 10MB.
Download the
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