Australian Securities And Investments Commission - Treasury
Australian Securities and InvestmentsCommissionSECTION 1: ENTITY OVERVIEW AND RESOURCES . 1411.1Strategic direction statement . 1411.2Entity resource statement . 1431.3Budget measures . 145SECTION 2: OUTCOMES AND PLANNED PERFORMANCE . 1462.1Budgeted expenses and performance for Outcome 1 . 147SECTION 3: BUDGETED FINANCIAL STATEMENTS . 1573.1Budgeted financial statements. 1573.2.Budgeted financial statements tables . 160
Australian Securities and InvestmentsCommissionSection 1: Entity overview and resources1.1Strategic direction statementThe Australian Securities and Investments Commission (ASIC) is an independentgovernment body established under the Australian Securities and Investments CommissionAct 2001.ASIC’s objectives, as set out in the Australian Securities and Investments Commission Act2001, are to: maintain, facilitate and improve the performance of the financial system and theentities within that system in the interests of commercial certainty, reducing businesscosts, and the efficiency and development of the economy; promote the confident and informed participation of investors and consumers in thefinancial system; administer the laws that confer functions and powers on it effectively and with aminimum of procedural requirements; receive, process and store, efficiently and quickly, the information given toASIC under the laws that confer functions and powers on it; ensure that information is available as soon as practicable for access by the public;and take whatever action it can take, and is necessary, to enforce and give effect to thelaws of the Commonwealth that confer functions and powers on it.ASIC is Australia’s integrated corporate, markets, financial services and consumercredit regulator.ASIC also monitors and promotes market integrity and consumer protection in relationto the Australian financial system and payments system.As the financial services and consumer credit regulator, ASIC administers the Australianfinancial services (AFS) and credit licensing regime and monitors financial services andcredit businesses to ensure that they operate efficiently, honestly and fairly. Thesebusinesses typically deal in superannuation, managed funds, deposit and paymentproducts, personal lending, insurance, shares and company securities, and derivatives.Australian Securities and Investments Commission Page 141
Portfolio Budget StatementsAs the markets regulator, ASIC assesses how effective operators of financial markets areat ensuring their markets operate in a fair, orderly and transparent way. ASIC alsoexercises delegated authority from the Minister in authorising new markets andapproving important changes to market structure. It has responsibility for thesupervision of trading on Australia’s domestic licensed equity, derivatives markets.As the corporate regulator, ASIC ensures that companies, schemes and related entitiesmeet their conduct and fundraising disclosure obligations under the Corporations Act2001 (Corporations Act). ASIC ensures that company officers comply with theirresponsibilities. It also takes disciplinary action against company auditors andliquidators. ASIC monitors public companies’ financial reporting and disclosure andfundraising activities.ASIC helps Australians to be in control of their financial lives. Our work aims to supportpeople to make informed financial decisions, manage their money day-to-day, and planfor the future.In August 2021, ASIC released its Corporate Plan for 2021-2025 (ASIC CorporatePlan 2021–25: Focus 2021-22) and its Statement of Expectations and Intent (Statement ofExpectations: Australian Securities and Investments Commission – August 2021)outlining how we will achieve our objectives, carry out our functions and exercise ourpowers in discharging our responsibilities. This Statement responds to theGovernment’s Statement of Expectations for ASIC, and should be read alongside thatdocument, as well as the laws that apply to us and those which we administer.Page 142 Australian Securities and Investments Commission
Portfolio Budget Statements 1.2Entity resource statementTable 1.1 shows the total funding from all sources available to the entity for itsoperations and to deliver programs and services on behalf of the Government.The table summarises how resources will be applied by outcome (government strategicpolicy objectives) and by administered (on behalf of the Government or the public) anddepartmental (for the entity’s operations) classification.For more detailed information on special accounts and special appropriations, pleaserefer to Budget Paper No. 4 – Agency Resourcing.Information in this table is presented on a resourcing (that is, appropriations/cashavailable) basis, whilst the ‘Budgeted expenses by Outcome 1’ tables in Section 2 and thefinancial statements in Section 3 are presented on an accrual basis.Table 1.1: Australian Securities and Investments Commission resourcestatement – Budget estimates for 2022-23 as at Budget March 2022DepartmentalAnnual appropriations - ordinary annual services (a)Prior year appropriations availableDepartmental appropriation (b) (c) (i)s74 External Revenue (d)Departmental capital budget (e) (i)Annual appropriations - other services - non-operating (f)Equity injection (i)Total departmental annual appropriationsSpecial accounts (g)Appropriation receipts (h)Non-appropriation receiptsTotal special accountsless departmental appropriations drawn from annual/specialappropriations and credited to special accountsTotal departmental resourcing2021-22Estimatedactual 7,79972,61060,24660,24664,811593,90760,246553,371 '000Australian Securities and Investments Commission Page 143
Portfolio Budget StatementsTable 1.1: Australian Securities and Investments Commission resourcestatement – Budget estimates for 2022-23 as at Budget March 2022 (continued)2021-22Estimatedactual '0002022-23EstimateAdministeredAnnual appropriations – ordinary annual services (a)Outcome 1Total administered annual appropriationsTotal administered special appropriationsTotal administered resourcingTotal resourcing for 59144,405697,776Average staffing level tual ’0002022-23Estimate '000Third party payments from and on behalf of other entities ’000Receipts received from other entities for the provision of services(disclosed above in s74 External Revenue section above)38,8183,273All figures shown above are GST exclusive – these may not match figures in the cash flow statement.Prepared on a resourcing (that is, appropriations available) basis.(a) Appropriation Bill (No. 1) 2022-23.(b) Excludes 4.669 million subject to administrative quarantine by Finance or withheld under section 51 ofthe Public Governance, Performance and Accountability Act 2013 (PGPA Act).(c) Excludes departmental capital budget (DCB).(d) Estimated External Revenue receipts under section 74 of the PGPA Act.(e) Departmental capital budgets are not separately identified in Appropriation Bill (No. 1) and form part ofordinary annual services items. Please refer to Table 3.5 for further details. For accounting purposes, thisamount has been designated as a ‘contribution by owner’.(f) Appropriation Bill (No. 2) 2022-23.(g) Excludes trust moneys held in Services for Other Entities and Trust Moneys (SOETM) and other specialaccounts. For further information on special accounts, please refer to Budget Paper No. 4 – AgencyResourcing. Please also see Table 2.1 for further information on outcome and program expenses brokendown by various funding sources, for example. annual appropriations, special appropriations and specialaccounts.(h) Amounts credited to the special account from entity ASIC’s annual appropriations.(i) 8.305 million will be received through the 2021-22 Annual Appropriation Bill No. 3 and 1.778 million willbe received through 2021-22 Annual Appropriation Bill No. 4. The annual appropriations received fromthese Bills will be recognised only after they have received Royal Assent.Page 144 Australian Securities and Investments Commission
Portfolio Budget Statements 1.3Budget measuresBudget measures relating to ASIC are detailed in Budget Paper No. 2 and aresummarised below.Table 1.2: Australian Securities and Investments Commission –2022-23 Budget measuresMeasures announced since the 2021-22 Mid-Year Economic and Fiscal Outlook(MYEFO)2021-22 '0002022-23 '0002023-24 '0002024-25 '0002025-26 217492,081-ProgramReceipt measuresCommonwealth's Deregulation Agenda(a)Administered receiptsTotalTotal receipt measuresAdministeredDepartmentalTotalPayment measuresInsolvency Reform - continuation (b)(c)Administered paymentsDepartmental payments1.11.1Total payment measuresTotal1,82110,74912,139Prepared on a Government Finance Statistics (Underlying Cash) basis. Figures displayed as a negative (-)represent a decrease in funds and a positive ( ) represent an increase in funds.(a) The Department of Prime Minister and Cabinet is the lead entity for measure titled ‘Commonwealth’sDeregulation Agenda’. The full measure description and package details appear in Budget Paper No. 2under the Prime Minister and Cabinet portfolio.(b) This measure includes capital funding for ASIC of 1.317 million in 2022-23 and 0.817 million in 2024-25.(c) The financial implications for this measure include amounts previously provisioned in the ContingencyReserve in the 2021-22 MYEFO or earlier Budget updates.Australian Securities and Investments Commission Page 145
Portfolio Budget StatementsSection 2: Outcomes and planned performanceGovernment outcomes are the intended results, impacts or consequences of actions bythe Government on the Australian community. Commonwealth programs are theprimary vehicle by which government entities achieve the intended results of theiroutcome statements. Entities are required to identify the programs which contribute togovernment outcomes over the Budget and forward years.Each outcome is described below together with its related programs. The followingprovides detailed information on expenses for each outcome and program, furtherbroken down by funding source.Note:Performance reporting requirements in the Portfolio Budget Statements are part ofthe Commonwealth performance framework established by the Public Governance,Performance and Accountability Act 2013. It is anticipated that the performance measuredescribed in Portfolio Budget Statements will be read with broader informationprovided in an entity’s corporate plans and annual performance statements –included in Annual Reports – to provide a complete picture of an entity’s plannedand actual performance.The most recent corporate plan for ASIC can be -role/asics-corporate-plan/at:The most recent annual performance statement can be found in the Annual Reportsat: ns/asic-annual-reports/Page 146 Australian Securities and Investments Commission
Portfolio Budget Statements 2.1Budgeted expenses and performance for Outcome 1Outcome 1: Improved confidence in Australia’s financial markets throughpromoting informed investors and financial consumers, facilitating fair andefficient markets and delivering efficient registry systems.Linked programsAustralian Taxation Office Program 1.1 Australian Taxation OfficeProgram 1.3 Australian Business RegisterContribution to Outcome 1 made by linked programsThe Australian Taxation Office (ATO) exchanges information with ASIC in relation toself-managed superannuation funds auditor registrations, and financial crime intelligence.ATO contributes funding for the latter as well as for the Modernising Business Registersprogram.Australian Securities and Investments Commission Page 147
Portfolio Budget StatementsBudgeted expenses for Outcome 1This table shows how much the entity intends to spend (on an accrual basis) onachieving the outcome, broken down by program, as well as by Administered andDepartmental funding sources.Table 2.1: Budgeted expenses for Outcome 12021-222022-23EstimatedBudgetactual '000 '000Program 1.1: Australian Securities and Investments CommissionAdministered expensesOrdinary annual services(Appropriation Bill No. 1)2023-24Forwardestimate '0002024-25Forwardestimate '0002025-26Forwardestimate '0007,6915,24815,27915,3775,355Expenses not requiring appropriation in theBudget year (a)Administered totalDepartmental expensesDepartmental appropriations74 External Revenue 387,6655,749391,5595,749Expenses not requiring appropriation in theBudget year (c)Departmental totalTotal expenses for program 476Program 1.2: Banking Act 1959, Life Insurance Act 1995, unclaimed monies and special accountsAdministered expensesOrdinary annual services(Appropriation Bill No. 1)Special appropriationsBanking Act 1959 - Banking UnclaimedMoneysLife Insurance Act 1995 - LifeUnclaimed MoneysCompanies unclaimed monies - s77 of thePGPA ACTAdministered totalTotal expenses for program 33,807133,80740,460134,746134,746Page 148 Australian Securities and Investments Commission
Portfolio Budget Statements Table 2.1: Budgeted expenses for Outcome 1 (continued)2021-22 2022-23 2023-24 2024-25 2025-26Estimated Budget Forward Forward Forwardactualestimate estimate estimate '000 '000 '000 '000 '000Outcome 1 Totals by appropriation typeAdministered expensesOrdinary annual services(Appropriation Bill No. 1)Special appropriationsCompanies unclaimed monies - s77 of the PGPA 0,05118,14390,75440,2878,38991,25240,460Expenses not requiring appropriation in the Budget year(a)Administered total63,051 67,186 66,859 65,548 66,202231,491 215,980 214,615 214,732 206,303Departmental expensesDepartmental appropriations74 External Revenue (b)349,039 391,917 386,702 387,665 391,55952,3669,0225,7495,7495,749Expenses not requiring appropriation in the Budget year(c)Departmental totalTotal expenses for Outcome 166,580 61,183 55,871 56,521 55,611467,985 462,122 448,322 449,935 452,919699,476 678,102 662,937 664,667 659,2222021-22 2022-23Average staffing level (number)1,9721,849(a) Expenses not requiring appropriation in the Budget year are doubtful debts.(b) Estimated expenses incurred in relation to receipts retained under section 74 of the PGPA Act 2013.(c) Expenses not requiring appropriation in the Budget year are made up of depreciation and amortisationexpense.Note: Departmental appropriation splits and totals are indicative estimates and may change in the course ofthe budget year as government priorities change.Australian Securities and Investments Commission Page 149
Portfolio Budget StatementsTable 2.2: Performance measures for Outcome 1Table 2.2 details the performance measures for each program associated withOutcome 1. It also provides the related key activities as expressed in the currentcorporate plan where further detail is provided about the delivery of the activitiesrelated to the program, the context in which these activities are delivered and how theperformance of these activities will be measured. Where relevant, details of2022-23 Budget measures that have created new programs or materially changedexisting programs are provided.Outcome 1 – Improved confidence in Australia’s financial markets through promotinginformed investors and financial consumers, facilitating fair and efficient markets and deliveringefficient registry systems.Program 1.1 – Australian Securities and Investments CommissionProgram 1.1 contributes to Outcome 1 by strategically identifying and responding to conductwhich presents the greatest risk of harm.Key activities YearPerformance measuresExpected performance resultsCurrent year2021-22Change behaviours to drive goodconsumer and investor outcomesOn track to meet the performancecriteria for 2021-22 Financial firms and individualsproviding financial services actprofessionally and treat their clientsfairlyEvidenced by qualitative andquantitative measures, including: Entities improve their businesspractices in response to identifiedareas of improvement Entities have fair and efficientdispute resolution processesin placeOperational data (for example.number of meetings and otherengagement with stakeholders,regulatory guidance and industryreports published) Financial markets are fair, strongand efficient Through the use of our regulatorytools (for example. licensing,supervision and surveillance,enforcement, engagement andguidance) we communicate,maintain and enforce standards andexpectations to protect consumersand promote fair and efficientmarketsStakeholder feedback, measuredthrough external committees andpanels such as the ASICConsultative Panel and ConsumerAdvisory Panel Case studies of key matters whereentities have improved theirbusiness practices Detailed, tailored measures of theimpact of ASIC’s major projects onreducing harms for consumers andinvestors.detecting misconduct through risk-based surveillance, breach reports,reports from the whistleblowers and the public, monitoring trends andemerging risks, data gathering and analysis; understanding and analysing the intelligence we receive to assessharms early and respond quickly; and responding to misconduct or the risk of misconduct through education,disrupting harmful behaviour, enforcement, engaging with industry andstakeholders, and providing guidance and policy advice.This program also seeks to improve ASIC’s registry services and reducecosts for businesses, consumers and the public.Change behaviours to drive goodconsumer and investor outcomesPage 150 Australian Securities and Investments Commission
Portfolio Budget Statements YearPerformance measuresExpected performance resultsCurrent year Consistent with our strategicpriorities, our regulatory actionsaddress key drivers of harm toconsumers and markets. External data (for example. reportsand data published by AFCA) Measures of the cleanliness of theAustralian listed equity marketWhere we exercise our productintervention power, we see areduction in consumer detriment asa result Case studies and other measures ofkey matters where we have usedour regulatory tools to changebehaviour in the financial system Where we exercise our productintervention power, we will evaluatethe resulting outcome after 18months Project-specific outcomes resultingfrom the outputs of our regulatoryactions Number and nature ofmisconduct-related complaints,including through internal andexternal dispute resolution channel2021-22(continued) Act against misconduct to maintain trustand integrity in the financial systemAct against misconduct to maintain trustand integrity in the financial systemFinancial firms and individuals providingfinancial services meet their obligations Operational data (for example.number of surveillance andenforcement actions undertakenand results achieved) Public outcomes (for example. civil,criminal and administrative actionstaken, including bannings) Levels of misconduct can bemeasured through, for example,reports of misconduct made to ASIC Remediation can be measuredthrough, for example, the amount ofcompensation for wrongdoingprovided to investors andconsumers Misconduct is deterred andcommunity expectations thatwrongdoing is punished andconsumer harm addressed are metWhere consumers suffer loss as aresult of misconduct, culpableentities compensate thoseconsumers appropriately We take successful enforcement orother regulatory action in responseto identified misconduct We appropriately sanctionindividuals who commit misconductincluding, when warranted, banningthem from providing financialservices or taking civil or criminalaction against them Consistent with our strategicpriorities, our regulatory actionsaddress key drivers of harm toconsumers and marketsPromote strong and innovativedevelopment of the financial systemPromote strong and innovativedevelopment of the financial system Operational data, including reliefapplications assessed andlegislative instruments made Stakeholder feedback measuredthrough external committees andpanels such as the ASICConsultative Panel and the DigitalFinance Advisory Panel The regulatory system supports thework of innovative start-ups and themarket testing of novel productsand services while minimising therisk of harm to consumersWe promote reduced compliancecosts and improved efficiencyamong our regulated populationAustralian Securities and Investments Commission Page 151
Portfolio Budget StatementsYearCurrent year2021-22(continued)Performance measuresExpected performance results We exercise our discretionarypowers to grant relief appropriately We advise the Government onpolicy issues and law reform optionsin line with expected communitystandardsCase studies of deregulatoryinitiatives that promote economicrecovery, reduce compliance costsand improve efficiency Use of the ASIC Innovation Hub byinnovative financial firms, includingthe enhanced regulatory sandbox Ongoing compliance with licensingand registration obligationsmeasured through, for example,case studies and operational dataon ASIC’s decisions to grant, varyor cancel AFS and credit licencesand other professional registrations Publication of consultation papersby ASIC and submissions made byASIC to government policyconsultation processes Publication of reports byinternational regulatory bodies towhich ASIC has contributed Case studies and other measures ofinstances where we have used ourregulatory tools to promote thestrong and innovative developmentof the financial system Project-specific measures resultingfrom the outputs of our regulatoryactions We propose and supportinternational policy initiatives thatimprove regulatory outcomes forAustralia and support cross-borderactivityConsistent with our strategicpriorities, our regulatory actionsaddress key drivers of harm toconsumers and marketsHelp Australians to be in control of theirfinancial livesHelp Australians to be in control of theirfinancial lives People can take action based onASIC’s educational materials Operational data, including ASICMoneysmart accessibility and usage We support better financialeducation across Australia’seducation system Increased evidence on howconsumers and investors makefinancial decisions We provide a range of tools andresources to help peopleunderstand money and how tomanage it Feedback through the stakeholdernetwork Collaboration with the formaleducation sector to support betterfinancial literacy education, asmeasured by the number of schoolsusing Moneysmart teachingresources Personal financial education anddecision-making tools andresources produced Case studies and other measures ofinstances where we have helpedAustralians to be in control of theirfinancial livesConsistent with our strategic priorities,our regulatory actions address keydrivers of harm to consumers andmarketsProject-specific measures resulting fromthe outputs of our regulatory actionsPage 152 Australian Securities and Investments Commission
Portfolio Budget Statements YearBudget year2022-23Performance measuresExpected performance resultsChange behaviours to drive goodconsumer and investor outcomesChange behaviours to drive goodconsumer and investor outcomes Financial firms and individualsproviding financial services actprofessionally and treat theirclients fairly Entities improve their businesspractices in response to identifiedareas of improvementOperational data (for example.number of meetings and otherengagement with stakeholders,regulatory guidance and industryreports published) Stakeholder feedback, measuredthrough external committees andpanels such as the ASICConsultative Panel, ConsumerAdvisory Panel and other externalpanels Case studies of key matters whereentities have improved theirbusiness practices Detailed, tailored measures of theimpact of ASIC’s major projects onreducing harms for consumers andinvestors External data (for example. reportsand data published by theAustralian Financial ComplaintsAuthority) Measures of the cleanliness of theAustralian listed equity market Where we exercise our productintervention power, we will evaluatethe resulting outcome after 18months Number and nature ofmisconduct-related complaints,including through internal andexternal dispute resolution channels Entities have fair and efficientdispute resolution processes inplace Financial markets are fair, strongand efficient Through the use of our regulatorytools (for example. licensing,supervision and surveillance,enforcement, engagement andguidance) we communicate,maintain and enforce standards andexpectations to protect consumersand promote fair and efficientmarkets Consistent with our strategicpriorities, our regulatory actionsaddress key drivers of harm toconsumers and marketsWhere we exercise our productintervention power, there is areduction in consumer detriment asa resultAct against misconduct to maintain trustand integrity in the financial systemAct against misconduct to maintain trustand integrity in the financial system Financial firms and individualsproviding financial services meettheir obligations Misconduct is deterred andcommunity expectations thatwrongdoing is punished andconsumer harm will be addressedare metOperational data (for example.number of surveillance andenforcement actions undertakenand results achieved) Public outcomes (for example. civil,criminal and administrative actionstaken, including bannings Levels of misconduct can bemeasured through, for example,reports of misconduct made to ASIC Remediation can be measuredthrough, for example, the amount ofcompensation for wrongdoingprovided to investors andconsumers Where consumers suffer loss as aresult of misconduct, culpableentities compensate thoseconsumers appropriatelyWe take successful enforcement orother regulatory action in responseto identified misconductAustralian Securities and Investments Commission Page 153
Portfolio Budget StatementsYearPerformance measuresBudget year2022-23(continued) We appropriately sanctionindividuals who commit misconductincluding, when warranted, banningthem from providing financialservices or taking civil or criminalaction against them Consistent with our strategicpriorities, our regulatory actionsaddress key drivers of harm toconsumers and marketsExpected performance resultsPromote strong and innovativedevelopment of the financial systemPromote strong and innovativedevelopment of the financial system The regulatory system supports thework of innovative start-ups and themarket testing of novel productsand services while minimising therisk of harm to consumers Operational data, including reliefapplications assessed andlegislative instruments made. Thisincludes We promote reduced compliancecosts and improved efficiencyamong our regulated populationperformance against the ASICservice charter targets Stakeholder feedback, measuredthrough external committees andpanels such as the ASICConsultative Panel and the DigitalFinance Advisory Panel Case studies of deregulatoryinitiatives that promote economicrecovery, reduce compliance costsand improve efficiency Use of the ASIC Innovation Hub byinnovative financial firms, includingthe enhanced regulatory sandbox Ongoing compliance with licensingand registration obligationsmeasured through, for example,case studies and operational dataon ASIC’s decisions to grant, varyor cancel AFS and credit licencesand other professional registration Publication of consultation papersby ASIC and submissions made byASIC to government policyconsultation processes Publication of reports byinternational regulatory bodies towhich ASIC has contributed Case studies and other measures ofinstances where we have used ourregulatory tools to promote thestrong and innovative developmentof the financial system We exercise our discretionarypowers to grant relief or makea legislative instrumentappropriately We propose and supportinternational policy initiatives thatimprove regulatory outcomes forAustralia and support cross-borderactivity Consistent with our strategicpriorities, our regulatory actionsaddress key drivers of harm toconsumers and marketsBusinesses comply with their ongoinglicensing and registration obligationsProject-specific measures resulting fromthe outputs of our regulatory actionsPage 154 Australian Securities and Investments Commission
Portfolio Budget Statements YearPerformance measuresExpected performance resultsBudget year2022-23(continued)Help Australians to be in control of theirfinancial livesHelp Australians to be in control of theirfinancial lives People can take action based onASIC’s educational materials Operational data, including ASICMoneysmart accessibility and usage We support better financialeducation across Australia’seducation system Increased evidence on howconsumers and investors makefinancial decisio
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