Guidelines for Completing the Notice that a Fund is
an Eligible Rollover Fund
Superannuation Industry (Supervision) Act 1993
Trustees of funds that wish to be eligible rollover funds
(ERFs) for the purposes of the Superannuation Industry
(Supervision) Act 1993 (SIS Act) and the Superannuation
Industry (Supervision) Regulations 1994 (the Regulations)
must complete the attached notice, under subparagraph
10.01(1)(a)(ii) of the Regulations and lodge it with the
Australian Prudential Regulation Authority.
Amongst the requirements prescribed for ERFs under the
Regulations, an ERF:
• must be a regulated superannuation fund or an
approved deposit fund;
• must accept payment of benefits (other than pension
benefits) paid from a superannuation fund (other than
an eligible rollover fund) or from an approved deposit
fund (other than an eligible rollover fund), or from an
RSA, and shortfall components under the Superannuation
Guarantee (Administration) Act 1992, and amounts paid
from the Superannuation Holding Accounts Reserve
(regulation 10.06 of the Regulations);
• therefore, must be a public offer fund (a regulated
superannuation fund that accepts any non employersponsored members must be a public offer fund);
Please note that the notice that a fund is an ERF should
not be lodged until APRA has granted an appropriate
RSE licence under section 29D(1) of the SIS Act, or until
an application for such an RSE licence has been applied
for under section 29C of the SIS Act. A fund cannot act
as an ERF (without contravening section 152 of the SIS
Act) unless it has an RSE licence of a class that allows the
holder to be the RSE licensee of a public offer fund. Only a
constitutional corporation can apply for an RSE licence of
that class.
Also, please note that under subregulation 10.01(3) of the
Regulations a notice from a trustee that a fund is an ERF
has effect at the time when APRA acknowledges having
received it.
Should you require assistance in completing this notice or
have any queries, please contact the Australian Prudential
Regulation Authority.
The completed form should be sent to:
Australian Prudential Regulation Authority
GPO Box 9836
SYDNEY NSW 2001
Attention: (Name of responsible supervisor)
• must treat every member of the fund as a protected
member at all times and the whole of the benefits of
every member as minimum benefits at all times.
Australian Prudential Regulation Authority
1
Notice under subparagraph 10.01(1)(A)(ii)
Superannuation Industry (Supervision) Act 1993
Name of Trustee
1. Signatures on behalf of the Corporation
as Trustee of
Name of fund (the fund)
RSE registration number
(details of which are set out in the Schedule), has/has not
* been granted an RSE licence of a class that allows the
holder to be the RSE licensee of a public offer fund under
section 29D of the Superannuation Industry (Supervision) Act
1993 (the SIS Act), or a constitutional corporation which has
made an application for an RSE licence of that class under
section 29C of the SIS Act, and gives notice that the fund is
an eligible rollover fund within the meaning of section 242
of the SIS Act and regulation 10.01 of the Superannuation
Industry (Supervision) Regulations (the Regulations). The
Trustee notes that the fund must, in operating as an eligible
rollover fund, comply with the requirements applying to
public offer superannuation funds/approved deposit funds*
and with the requirements applying to eligible rollover funds
contained in the SIS Act and the Regulations.
Office held (tick one)
Chairman
Chief Executive Officer
Name (please print)
Signature
Day
Month
/
Year
/
OR
2. Affix Common Seal of Corporation
Common Seal of Corporation
The common seal of (name of corporation) was affixed
hereto in accordance with the Articles of Association of
the Corporation in the presence of:
Director’s name (please print)
Signature
Day
Month
/
Year
/
Office held (tick one)
Director
Secretary
Name (please print)
Signature
Day
Month
/
Year
/
Note: Provision has been made in this notification for the affixing of the
corporation’s seal in accordance with clause 84 of the Table A regulations at
Schedule 1 of the Corporations Law. If the corporation’s Articles of Association
provide for an alternative method of affixing and/or attesting the seal, that
method should be used.
Australian Prudential Regulation Authority
2
Schedule
1. Name of fund
7. Contact details
Name
2. Name by which the fund will be marketed
Telephone
(
3. RSE registration number (if known)
)
Fax
(
4. Name of Trustee
If an entity has not yet been granted an RSE licence,
complete Q9
)
8. Address of registered Office of Trustee
No. and street
Suburb/City
5. ABN of Trustee
State
Postcode
9. Date of application for an RSE licence
6. RSE licence number
Day
Month
/
Year
/
10. Date fund established
Day
Month
/
Australian Prudential Regulation Authority
Year
/
3