Line4

Search line4.ai

In forceManaged investment schemesLast checked 13 November 2026

Compliance plan audit report (5111)

A regulatory return listed by the Australian Securities and Investments Commission (ASIC), Australia.

A registered scheme's compliance plan sets out how the responsible entity will meet its duties and the law. An independent auditor must examine the plan every year and report whether the responsible entity complied with it, and whether the plan still meets the law's requirements. Source

Official title: Compliance plan audit report of a registered scheme (Form 5111)

The facts

Who files
The responsible entity of a registered scheme, which must keep an eligible auditor engaged at all times to audit compliance with the scheme's compliance plan, and must lodge the auditor's report with ASIC. Source
How often
Once for each financial year of the scheme. Source
Deadline
The auditor must give the responsible entity its report within 3 months after the end of the scheme's financial year (Corporations Act s601HG(3)); the responsible entity must then lodge that report with ASIC at the same time as the scheme's Chapter 2M financial statements and reports are due (s601HG(7)), which is also 3 months after the end of the financial year for a registered scheme. Source
Format
PDF. Form 5111's own guide gives the lodgement method: the form is downloaded, completed and signed, with the auditor's s601HG report attached, then posted to ASIC (PO Box 4000, Gippsland Mail Centre VIC 3841). The form's guide gives no email or online lodgement option, and allows extra pages to be photocopied or an annexure added if there is not enough space on the form itself. Source
How it is filed
Filing routes recorded for the ASIC: ASIC Regulatory Portal; Australian Credit Register Portal. See how firms file with the ASIC.
Status
In force
Legal basis
Group
Managed investment schemes

Templates (1)

The tables and forms inside the return. Plain name first, the ASIC's code in brackets.

  • Compliance plan audit report of a registered scheme (5111)

A single cover form (ASIC Form 5111, made under Corporations Act 2001 s601HG(7)) with the auditor's own report attached to it; the form's guide provides for extra pages to be photocopied or an annexure added, rather than dividing the return into separate schedules. Source

Validation rules

No published validation rules were found for this return. No standalone, published catalogue of edit checks appears in Form 5111 or its own guide, which instead gives signing, attachment and annexure requirements. Source

Public data

Published firm by firm. A document lodged under Chapter 5C is not one of the classes of document Chapter 9 of the Corporations Act excludes from public inspection, so any person may inspect it, or ask ASIC for a copy, under the Act's general document-inspection right. Source

Official documents (2)

The ASIC's own files, with the size and SHA-256 fingerprint of each as downloaded on 13 November 2026, so anyone can tell whether a copy is the same version.

  • Form 5111: Compliance plan audit report of a registered scheme

    Template · PDF · 149.0 KB · 4 July 2018

    Downloaded, completed, signed and posted to ASIC's lodgement address as a PDF with the audit report attached; the form's own guide gives no email or online lodgement option (corrected 13 Nov, batch 12b: the form was re-read and its guide gives a postal address, not an email one).

    SHA-256 6e55186e96d3show in full6e55186e96d32c2e256b498f58f5e3ea24fe28b56ddfab1056ce2eae099212c8
  • Corporations Act 2001, Volume 3 (Chapter 5C, managed investment schemes)

    Legal text · PDF · 2.0 MB · 19 September 2026

    Compilation No. 149, registered 1 October 2026. Section 601HG sets the compliance plan audit return relied on here.

    SHA-256 4238445d73aeshow in full4238445d73ae6e4e130ea8f3abe7d7c5d12f5c21ba7770b9bb5e3782af19f388

Sources

Every page and document this return's facts were read from.

Knowing exactly what is collected, in what format and under which rules is the first step to real-time supervision. Line4 builds SupTech software for financial regulators that runs checks like these as each return arrives.

Line4's own text, and the way Line4 has collected and arranged these records, are free to reuse under CC BY 4.0. Please credit: “Source: Line4 regulatory submissions library (CC BY 4.0), https://www.line4.ai”. The facts themselves belong to no one. The regulators' document titles, template names, quoted terms and documents belong to them and are not covered by this licence: see ASIC's reuse terms. This describes what regulators publish. It is not legal or regulatory advice: always rely on the regulator's own text. Not affiliated with or endorsed by any regulator.

Line4 wrote this page in its own words from the ASIC's public website and links to the ASIC's own pages as the source; the ASIC has not reviewed or endorsed it, so always check the ASIC's own published text before relying on it.

© Australian Securities & Investments Commission. Material drawn from ASIC's regulatory guides, information sheets, forms, pro forma documents, legislative instruments and annual reports (https://asic.gov.au) is used under the Creative Commons Attribution 4.0 International licence (https://creativecommons.org/licenses/by/4.0/); this library summarises it in plain English and links the originals.

Based on content from the Federal Register of Legislation at 13 November 2026. For the latest information on Australian Government legislation please go to https://www.legislation.gov.au.

Last checked 13 November 2026.