Department of Community Services

Office of the Superintendent of Securities

Fee Schedule

 

 Service - Registration Fees  Fees
Application for registration as a dealer or adviser, regardless of the number of categories of registration to which the application relates.
 $750
Application for registration as an investment fund manager.
  
 $750
Annual fee payable by each registered dealer, advisor or investment fund manager, due no later than December 31 each year.
 $750
Except as provided in paragraph (f), application for registration or reinstatement as a representative, ultimate designated person or chief   compliance officer of a registered dealer, adviser or investment fund manager, regardless of the number of categories of registration to which the application relates.
 $250
Annual fee payable by each registered representative, ultimate designated person or chief compliance officer of a registered dealer, adviser or investment fund manager, due no later than December 31 each year.
 $250
Application for reinstatement of the registration of a person as a representative of a registered dealer, adviser or investment fund manager made in form 33-109F7 under the National Instrument 33-109 Registration Information, in the same calendar year as the termination of the registration  $100
Application by a dealer, adviser or investment fund manager to make a change, including an addition, to the registration category in respect of which the dealer, adviser or investment fund manager is registered.
 $100
Application by a dealer, adviser or investment fund manager to delete a registration category in respect of which the dealer, adviser or investment fund manager is registered.  NIL

 Service - Disclosure Filings  Fee
For issuers other than a mutual fund issuer, filing a preliminary prospectus or pro forma prospectus (for each class of security)
 $350
In the case of a mutual fund issuer, filing a preliminary prospectus or pro forma (for each fund)  $350
Filing an amendment to a preliminary, pro forma, or other prospectus (for each class of security or fund affected by the amendment)
 $50
Filing a non-exempt take‑over bid or issuer bid circular
 $200
Filing a directors’, individual director’s or officers’ circular in respect of a take‑over bid or issuer bid, and any amendment to such a circular
 NIL
Filing a rights offering circular  $100
Filing an offering memorandum
 $100
Filing a report of an exempt distribution in accordance with Form 45‑106F1 under National Instrument 45‑106 Prospectus and Registration Exemptions
 $25
Filing by an issuer of an annual information form under National Instrument 51‑102 Continuous Disclosure Obligations or under National Instrument 81‑106 Investment Fund Continuous Disclosure
 $400
Application for exemptive relief or application for designation or recognition under the Act (this includes an application to cease being a reporting issuer and any application for permission under section 147 of the Act)
 $250
Filings or approvals not otherwise provided for in this Schedule
 NIL

 Searches, Certificates and Photocopies  Fee
Searches  NIL
A certified statement referred to in section 19 of the Act provided by the Superintendent on request  $25
Certificate of true copy of an original documentcertificate of true copy of an original document  $5
Photocopies (for each page)  $1
Fax transmissions (for each page)  $2