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Securities Law

Fee Checklist - Securities Regulation [F - Rescinded]

Published Date: 2000-12-08
Effective Date: 2001-01-01
Rescinded Date: 2001-05-31

Fee Checklist Securities Regulation

FOR COMMISSION USE ONLY
_______________________________

File Number
_______________________________

INSTRUCTIONS

1. This form must accompany all fee payments.

2. Cheques must be in Canadian funds made payable to the British Columbia Securities Commission.

3. NSF cheques will result in a $20.00 charge and all subsequent fee payments will require a certified cheque or money order.

4. The number to the left of the text below is the respective ITEM number from section 22 (1) of the Securities Regulation, B.C. Reg 196/97 (the "Regulation"). Reference should be made to the Regulation for the specific wording of each of the following items. All references to the "Act" are to the Securities Act, S.B.C. 1996, c. 418

5. The fees set out in this fee checklist are effective January 1, 1996.

INSTRUCTION: FOR EACH FEE PAYMENT, ENTER MULTIPLYING FACTOR(S) AND AMOUNT(S).

1. For registration or renewal of registration as a dealer, excluding COMMISSION
security issuers, regardless of the number of categories to which USE ONLY
the application relates, for a 2 year period [ $5000] x [______] = [______] R1SD2

(a) for the dealer's chief place of business in British Columbia

(b) for each branch office of the dealer in British Columbia where
more than 3 registered individuals carry on
business on behalf of the dealer [ $100] x [______] = [______] R1SDB2

2. For registration or renewal of registration as a security issuer, for
a one year period [ $2500] x [______] = [______] R1SI/1

3. For registration or renewal of registration as a salesperson,
partner, director or officer of a dealer in British Columbia, other
than as a salesperson of a security issuer, for a 2 year period [ $500] x [______] = [______] R1SD

4. For registration or renewal of registration as a salesperson of a
security issuer, for a one year period [ $500] x [______] = [______] R1SI/S1

5. Subject to item 6, for registration or renewal of registration as an
underwriter, for a 2 year period [ $5000] x [______] = [______] R1SU2

6. For registration or renewal of registration as an underwriter, for a
2 year period, if registered as a dealer under item 1 [ $1000] x [______] = [______] R1SU

7. For registration or renewal of registration as an adviser,
regardless of the number of categories to which the application
relates, for a 2 year period

(a) for the adviser's chief place of business in British Columbia [ $3000] x [______] = [______] R1SA2

(b) for each branch office of the adviser in British Columbia
where more than 3 registered individuals carry on business
on behalf of the adviser [ $ 100] x [______] = [______] R1SA2B

8. For registration or renewal of registration as an advising
employee, partner, director or officer of an adviser in British
Columbia, for a 2 year period [ $ 500] x [______] = [______] R1SA

9. For reinstatement of the registration of a salesperson, partner,
director or officer from one dealer to another dealer [ $ 100] x [______] = [______] R2SD/TR

10. For reinstatement of the registration of an advising employee,
partner, director or officer from one adviser to another adviser [ $ 100] x [______] = [______] R2SA/TR

11. For notification of change under section42 (1), (2) or (3) of the
Act, except for sections (1) (c), (2) (b) and, where referring to a
branch office with fewer than 4 registered individuals, section
28 (1) (d) (ii) and (2) (c) (ii) [ $ 100] x [______] = [______] S28/1/2

12. For issuance of a replacement certificate of registration, including
replacement where the name of the registrant has changed or the
certificate has been lost or destroyed [ $ 100] x [______] = [______] RCERT

13. For designation as an exempt purchaser [ $2000] x [______] = [______] SEXEMT

14. In addition to any fees paid under item 15

(a) for filing a preliminary prospectus, other than an exchange
offering prospectus but including a preliminary prospectus
under the PREP Procedures of National Policy Statement
No. 44, or for filing a pro forma prospectus

(i) where that preliminary prospectus or pro forma
prospectus relates to only one type, class or series of
security [ $2500] x [______] = [______] SPROS/1

(ii) where that preliminary prospectus or pro forma a
prospectus relates to more than one type, class or
series of security

(A) the fee set out in subparagraph(i) for each issuer,

and

(B) for each additional type, class or series of security
for each issuer [ $ 500] x [______] = [______] SPROS/2

(b) for filing a preliminary prospectus, other that an exchange
offering prospectus, where no distribution is contemplated, or [ $2500] x [______] = [______] SPROS/1

(c) for filing a preliminary prospectus under the Shelf Procedures
of National Policy Statement No. 44 [ $2500] x [______] = [______] SPROS/1

15. In addition to any fees paid under item 14, for filing a preliminary
prospectus other than an exchange offering prospectus, or pro
forma prospectus where both an issuer and a security holder are
proposing to distribute securities [ $1000] x [______] = [______] SPROSDI

16. For filing a preliminary exchange offering prospectus [ $1500] x [______] = [______] SEOP

17. For filing a prospectus, the amount, if any, by which

(a) 0.03%, or [______] x [______] = [______] SPROS+

(b) in the case of a money market mutual fund, 0.01%
of the proceeds realized by the issuer or security holder from the
distribution under the prospectus to purchasers in British
Columbia exceeds the aggregate of the fees paid under items
14, 15, or 16 which amount must be paid in accordance with
subsections (5) and (6) [______] x [______] = [______] SPROS+M

18. For filing an annual information form by an issuer other than a
mutual fund [ $1000] x [______] = [______] SA1F

19. For filing an amendment to a preliminary prospectus, prospectus
or annual information form [ $ 250] x [______] = [______] SAMEND

20. For filing a technical or engineering report with

(a) a preliminary prospectus, pro forma prospectus, prospectus,
annual information form, amendment to a preliminary
prospectus or prospectus [ $ 500] x [______] = [______] STECH

(b) an application under section 171 of the Act for revocation or
variation of a decision in respect of the reactivation of a
dormant issuer [ $ 500] x [______] = [______] STECHDD

21. For filing a notice by an issuer of its intention to offer securities
under section 74 (2) (7) of the Act

(a) where the notice does not include a rights offering memorandum or
circular [ $ 100] x [______] = [______] S55/2/7R

(b) where the notice includes a rights offering memorandum or
circular [ $ 500] x [______] = [______] S55/2/7

22. For filing a notice by an issuer of its intention to offer securities
under section 74 (2) (13) of the Act [ $ 100] x [______] = [______] S55/2/13

23. For filing a notice by a registrant of its intention to enter into a
networking arrangement under section 84 of the Rules [ $ 750] x [______] = [______] NETWORK

24. Subject to item 25, for filing an application to the commission or
the executive director for a decision under the Act, the
Regulation, the Rules another enactment or a policy statement,
where no other fee for that filing is prescribed [ $ 750] x [______] = [______] SORDER

25. In addition to the fee paid under item 24, where the applicant
requests an application filed under item 24 be expedited, or where
the commission or the executive director determines that an
application filed under item 24 is complex, an additional fee [ $1250] x [______] = [______] SORDER+

26. For filing a report

(a) under section 139 of the Rules, other than for a distribution
under section 74(2)(8) or (11)(i) of the Act, or pursuant to the
terms of an order made under section 76 of the Act,

the greater of

(i) $100, or

(ii) 0.03% or, in the case of a money market mutual fund,
0.01%, of the proceeds realized by the issuer from the
distribution of the securities described in the report to
purchasers in British Columbia; or [______] x [______] = [______] SDIST.03

(b) under section 139 of the Rules, for a distribution under
section 74 (2) (8) or (11) (i) of the Act [ $ 100] x [______] = [______] SDIST

27. For filing an annual financial statement by a reporting issuer, as
required under section 145 of the Rules, where the statement is
filed

(a) by an exchange issuer

(i) within the prescribed time period [ $ 850] x [______] = [______] SF1N/E

(ii) outside the prescribed time period [ $1050] x [______] = [______] SF1NELAT

(iii) outside the prescribed time period and the commission
or executive director has ordered that trading in the
securities of the issuer cease and the order has not
been revoked [ $1350] x [______] = [______] SF1NELCT

(b) by a reporting issuer other than an exchange issuer

(i) within the prescribed time period [ $ 600] x [______] = [______] SF1N

(ii) outside the prescribed time period [ $ 800] x [______] = [______] SF1NLAT

(iii) outside the prescribed time period and the commission
or executive director has ordered that trading in the
securities of the issuer cease and the order has not
been revoked [ $1100] x [______] = [______] SF1NLCT

28. For filing an interim financial statement by a reporting issuer, as
required under section144 of the Rules, where the statement is
filed

(a) within the prescribed time period, no fee is payable

(b) outside the prescribed time period [ $ 200] x [______] = [______] SF1N1LAT

(c) outside the prescribed time period and the commission or the
executive director has ordered that trading in the securities of
the issuer cease and the order has not been revoked [ $ 500] x [______] = [______] SF1N1LCT

29. For filing take over bid circular or issuer bid circular [ $ 750] x [______] = [______] SB1D

30. For filing an application under section 171 of the Act for
revocation or variation of a decision in respect of the reactivation
of a dormant issuer [ $2500] x [______] = [______] S3/35

31. Where no other fee is prescribed for filing a record other than any
of the following records [ $25] x [______] = [______] SRECORD

(a) a press release under section 85 (1) (a), 101 (3) (c), 111 (1) (a)
or (2) (a), 112 (1) or (2) of the Act or section 154 of the Rules

(b) a report under section 85 (1) (b) of the Act

(c) personal information under section 90 of the Act

(d) a copy of an offering memorandum under section 138 of the
Rules

32. For search of a file [ $6] x [______] = [______] SSEARCH

33. For a copy of a record in the public file of the commission, for
each page [ $0.50] x [______] = [______] SCOPY

34. For the certification of a record

(a) for the number of pages, up to and including 10, included in
the record [ $10] x [______] = [______] SCERT

(b) for each additional page over 10 included in the record [ $1] x [______] = [______]
For NSF charges [ $20] x [______] = [______] SNSF

35. The fees and charges for an examination or investigation by a
person appointed under section 11 or 153 of the Act are an
amount equal to the amount paid by the commission for the
examination or investigation, not exceeding fees of$1,000 for
each day of the examination or investigation plus all charges for
the costs of the examination or investigation [______] x [______] = [______] SEXAM

36. The fees and charges for the costs of or related to compliance
review under section 29 or 39 of the Act may include [______] x [______] = [______] SAUDIT

(a) costs for time spent by the commission or the executive
director or the staff of either of them, in the amount of $50
per hour for each person involved, and

(b) disbursements properly incurred by the commission or the
executive director or the staff of either of them

37. The fees and charges for an investigation by a person appointed
under section 142 or 147 of the Act are an amount equal to the
amount paid by the commission or the minister for the
investigation, not exceeding fees of $1000 for each day of the
investigation plus all charges for the costs of the investigation [______] x [______] = [______] SINVEST

38. The fees and charges for the costs of or related to a hearing may
include [______] x [______] = [______] SHEAR

(a) administrative costs, in the amount of $1000 for each day or
partial day of hearing

(b) costs for time spent by the commission or the executive
director or the staff of either of them, in the amount of $50
per hour for each person involved

(c) disbursements properly incurred by the commission or the
executive director or the staff of either of them

(d) fees paid to an expert or witness, in the amount of the actual
fees paid to a maximum of $200 per hour for each person
involved

(e) disbursements properly incurred by an expert

(f) costs for legal services, in the amount of the actual fees paid
to a maximum of $200 per hour for each person involved,
and

(g) disbursements properly incurred in connection with the
provision of legal services

39. For filing an application for a certificate confirming that a reporting
issuer is not in default of any requirement of the Act, the Rules or
the Regulation or another regulation under the Act [ $100] x [______] = [______] SCERTDEF

40. For filing a report under section 85(2) of the Act [ $100] x [______] = [______] SIMC

41. For filing a report required under section87 of the Act, where
the report is filed

(a) within the required time period, no fee is payable

(b) outside the required time period [ $50] x [______] = [______] SINSLATE

42. For an annual subscription to the periodical referred to
in section 7

(a) where picked up by the subscriber from the commission [ $300] x [______] = [______] WKSUM

(b) where mailed by the commission by first class mail to
anywhere in Canada or the United States [ $350] x [______] = [______] WKSUM

(c) where mailed by the commission overseas [ $500] x [______] = [______] WKSUM

43. For an approval of a waiver of the appointment of an auditor
under section 179 (3) (b) of the Company Act [ $100] x [______] = [______] SWAUD

44. For a consent to the restoration of a company or extraprovincial
company to the register under section 262(4)(d) of the Company
Act [ $100] x [______] = [______] SCRES

45. For filing a listing application under Local Policy Statement 3-19 [ $1500] x [______] = [______] SLP3/19

46. For a waiver under Part XII of National Policy Statement No. 41 [ $100] x [______] = [______] SWNP41

TOTAL AMOUNT OF FEE(S) [$_________]

FIN 2232 (3) Rev. 98/6/22