11-901F - Fee Checklist [BCF - Rescinded]
| Published Date: | 2002-01-04 |
|---|---|
| Effective Date: | 2002-01-07 |
| Rescinded Date: | 2003-01-07 |
Fee Checklist Securities Regulation
FOR COMMISSION USE ONLY
_______________________________
File Number
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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. 196/197 (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 7, 2002.
INSTRUCTION: FOR EACH FEE PAYMENT, ENTER MULTIPLYING FACTOR(S) AND AMOUNT(S).
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- For filing an application for registration or COMMISSION
renewal of registration as a dealer, regardless USE ONLY
of the number of categories to which the
application relates, for a period of one year
(a) for the dealer's principal place of
business in British Columbia [ $2500] x [______] = [______] R1SD2
(b) for each branch office of the dealer
in British Columbia if more
than 3 registered individuals carry
on business on behalf of the dealer [ $50] x [______] = [______] R1SDB2 - For filing an application for registration or
renewal of registration as a salesperson, partner,
director or officer of a dealer in British
Columbia, for a period of one year [ $75] x [______] = [______] R1SD - Subject to item 4, for filing an application for
registration or renewal of registration as an
underwriter, for a period of one year. [ $2500] x [______] = [______] R1SU2 - For filing an application for registration or
renewal of registration as an underwriter,
for a period of one year, if registered as a
dealer under item 1 [ $500] x [______] = [______] R1SU - For filing an application for registration or
renewal of registration as an adviser, regardless
of the number of categories to which the
application relates, for a period of one year
(a) for the adviser's principal place of
business in British Columbia [ $1500] x [______] = [______] R1SA2
(b) for each branch office of the adviser
in British Columbia if more
than 3 registered individuals carry
on business on behalf of the adviser [ $50] x [______] = [______] R1SAB2 - For filing an application for registration or
renewal of registration as an advising employee,
partner, director, or officer of an adviser
in British Columbia, for a period of one year [ $250] x [______] = [______] R1SA - For filing an application for reinstatement of the
registration of a salesperson, partner, director or
officer from one dealer to another dealer [ $ 100] x [______] = [______] R2SD/TR - For filing an application for reinstatement of the
registration of an advising employee, partner, director
or officer from one adviser to another adviser [ $ 100] x [______] = [______] R2SA/TR\ - For notification of change under section
42 (1), (2) or (3) of the Act, except for
sections 42 (1) (c), 42 (2) (b) and, if
referring to a branch office with fewer
than 4 registered individuals, sections
42 (1) (d) (ii) and 42 (2) (c) (ii) [ $ 100] x [______] = [______] S28/1/2 - 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 - For each day that the financial statements of a
registered dealer, underwriter, or adviser have not
been filed as required under the Securities Rules,
unless the commission or executive director has
exempted in writing the registered dealer, underwriter
or adviser from the requirement to file financial
statements [ $ 100] x [______] = [______] RFSLATE - (a) Subject to paragraphs (b) and (c), for filing a
preliminary prospectus, a preliminary base shelf
prospectus under NI 44-102, a preliminary base
PREPprospectus under NI 44-103 or a pro
forma prospectus [ $ 400] x [______] = [______] SPROS/1
(b) For filing a preliminary or pro forma prospectus
for a mutual fund [ $ 900] x [______] = [______] SMFP
(c) For filing a preliminary exchange
prospectus [ $ 900] x [______] = [______] SEOP - For filing a prospectus, the amount, if
any, by which
(a) 0.02%, or [ 0.02%] x [______] = [______] SPROS+
(b) in the case of a money market mutual fund,
as defined in NI 81-102, 0.01% [ 0.01%] x [______] = [______] SPROS+M
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 item12, which amount must be
paid in accordance with subsections (5) and (6) - For filing an annual information form by
an issuer other than a mutual fund [ $1000] x [______] = [______] SAIF - For filing an amendment to a preliminary
prospectus, prospectus or annual
information form [ $ 250] x [______] = [______] SAMEND - 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 - For filing a notice by an issuer of its
intention to offer securities under
section 74 (2) (7) of the Act, if the notice
includes a rights offering memorandum
or circular [ $ 500] x [______] = [______] S55/2/7 - For filing an application to the commission or
the executive director for a decision under
the Act, this regulation, the Rules another
enactment or a policy statement, if no other
fee for that filingis prescribed [ $ 750] x [______] = [______] SORDER - 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 [ $ 100] x [______] = [______] SDIST.03
(i) $100, or
(ii) 0.01% of the proceeds realized
by the issuer from the distribution of the
securities described in the report to
purchasers in British Columbia [ 0.01%] 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 - For filing an annual financial statement by
a reporting issuer, as required under section
145 of the Rules, if the statement is filed
(a) within the prescribed time period [ $ 75] x [______] = [______] SFIN
(b) outside the prescribed time period [ $ 800] x [______] = [______] SFINLAT
(c) outside the prescribed time period
and the commission or executive
director has ordered, in respect of
the failure to file, that trading in
the securities of the issuer cease [ $1100] x [______] = [______] SFINLCT - For filing an interim financial statement by
a reporting issuer, as required under section
144 of the Rules, if the statement is filed
(a) within the prescribed time period [ NIL ] x [______] = [______]
(b) outside the prescribed time period [ $ 200] x [______] = [______] SFINILAT
(c) outside the prescribed time period
and the commission or the executive director
has ordered,in respect of the failure to file,
that trading in the securities of
the issuer cease [ $ 500] x [______] = [______] SFINILCT - For filing a report required under section
87 of the Act, if the report is filed
(a) within the required time period [ NIL ] x [______] = [______]
(b) outside the required time period [ $50] x [______] = [______] SINSLATE - For filing take over bid circular or issuer
bid circular [ $ 750] x [______] = [______] SBID - 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 - For an on-site search of a paper file [ $6] x [______] = [______] SSEARCH
- For a copy of a record in the public file of the
commission, for each page [ $0.50] x [______] = [______] SCOPY - 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 [______] = [______] SCERT - The fees and charges for an examination
or investigation by a person appointed
under sections 13 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
$2,000 for each day of the examination
or investigation plus disbursements properly
incurred for the examination or investigation [______] x [______] = [______] SEXAM - The fees and charges for the costs of or
related to compliance review under section
29 or 39 are [______] x [______] = [______] SAUDIT
(a) $100 per hour for each person involved
in the compliance review
(b) disbursements properly incurred by the
commission or the executive director or
the staff of either of them - 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 $2000 for each day of the
investigation plus disbursements properly
incurred for the investigation [______] x [______] = [______] SINVEST - The fees and charges for the costs of or
related to a hearing are [______] x [______] = [______] SHEAR
(a) $2000 for each day or partial day of
hearing
(b) $100 per hour for each person employed
by the commission
(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, to a
maximum of $600 per hour for each
person involved
(e) disbursements properly incurred by an
expert retained by the commission
(f) fees paid for legal services, to a maximum of
$400 per hour for each person involved
(g) disbursements properly incurred in
connection with the provision of legal
services to the commission - For filing an application for a certificate
confirming that a reporting issuer is not in
default of [ $100] x [______] = [______] SCERTDEF
(a) filing financial statements required by the
Act or the regulations
(b) paying prescribed fees and charges - For filing an application for an approval of a
waiver of the appointment of an auditor under
section 179 (3) (b) of the Company Act [ $100] x [______] = [______] SWAUD - For filing an application 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 - For filing an application for a waiver under
Part XII of National Policy Statement No. 41
Shareholder Communication [ $100] x [______] = [______] SWNP41
For NSF charges [ $20] x [______] = [______] SNSF
BCSC 11-901F Rev. 2001/12/13 |