Securities Fees Schedule

Securities Fees Schedule

 

1.  The fee payable for an application for the registration of

  • a dealer, adviser or investment fund manager, regardless of the number of categories of registration to which the application relates, is $750;
  • a representative, ultimate designated person or chief compliance officer of a registered dealer or adviser is $350; and
  • the transfer of a representative, ultimate designated person or chief compliance officer of a dealer or adviser is $150.

2.   (1)  Subject to subsection (3), the fee payable for filing every preliminary prospectus or pro forma prospectus is $850 for each issuer.      

      (2)  In addition to any fee payable under subsection (1), the fee payable for filing any form of preliminary prospectus or pro forma prospectus that offers more than the one type, class, series of a class or unit of securities of any one issuer, is $150 for each additional type, class, series of a class or unit of securities offered.  

      (3)  The fee payable for filing every preliminary base shelf prospectus under National Instrument 44-102 Shelf Distribution or National Instrument 71-101 The Multijurisdictional Disclosure System is $950 for each issuer.

3.  The fee payable for filing every amendment to a preliminary, pro forma or other prospectus is $150 for each issuer.

4.  The fee payable for filing every annual information form filed by an issuer under National Instrument 51-102 Continuous Disclosure Obligations or under National Instrument 81-106 Investment Fund Continuous Disclosure is $1,000.

5.  The fee payable for an application

  •   under section 6 of this Act for a designation order is $350; and
  •   under section 16 of this Act for an exemption order is $350.

6.  The fee payable for every application, approval or filing under any section of this Act or the rules not otherwise provided for in this Schedule is nil.

 

 

Published date: 
September 18, 2017
Justice and Public Safety

General Inquiries

Consumer, Corporate and Insurance Division
1st Floor, Shaw Building (North Entrance)
105 Rochford Street
PO Box 2000
Charlottetown, PE   C1A 7N8

Phone: 902-368-4550
Fax: 902-368-5283

ccs@gov.pe.ca