 |
Fees |
As of October 31, 2007
Please make cheques payable to the Minister of Finance.
Corporate Finance
Exemptions
General
The Securities Regulations
(Saskatchewan)
Appendix A -
TABLE 1
Fees
Registration
Dealers
1(1)
In this section,
‘Saskatchewan small business security issuer’
means a security issuer that is registered in accordance with
General Ruling/Order 31-902 Saskatchewan Small Business Security
Issuers made by the Commission.
(2)
The fee:
(a)
on each application for registration as a dealer, other than a
security issuer, regardless of the number of categories of
registration to which the application relates is:
(i)
$750.00; and
(ii)
$100.00 for each additional branch office of the applicant in
Saskatchewan at the date of application;
Security issuers
(b)
on application for registration as a security issuer who is not a
Saskatchewan small business security issuer is $300.00;
(c)
on application for registration as a security issuer who is a
Saskatchewan small business security issuer is $250.00;
(c.1) on application for registration as a deposit agent pursuant
to Local Instrument 32-501 Deposit Agents is $50.00;
Salesperson, officer or
director
(d)
on application for registration as a salesperson, partner or officer
of a registered dealer, other than a security issuer who is a
Saskatchewan small business security issuer, is $250.00;
Salesperson,
officer or director - security issuers
(e)
on application for registration as a salesperson, partner or officer
of a registered security issuer who is a Saskatchewan small business
security issuer is $100.00;
(e.1) on application for registration as a salesperson or official
pursuant to Local Instrument 32-501 Deposit Agents is $25.00;
(f)
Repealed.
14 Dec
2001 SR 91/2001 s33.
Adviser
(g)
on each application for registration as an adviser regardless of the
number of categories of registration to which the application
relates is:
(i)
$750.00; and
(ii)
$100.00 for each additional branch office of the applicant in
Saskatchewan at the date of application;
Adviser - partner,
officer or employee
(h)
on application for registration as a partner, officer or employee of
a registered adviser is $250.00;
Salesperson,
Partner and Officer Course
(i)
on application to attend the Salesperson, Partner and Officer Course
offered by the Commission to a person who is a salesperson, partner
or officer of a Saskatchewan small business security issuer is $25;
Mineral lease brokers
(j)
on application for registration as a mineral lease broker is
$400.00;
(k)
on application for registration as a salesperson, partner or officer
of a mineral lease broker is $250.00;
Transfers
(l)
on application for transfer as any of the following is $100.00:
(i)
a salesperson, partner or officer of a registered dealer;
(ii)
a salesperson, partner or officer of a mineral lease broker;
(iii) a partner, officer or employee of a registered adviser;
Amendments to registration
(m)
on application for amendment to registration of a dealer, adviser or
mineral lease broker is $100.00;
(n)
Repealed.
14 Dec
2001 SR 91/2001 s33.
(o)
Repealed.
14 Dec
2001 SR 91/2001 s33.
Annual Fees
(2.1) The annual registration fee payable by registered firms and
registered individuals pursuant to Local Instrument 33-503 Permanent
Registration System is the amount that the registered firm and the
registered individual are required to pay on application for
registration pursuant to subsection (2).
(2.2) The fee on filing of a report filed by a financial institution
pursuant to Local Instrument 32-501 Deposit Agents is $75.
Prospectuses
(3)
The fee on filing of:
(a)
a preliminary prospectus or pro forma prospectus, as the case may
be, is $1,000.00 per issuer;
(a.1) a preliminary base shelf prospectus filed pursuant to
National Instrument 44-102 Shelf Distributions or National
Instrument 71-101 The Multijurisdictional Disclosure System is
$1,000.00;
(a.2) a shelf prospectus supplement filed pursuant to National
Instrument 44-102 Shelf Distributions or National Instrument 71-101
The Multijurisdictional Disclosure System is $1,000.00;
(b)
Repealed.
9 Dec
2005 SR 129/2005 s2.
Offering memoranda pursuant to section 2.9 of NI 45-106
(c)
an offering memorandum prepared pursuant to section 2.9 of National
Instrument 45-106 Prospectus and Registration Exemptions is $500.00
per issuer;
Annual information forms
(d)
an annual information form for an issuer:
(i)
is $600 per issuer where the issuer intends to qualify future sales
of its securities pursuant to National Instrument 44-101 Short Form
Prospectus Distributions; and
(ii) is $100 per issuer where the issuer:
(A)
does not intend to qualify future sales of its securities pursuant
to National Instrument 44-101 Short Form Prospectus Distributions or
National Instrument 81-101 Mutual Fund Prospectus Disclosure; and
(B)
files an annual information form pursuant to:
(I)
National Instrument 51-102 Continuous Disclosure Obligations;
(II)
National Instrument 71-101 The Multijurisdictional Disclosure
System;
(III) National Instrument 71-102 Continuous Disclosure and Other
Exemptions Relating to Foreign Issuers;
(IV)
National Instrument 81-106 Investment Fund Continuous Disclosure;
(V)
a decision of the Commission; or
(VI)
an undertaking to the Commission;
(e)
Repealed.
9 Dec 2005 SR 129/2005 s2.
Amendments to
prospectuses and AIFs
(f)
an amendment to a preliminary prospectus, pro forma prospectus,
prospectus or annual information form filed by an issuer that is a
mutual fund is $100.00 per issuer;
Additional classes of
securities
(g)
a preliminary prospectus, pro forma prospectus or a shelf prospectus
supplement where those documents offer more than one type, class,
series of a class or unit of security of an issuer is $250.00 per
each additional type, class, series of a class, or unit of security
so offered over and above the fees set out in clauses (a) to (f);
Natural resource
company property reports
(h)
a report filed by a natural resource company with respect to its
property and the development of it is $100.00 per report;
Technical reports
(i)
a technical report filed with a preliminary prospectus, pro forma
prospectus or prospectus is $100.00 per report;
(j)
Repealed.
9 Dec
2005 SR 129/2005 s2.
(4)
The fee on filing of:
(a)
Repealed.
9 Dec
2005 SR 129/2005 s2.
Notice pursuant
to ss 2.42(2) of NI 45-106
(b)
a notice pursuant to subsection 2.42(2) of National Instrument
45-106 Prospectus and Registration Exemptions is $350;
(c)
Repealed.
9 Dec
2005 SR 129/2005 s2.
Notice
pursuant to section 2.1 of NI 45-106
(d)
a notice pursuant to section 2.1 of National Instrument 45-106
Prospectus and Registration Exemptions is $350;
Report of trade pursuant to section 6.1 of NI 45-106
(e)
a report of a trade pursuant to section 6.1 of National Instrument
45-106 Prospectus and Registration Exemptions:
(i)
is the greater of $100 or $50 per Saskatchewan purchaser with
respect to a trade pursuant to subsection 2.10(2) of National
Instrument 45-106 Prospectus and Registration Exemptions; and
(ii) is $100 with respect to a trade pursuant to any other
provision of National Instrument 45-106 Prospectus and Registration
Exemptions;
Certificate of non-default
(f)
an application pursuant to section 81 of the Act is $100 per issuer;
Application for
exemption - section 83
(g)
an application for a ruling pursuant to section 83 of the Act is
$400;
(h)
Repealed.
9 Dec
2005 SR 129/2005 s2.
Annual financial statements
(i)
an annual financial statement filed pursuant to any of the following
is $100 per issuer:
(i)
National Instrument 51-102 Continuous Disclosure Obligations;
(ii) National Instrument 71-101 The Multijurisdictional Disclosure
System;
(iii) National Instrument 71-102 Continuous Disclosure and Other
Exemptions Relating to Foreign Issuers;
(iv) National Instrument 81-106 Investment Fund Continuous
Disclosure;
(v)
a decision of the Commission;
(vi) an undertaking to the Commission;
Filing under GRO 51-902
(j)
Form A pursuant to General Ruling/Order 51-902 Exemption from
Certain Financial Reporting Requirements made by the Commission is
$100 per issuer;
Application
to cease to be a reporting issuer
(k)
an application pursuant to section 92 of the Act is $100 per issuer;
Take-over and issuer bids
(l)
a take-over bid circular or issuer bid circular pursuant to section
109 of the Act is $550;
Notice of request for
hearing
(m)
a notice of request for hearing and review pursuant to subsection
10(2) of the Act is $100;
Application for exemption from take-over bid requirements
(n)
an application pursuant to section 113 of the Act is $400;
All other applications for requests to Commission where no fee
stated
(o)
an application or request to the Commission or the Director that is
not otherwise provided for in these regulations is $250;
Application for amendment to decision of Commission
(p)
an application for an amendment to a decision of the Commission or
the Director is $100;
(q)
Repealed.
9 Dec
2005 SR 129/2005 s2.
(5)
The fee:
Examination under section 20
(a)
for an examination by a person appointed under section 20 of the Act
is the amount equal to the amount paid by the Commission for the
examination but not exceeding $750.00 per day per person;
Transcripts
(b)
for transcripts is:
(i)
$3.50 per page; or
(ii)
where that transcript is requested on a basis that the Commission
considers expedited, is $4.00 per page;
Copies of documents
(c)
for copies of documents in the public records of the Commission is
$0.50 per page;
Certification of documents
(d)
for certification of any documents or extracts of any documents in
addition to the cost of the copy is $10.00 per certification;
(e)
Repealed.
9 Dec
2005 SR 129/2005 s2.
No fee
required
(6)
No fee is required with respect to:
(a)
Repealed.
25 Sep 92 SR 87/92 s2;
(b)
a request for consent to the release of securities from, or the
transfer of securities within, escrow;
(c)
unless otherwise specified in these regulations, an application for
amendment to registration as:
(i)
a salesperson, partner or officer of a registered dealer;
(ii)
a partner, officer or employee of a registered adviser; or
(iii) a salesperson, partner or officer of a mineral lease broker;
(d)
any matter that does not require the formal consent or approval of
the Commission or the Director.
Hearings
(7)
The costs of or related to a hearing that the Commission may order
pursuant to subsection 161(1) of the Act are:
(a)
administrative costs in the amount of $1,000 for each day or partial
day of hearing;
(b)
costs for time spent by the staff of the Commission on matters
preliminary to the hearing in the amount of $50 per hour for each
person involved;
(c)
disbursements properly incurred by the Commission staff, including
travel costs;
(d)
the amount paid by the Commission to a person appointed pursuant to
section 8, 12 or 14 of the Act, to a maximum of $1,000 for each day
of the investigation, plus all charges for the costs of the
investigation;
(e)
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;
(f)
travel costs paid to a witness;
(g)
travel costs and disbursements properly incurred by an expert;
(h)
costs for legal services, in the amount of the actual fees paid, to
a maximum of $200 per hour for each person involved; and
(i)
disbursements properly incurred by a person providing legal
services.
Investigations
(8)
The costs of an investigation that the Commission may order pursuant
to subsection 161(3) of the Act are:
(a)
$500 for each day or partial day of an investigation conducted by
Commission staff, plus all disbursements properly incurred by the
Commission staff in connection with the investigation, including
travel costs; and
(b)
the amount paid by the Commission to a person appointed pursuant to
section 8, 12 or 14 of the Act, to a maximum of $1,000 for each day
of the investigation, plus all charges for the costs of the
investigation.
10 Nov 88 cS-42.2 Reg
1; 25 Sep 92 SR 87/92 s2;
17 May 96 SR 21/96 s39;
10 Oct 97 SR 94/97 s2;
14 Dec 2001 SR 91/2001
s34; 9 Dec 2005 SR 129/
2005 s2; 30 Dec 2005 SR
146/2005 s27*(28).
TOP
TOP OF PAGE
|
