THE COMMODITY FUTURES ACT
(C.C.S.M. c. C152)
Commodity Futures Fees Regulation
Regulation 179/99
Registered December 23, 1999
Please note all items in bold are amendments to the Fee Schedule effective March 21, 2003 - Securities Regulation Amendment 67/2003
Definitions
1. In this regulation.
"Act" means The Commodity Futures Act ("Loi")
"rule" means a rule made by the commission under section 71 of the Act ("regle")
Dealer registration or renewal
2 Subject to subsection 7(2), the fee that shall be paid to the commission by an
applicant for registration or renewal of registration as a dealer is the aggregate of
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$1000.; |
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$250.; |
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$300.; |
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$300.; |
Partners and officers of dealers 3 Except when the application for registration is made in connection with an application by a dealer under section 2 and the fee is paid under clause 2(c), the fee that shall be paid to the commission by an applicant for registration as a partner or officer of a dealer is |
$300.; |
Floor traders and salespersons 4 Except when the application for registration is made in connection with an application by a dealer under section 2 and the fee is paid under clause 2(d), the fee that shall be paid to the commission by an application for registration as a branch manager, floor trader or salesperson is |
$300.; |
Locals 4.1 The fee that shall be paid to the commission by an applicant for registration or renewal of registration as a local is |
$300.; |
Adviser registration or renewal 5 Subject to subsection 7(2), the fee payable by an applicant for registration or renewal of registration as an adviser is the aggregate of |
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$1,000.; |
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$250.; |
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$400. |
Partners and officers of advisers 6 Except when the application for registration is made in connection with an application by an adviser under section 5 and the fee is paid under clause 5(c), the fee that shall be paid to the commission by an applicant for registration as a partner or officer of an adviser is |
$400. |
Calculation of additional fees 7(1) An applicant for registration under section 2 or 5 shall pay the additional fees required under clauses 2(b), (c) and (d) or clauses 5(b) and (c), based on the number of the applicants branch or sub-branch offices, floor traders, salespersons, partners or officers, as the case may be, at the time the application is filed. |
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7(2) A registrant who applies for renewal of a registration under section 2 or 5 shall pay the additional fees required under clauses 2(b), (c) and (d) or clauses 5(b) and (c), based on the number of the registrant's branch or sub-branch offices, floor traders, salespersons, partners or officers, as the case may be, shown in the commission's registration records at the time the renewal application is filed. | |
7(3) If the information contained in the commission's registration records on which an additional fee payment is based is inconsistent with the information contained in the registrant's records, the registrant shall notify the commission of the inconsistency at the time of payment of the additional fee and, if the records of the commission are accordingly adjusted, the commission shall, as applicable, make a credit toward or a debit against the fee payable by the registrant with respect to the registrant's next application for registration or for renewal of registration. | |
Reduced fees for Securities Act registrants 8(1) Despite sections 2 to 4, a fee prescribed |
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8(2) Despite sections 5 and 6, a fee prescribed by clause 5(c) or section 6 shall be reduced by 50% when the partner or officer of the adviser is concurrently registered as such under The Securities Act. | |
Amendment of terms and conditions of registration 9 The fee shall be paid to the commission by an applicant for an amendment of the terms and conditions of a registration is |
$500. |
Changes 10(1) The fee payable by a registrant for a notice of change |
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$100. |
10(2) Upon the amalgamation or merger of two or more registrants, the successor registrant shall pay a fee of $100. to the commission in respect of | |
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Miscellaneous applications 11(1) Subject to subsection (2) and except where another fee is provided for in this regulation, the fee payable to the commission in respect of an application or request for a waiver or exercise of discretion by or for the written consent or approval of the commission or direction is |
$650. |
11(2) No fee is payable under subsection (1) in respect of | |
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Certifications 12(1) The fee payable to the commission for certification of a decision, document, record or thing referred to in clause 4(1)(c) of the Act is the aggregate of |
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$50.; |
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12(2) The fee payable to the commission for certificate of a statement referred to in section 65 of the Act is the aggregate of | |
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$50. |
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Photocopies 13 The fee payable for photocopies made by the commission is |
$0.50 |