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Fees |
As of December 1, 2005
Please make cheques payable to the Minister of Finance.
Corporate Finance
Exemptions
General
The Securities
Regulations
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;
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;
(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Repealed.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 of 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).
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 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.
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 Distribution 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.
Amendments to
prospectuses and AIFs
(f) an
amendment to a preliminary prospectus, pro forma prospectus,
prospectus, or annual information form filed by an issuer 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)
above;
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.
(4) The fee
on filing of:
(a)
Repealed.
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.
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 great
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;
(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.
Annual financial statements
(i) an annual
financial statement filed by a finance company, or 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 Multijurisidictional 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.
(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.
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 of 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.
Deposit
agents
2(1)
In this section:
(a)
“deposit agent” means a person who or company that accepts,
receives or solicits funds from a person or company for
transmission to a financial institution for investment in a
guaranteed investment certificate where the financial institution
pays a commission or other benefits to that person or company;
(b)
“financial institution” means:
(i) a bank to
which the Bank Act (Canada) applies;
(ii) a credit
union to which The Credit Union Act, 1985 applies;
(iii) an
insurer licensed pursuant to The Saskatchewan Insurance Act;
and
(iv) a trust
corporation or loan corporation licensed pursuant to The Trust
and Loan Corporations Act;
(c)
“sub-agent” includes a person who or company that does not
transmit funds directly to a financial institution but does
transmit funds to another deposit agent for transmission to the
financial institution.
(2) The fee
payable by the deposit agent on filing an annual report is $50.
(3) The fee
payable by a deposit agent on filing a consolidated list of its
sub-agents is $25 for each sub-agent.
(4) The fee
payable by a financial institution on filing an annual
consolidated list of its deposit agents is $75.
31 Mar 94 SR
27/94 s2.
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