Individuals

Fees

For the promulgated fees in effect, please refer to the Securities Industry (Fee) (Amendment) Rules, 2017

Category of Registration Application Fee Registration Fee Annual Renewal Fee
Chief Executive Officer $350.00 $500.00 $500.00
Compliance Officer $500.00 $500.00 $500.00
Representative – Dealing/Trading $300.00 $450.00 $450.00
Representative – Discretionary Management $300.00 $450.00 $450.00
Representative – Advising Only $300.00 $450.00 $450.00

Schedule of pro-rated annual fees
Please note that conversion charges will apply for fees remitted via wire transfer (USD).

Applications
Ongoing Reporting Obligations and Forms

Ongoing Reporting Obligations for Constituents under the SIA, 2011

REGISTERED INDIVIDUALS
Fees Pay fee to the Commission on or before January 31st each year Regulation 45
Employment of representative to Carry on Securities Business on Behalf of a Registered Firm File immediate written notice with the Commission Regulation 47
Form 11, Schedule 2
Resignation, Termination or Retirement of a registered Individual File immediate written notice with the Commission Regulation 48
Form 12, Schedule 2
Firm - Notice of change in information - application form File immediate written notice with the Commission Form 5, Schedule 2
Notice of change in information – application form File immediate written notice with the Commission Regulation 61
Notice of change in information after registration File immediate written notice with the Commission Regulation 62
Other Information
Alerts and Notices