INDIVIDUALS
Fees
For the promulgated fees in effect, please refer to the Securities Industry (Fee) Rules, 2024
| Category of Registration | Application Fee | Registration Fee | Annual Renewal Fee |
| Chief Executive Officer | $575.00 | $800.00 | $800.00 |
| Compliance Officer | $575.00 | $800.00 | $800.00 |
| Registered Representative – Dealing/Trading | $475.00 | $725.00 | $725.00 |
| Registered Representative – Discretionary Management | $475.00 | $725.00 | $725.00 |
| Registered Representative – Advising Only | $475.00 | $725.00 | $725.00 |
Schedule of pro-rated annual fees
Please note that conversion charges will apply for fees remitted via wire transfer (USD).
Applications
- Form 4 (Personal Questionnaire for Directors, Officers and Securities Holders of Persons Registered under Part V of the Act and Registered Firms)
- Form 9 (Application for Registration as CEO, Compliance Officer or Registered Representative of Registered Firm)
| CFD Forms |
| Rule 6(2) and Form CFD4 – Application for Registration as a CEO, Compliance Officer, CFD Supervisory Officer or Registered Representative of Registered CFD Firm |
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