1. Definitions:
In this regulation:
"Act" means The Commodity Futures Act ("Act")
"rule" means a rule made by the commission under section 71 of the Act ("Rule") |
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2. Fees for dealer, adviser and related registrations
The fee that must be paid to the commission |
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(a) for
(i) registration or renewal of registration as a dealer or adviser is the annual fee of $1000, and
(ii) the reinstatement of a registration referred to in subclause (i) is $1,000;
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$1,000 |
(b) for
(i) an individual's registration in one or more of the following registration categories:
(A) branch manager,
(B) floor trader,
(C) salesperson,
(D) futures contract portfolio manager,
(E) associate futures contract portfolio manager,
(F) partner or officer of a registered adviser acting on behalf of the registered adviser,
is the annual fee of
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$300 |
(ii) the termination of a registration referred to in subclause (i) is
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$50 |
(iii) the reinstatement of a registration referred to in subclause (i) three months or more after the date of the individual's termination from his or her former sponsoring firm is $75;
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$75 |
(c) for
(i) each branch office or sub-branch office of the applicant in Manitoba is the annual fee of $200,
(ii) a new branch office or sub-branch office is $200.
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$200 |
3. Repealed |
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4. Repealed |
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5. Repealed |
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6. Repealed |
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7. Repealed |
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8. Repealed
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9. Amendment of terms and conditions of registration:
The fee shall be paid to the commission by an applicant for an amendment of the terms and conditions of a registration is |
$500 |
10. Changes
10.1 Except
when a fee has been paid under subclause 2(b)(ii)
or (iii), the fee payable by a registrant for a notice of
change. |
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(a) under subsection 32(1) or (2) of the Act; or
(b) under the rules;
for each change referred to in the notice, is
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$100 |
| 10(1.1) Subsection (1) does not apply to a notice of closing of a branch office required by clause 32(1)(d) of the Act. |
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| 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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(a) each change referred to in subsection 32(1) or (2) of the Act that occurs to each predecessor registrant as a result of the amalgamation or merger; and
(b) each change that occurs to each predecessor registrant as a result of the amalgamation or merger in respect of which a notice of change is required to be filed under the rules.
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11. 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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(a) a review by the commission of a constating document, by-law, rule, regulation, policy, direction, instruction, decision, order, ruling, practice or procedure of a commodity futures exchange, clearing house of a commodity futures exchange or self-regulatory body; or
(b) a review by the commission of an agreement by one or more
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(i) commodity futures exchange,
(ii) clearing house of a commodity futures exchange,
(iii) self-regulatory body, or
(iv) member of an exchange, clearing house or self-regulatory body.
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12. 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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(a) a basic fee of
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$50 |
and
(b) $0.50 per page for photocopies required for the certificate. |
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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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(a) a basic fee of
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$50 |
(b) $0.50 per page for photocopies of documents included in the statement that are required to be made by the commission for public inspection.
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13. Photocopies:
The fee payable for photocopies made by the commission is |
$0.50
per page |
