The Manitoba Securities Commission

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")

2. Dealer registration or renewal:

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

(a) a basic fee of

$1,000

(b) for each branch office and sub-branch office of the applicant in Manitoba, an additional fee of

$250

(c) for each individual who is a partner or officer of the applicant, other than a partner or officer who is not resident in Manitoba and is not registered to trade in Manitoba, an additional fee of and

$300

(d) for each individual who is a branch manager, floor trader or salesperson of the applicant, other than a floor trader or salesperson who is not resident in Manitoba and is not registered to trade in Manitoba, an additional fee of

$300

3. Partners and officers of dealers:

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

4. Floor traders and salespersons:

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

4.1 Locals The fee that shall be paid to the commission by an applicant for registration or renewal of registration as a local is

$300

5. Adviser registration or renewal:

Subject to subsection 7(2), the fee payable by an applicant for registration or renewal of registration as an adviser is the aggregate of

(a) a basic fee of

$1,000

(b) for each branch office and each sub-branch office of the applicant in Manitoba, an additional fee of
and

$250

(c) for each individual who is a partner or officer of the applicant, other than a partner or officer who is not resident in Manitoba and is not registered to advise in Manitoba, an additional fee of

$400

6. Partners and officers of advisers:

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

7. Calculation of additional fees:

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 applicant’s branch or sub-branch offices, floor traders, salespersons, partners or officers, as the case may be, at the time the application is filed.

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.

8. Reduced fees for Securities Act registrants:

8.1 Despite sections 2 to 4, a fee prescribed

(a) in clause 2(c) or section 3 shall be reduced by 50% when the branch manager, partner or officer of the dealer is concurrently registered as such under The Securities Act; and

(b) in clause 2(d) or section 4 shall be reduced by 50% when the branch manager, floor trader or salesperson is concurrently registered as such under The Securities Act;

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.

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 The fee payable by a registrant for a notice of change

(a) under subsection 32(1) or (2) of the Act; or
(b) under the rules;
for each change referred to in the notice, is

$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

(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.

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

(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

(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.

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

(a) a basic fee of

$50

and
(b) $0.50 per page for photocopies required for the certificate.

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

(a) a basic fee of

$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.

13. Photocopies:

The fee payable for photocopies made by the commission is

$0.50
per page

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")
2. Dealer registration or renewal: 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
(a) a basic fee of	$1,000
(b) for each branch office and sub-branch office of the applicant in Manitoba, an additional fee of	$250
(c) for each individual who is a partner or officer of the applicant, other than a partner or officer who is not resident in Manitoba and is not registered to trade in Manitoba, an additional fee of and	$300
(d) for each individual who is a branch manager, floor trader or salesperson of the applicant, other than a floor trader or salesperson who is not resident in Manitoba and is not registered to trade in Manitoba, an additional fee of	$300
3. Partners and officers of dealers: 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
4. Floor traders and salespersons: 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
4.1 Locals The fee that shall be paid to the commission by an applicant for registration or renewal of registration as a local is	$300
5. Adviser registration or renewal: Subject to subsection 7(2), the fee payable by an applicant for registration or renewal of registration as an adviser is the aggregate of
(a) a basic fee of	$1,000
(b) for each branch office and each sub-branch office of the applicant in Manitoba, an additional fee of and	$250
(c) for each individual who is a partner or officer of the applicant, other than a partner or officer who is not resident in Manitoba and is not registered to advise in Manitoba, an additional fee of	$400
6. Partners and officers of advisers: 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
7. Calculation of additional fees: 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 applicant’s branch or sub-branch offices, floor traders, salespersons, partners or officers, as the case may be, at the time the application is filed.
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.
8. Reduced fees for Securities Act registrants: 8.1 Despite sections 2 to 4, a fee prescribed
(a) in clause 2(c) or section 3 shall be reduced by 50% when the branch manager, partner or officer of the dealer is concurrently registered as such under The Securities Act; and
(b) in clause 2(d) or section 4 shall be reduced by 50% when the branch manager, floor trader or salesperson is concurrently registered as such under The Securities Act;
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.
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 The fee payable by a registrant for a notice of change
(a) under subsection 32(1) or (2) of the Act; or (b) under the rules; for each change referred to in the notice, is	$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
(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.
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
(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
(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.
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
(a) a basic fee of	$50
and (b) $0.50 per page for photocopies required for the certificate.
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
(a) a basic fee of	$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.
13. Photocopies: The fee payable for photocopies made by the commission is	$0.50 per page