1.(1)
In subsection (2) "unit offering" means
two or more classes of securities offered for sale
as a unit. |
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1.(2) The
fee that shall be paid to the commission
(a) for registration or renewal of registration
by a person or company as a broker, broker-dealer sub-broker dealer,
investment counsel, investment dealer, securities advisor, security
issuer or underwriter is:
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$750
|
(d) for
registration or renewal of registration of a branch manager
or by an individual when he or she will carry on advising
or trading activities is: |
$300
|
| (d.1) for
registration or renewal of registration by an individual,
other than a salesperson, when he or she will not carry
on advising or trading activities is: |
$50
|
(d.2)
for registration or renewal of registration by a salesperson
when he or she will not carry on advising or trading
activities is: |
$50
|
(f) for
registration or renewal of registration of a branch or
sub-branch, other than a registrant's main Manitoba office,
is: |
$200
|
(f.1) to
close or change the location of a branch or sub-branch
is: |
$50
|
(g) upon
the filing of a prospectus or of a new prospectus as
required by section 56 of the Act with respect to the
securities of a mining company, |
|
(i) where the
prospectus involves one property and one class of securities
or one property and one unit offering, is:
|
$1,000
|
(ii) where
the prospectus involves more than one class of securities
or more than one unit offering, for each additional
class of securities or unit offering, is:
and
|
$325
|
(iii) where
the prospectus involves more than one property, is
an additional:
|
$75
|
for each property but not exceeding for such additional
properties a total of:
|
$300
|
(h) upon
the filing of a prospectus or of a new prospectus as
required by section 56 of the Act with respect to the
securities of an industrial, investment, or mutual fund
company, |
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(i) where the prospectus involves one class of securities or one unit offering is:
and
|
$1,000
|
(ii) where the prospectus involves more than one class of securities or more than one unit offering, for each additional class of securities or unit offering, is:
|
$325 |
(l) upon
the filing of an amended prospectus under section 55
of the Act, |
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(i) not involving the acquisition
of any interest in property or not involving new
or amended financial statements, is:
and
|
$100
|
(ii) involving the acquisition
of any interest in property or upon the filing of
new or amended financial statements, is:
|
$175
|
but the maximum fee
embracing one or more amendments to a prospectus filed
at any one time is: |
$175
|
(m) upon
the filing of a statement of material facts under section
58(3)(b) of the Act, is: |
$1,000
|
(n) upon
the filing of a prospecting syndicate agreement under
section 36 of the Act, is: |
$200
|
(q) for an application to transfer a salesperson's registration from one sponsoring registration to another when the salesperson will carry on advising or trading activities is: |
$75 |
(q.1) for
each amendment of the registration of a broker, broker-dealer,
sub-broker-dealer, investment counsel, investment dealer,
securities advisor, security issuer or underwriter is: |
$100
|
| (q.2) for
an application to transfer a salesperson's registration
from one sponsoring registrant to another when the salesperson
will not carry on advising or trading activities is: |
$125
|
(q.3) for
an application to transfer a branch manager's registration
from one sponsoring registrant to another is: |
$300
|
(q.4) for
an application to transfer an individual's registration
from one sponsoring registrant to another when the individual
will not carry on advising or trading activities is: |
$50
|
(q.5) for
an application to transfer an individual's registration
from one sponsoring registrant to another when the individual
will carry on advising or trading activities is: |
$300
|
(q.6) for
the termination of an individual's unexpired registration
is: |
$50
|
(r) where
the commission so directs, upon any hearing, audit or
investigation made by the commission, its representative
or any person appointed by it, the fees shall be based
upon the time spent upon such hearing, audit or investigation
calculated as follows: |
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(i) $600 for the commission itself
(irrespective of the number of members sitting) for
each half day or part thereof,
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$600.
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(ii) $400 per day for any counsel,
auditor or other person on the commission staff,
and
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$400.
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(iii) for
any counsel, auditor or other person not on the commission's
staff engaged by contract, the contract rates at
which they are engaged,
plus any travelling
expenses, witness fees, conduct money paid to witnesses
examined, and any other expense incurred by the
commission or any persons appointed or retained by
it; |
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(s) by
a person (other than an individual) or company upon application
for recognition as an exempt purchaser under clause 19(1)(c)
of the Act, is: |
$200
|
(t) upon
the filing of the notice by a company of its intention
to offer additional securities under clause 19(1)(i)
of the Act, is: |
$250
|
(u) for
exemption pursuant to section 20 of the Act from filing
a preliminary prospectus, if no other exemption from
section 37 is required, is: |
$100
|
| (v) for
any other exemption pursuant to section 20 of the Act
is the amount of the fees that would be payable if no
exemption were granted, provided that, the commission
may, having regard both to the probable volume of the
trading permitted by the exemption and to the time required
to process and consider the application, reduce the fee
in any particular case, to an amount not less than: |
$350
|
(w) upon
an application for a ruling under section 59 of the Act
is the amount of fees that would be payable on any filings
or registrations that would be required in order to effect
the trade concerned if no ruling were made, provided
that the Commission may, having regard both to the probable
value of the trading permitted by the ruling and to the
time required to process and consider the application,
reduce the fee in any particular case, to an amount not
less than: |
$275
|
(x) upon
the filing of a notice of intention in accordance with
Form 23: |
$650
|
(x.1)
for filing an offering memorandum under Part 4 (Offering
Memorandum
Exemption) of MSC Rule 2005-16 (Capital Raising
Exemptions)
is |
$650
|
(y) for
copies of documents on file in the public files of the
commission for each foolscap page, is: |
50¢
|
| (z) for
any other filing not set out in this section other than
a document referred to in: |
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(i) Part IX, X, XI,
or XII of the Act; or
|
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(ii) any provision of
the Regulations relating to Parts IX, X, XI, or XII of
the Act, is:
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$25
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(aa) for
a search of a file, is: |
$2
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(bb) upon
an application for an order under section 95 of the Act,
is: $550. provided that the Commission may, having regard
both to the probable value of the trading permitted by
the exemption and to the time required to process and
consider the application, reduce the fee in any particular
case, but to an amount not less than: |
$275
|
(cc) upon
the filing of a take-over bid circular or issuer bid
circular: |
$500
|
(dd) upon
filing financial statements under section 120 of the
Act: |
$100
|
(ee) for late filing
of an insider report in Form 55-102F2 is $50 per calendar
day per insider per issuer, to a maximum of $1,000 in
any period from April 1 to March 31, but this fee does
not apply in relation to an insider if there is an obligation
to pay a late filing fee for a Form 55-102F2 in respect
of that insider in a jurisdiction other than Manitoba
during the same period; |
$50 |
(ff) for filing an annual
information form in Form 51-102F2 under MSC Rule 2003-17
(National Instrument 51-102 Continuous Disclosure Obligations)
is: |
$1,000 |
(gg) for filing an annual
information form in Form 81-102F2 under MSC Rule 2005-4
(National Instrument 81-106 Investment Fund Continuous
Disclosure) is: |
$1,000 |
