Regulatory Alerts2020-01-01
Securities (Forms and Fees) (Amendment) Regulations 2020
The Minister of Finance, Trade, Investment and Economic Planning amended the 2008 Securities (Forms and Fees) Regulations by replacing Schedule 2 with a comprehensive US dollar fee schedule applicable to securities dealers, investment advisors, exchanges, clearing agencies, and representatives. The revised schedule establishes fixed application, annual licence, search, registration, and examination fees while mandating non-refundable application charges to cover Authority due diligence costs. These regulations come into operation on 1 February 2020 and standardize financial obligations for licence replacements, public register searches, and corporate issuer registrations.
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