Regulation 13-102 respecting System Fees

REGULATION IN FORCE FROM JUNE 14, 2023 TO NOVEMBER 27, 2025 In force on June 14, 2023 This document has official status
chapter V-1.1, r. 2.2
REGULATION 13-102 RESPECTING SYSTEM FEES Securities Act (chapter V-1.1, s. 331, 1st par., subpar. (9) and (12)) Definitions

1. (1) In this Regulation,
   “annual information form” means
   (a) an “AIF” as defined by Regulation 51-102 respecting Continuous Disclosure Obligations (chapter V-1.1, r. 24), or (b) an annual information form referred to in Part 9 of Regulation 81-106 respecting Investment Fund Continuous Disclosure (chapter V-1.1, r. 42); “principal regulator” means the principal regulator determined under section 5 of Regulation 13-103 respecting the System for Electronic Data Analysis and Retrieval + (SEDAR +) (chapter V-1.1, r. 2.3); “shelf prospectus” means a prospectus filed under Regulation 44-102 respecting Shelf Distributions (chapter V-1.1, r. 17); “system fee” means a fee set out in Appendix A or B. (2) In this Regulation, a term referred to in Column 1 of the following table has the meaning ascribed to it in the Regulation referred to in Column 2 opposite that term:
   Column 1
   Defined Term
   Column 2
   Regulation
   CPC instrument Regulation 45-106 respecting Prospectus Exemptions (chapter V-1.1, r. 21) document Regulation 13-103 respecting the System for Electronic Data Analysis and Retrieval + (SEDAR +) long form prospectus Regulation 41-101 respecting General Prospectus Requirements (chapter V-1.1, r. 14)

REGULATION IN FORCE FROM JUNE 14, 2023 TO NOVEMBER 27, 2025 preliminary MJDS prospectus National Instrument 71-101, The Multijurisdictional Disclosure System (chapter V-1.1, r. 36) rights offering circular Section 2.1 of Regulation 45-106 respecting Prospectus Exemptions SEDAR + Regulation 13-103 respecting the System for Electronic Data Analysis and Retrieval + (SEDAR +) short form prospectus Regulation 41-101 respecting General Prospectus Requirements sponsoring firm Regulation 33-109 respecting Registration Information (chapter V-1.1, r. 12) O.C.871-2023, s. 1. Inconsistency with other regulations
2. If there is any conflict or inconsistency between this Regulation and
Regulation 13-103 respecting the System for Electronic Data Analysis and Retrieval + (SEDAR +) (chapter V-1.1, r. 2.3), this Regulation prevails. O.C.871-2023, s. 2. System fees for transmission
3. (1) A person described in Column A of Appendix A must pay the
corresponding system fee specified in Column C of the Appendix to the person’s principal regulator, if the person transmits a filing of a type described in Column B of the Appendix. (2) Subsection (1) does not apply unless the securities regulatory authority in the local jurisdiction is the person’s principal regulator O.C.871-2023, s. 3. Annual registrant system fee
4. On December 31 of each year, a sponsoring firm must, for each individual
registrant of the sponsoring firm, pay the system fee specified in Column C of
Appendix B to the securities regulatory authority if the securities regulatory authority
in the local jurisdiction is the individual registrant’s principal regulator on that date. O.C.871-2023, s. 4.

REGULATION IN FORCE FROM JUNE 14, 2023 TO NOVEMBER 27, 2025 Means of payment
5. A person required to pay a system fee must pay the fee through SEDAR +.
O.C.871-2023, s. 5.
Exemption
6. (1) The regulator, except in Québec, or the securities regulatory authority
may grant an exemption from this Regulation, in whole or in part, subject to such conditions or restrictions as may be imposed in the exemption. (2) Despite subsection (1), in Ontario, only the regulator may grant such an exemption. (3) Except in Alberta and Ontario, an exemption referred to in subsection (1) is granted under the statute referred to in Appendix B of Regulation 14-101 respecting Definitions (chapter V-1.1, r. 3), opposite the name of the local jurisdiction. O.C.871-2023, s. 6. Transition
7. (1) Despite section 5, a person required to pay a system fee under Item 1
of Appendix A or under Appendix B must pay the fee through NRD, as defined in Regulation 31-102 respecting National Registration Database (chapter V-1.1, r. 9), until Regulation 13-103 respecting the System for Electronic Data Analysis and Retrieval + (SEDAR +) (chapter V-1.1, r. 2.3), requires that the person transmit, through SEDAR +, a filing of a type described in Item 1 of Appendix A or in
Appendix B.
(2) Despite section 3, a person is not required to pay a system fee under Item 2 of Appendix A until Regulation 13-103 respecting the System for Electronic Data Analysis and Retrieval + (SEDAR +) requires that the person transmit, through SEDAR +, a filing of a type described in Item 2 of Appendix A. O.C.871-2023, s. 7. Repeal
8. Regulation 13-102 respecting System Fees for SEDAR and NRD
(chapter V-1.1, r. 2.1) is repealed.
O.C.871-2023, s. 8.

REGULATION IN FORCE FROM JUNE 14, 2023 TO NOVEMBER 27, 2025 Effective date
9. (Omitted).
O.C.871-2023, s. 9.

REGULATION IN FORCE FROM JUNE 14, 2023 TO NOVEMBER 27, 2025
APPENDIX A
SYSTEM FEES
In this Appendix,
“application” means a request transmitted through SEDAR + for a decision of the regulator or securities regulatory authority but, for greater certainty, does not include a pre-filing; “pre-filing” means a request to consult with the principal regulator regarding the application of securities legislation or securities directions generally or the application of securities legislation or a direction to a particular transaction or matter or proposed transaction or matter. Item Column A Person required to file Column B Filing Type Column C System Fee 1 Sponsoring firm – in respect of an individual registrant Application for registration or reactivation of registration $86 2 International dealer or international adviser Annual notice of reliance on exemption from dealer registration requirement or adviser registration requirement $350 3 Investment fund that is a reporting issuer Annual financial statements $525 4 Investment fund Preliminary, pro forma, or combined preliminary and pro forma long form prospectus $2200, regardless of whether the applicable long form prospectus relates to the distribution of the securities of one or more than one investment fund Preliminary, pro forma, or combined preliminary and pro forma simplified prospectus $2200, regardless of whether the applicable simplified prospectus relates to the distribution of the securities of one or more than one investment fund 5 Reporting issuer other than an investment fund Annual financial statements $765

REGULATION IN FORCE FROM JUNE 14, 2023 TO NOVEMBER 27, 2025 Item Column A Person required to file Column B Filing Type Column C System Fee 6 Reporting issuer, other than an investment fund, that is not a short form prospectus issuer Annual information form $430 7 Investment fund that is not a short form prospectus issuer Annual information form $430 8 Reporting issuer that is a short form prospectus issuer Annual information form $2530 9 Issuer other than an investment fund Preliminary long form prospectus Preliminary prospectus governed by a CPC instrument $950 Preliminary short form prospectus, preliminary shelf prospectus or preliminary MJDS prospectus $1500 10 All filers Issuer bid circular filed under
Part 2 of Regulation 62-104
respecting Take-Over Bids and
Issuer Bids (chapter V-1.1, r. 35) or take-over bid circular filed under Part 2 of Regulation 62-104 respecting Take-Over Bids and Issuer Bids $350 11 Issuer, other than an investment fund Rights offering circular $1500 12 All filers Report of exempt distribution $40 13 All filers Pre-filing that is transmitted through SEDAR + $350 14 All filers Application that is required to be transmitted through SEDAR + under Regulation 13-103 respecting the System for $0

REGULATION IN FORCE FROM JUNE 14, 2023 TO NOVEMBER 27, 2025 Item Column A Person required to file Column B Filing Type Column C System Fee Electronic Data Analysis and Retrieval + (SEDAR +), approved by ministerial order no. 2023-10 dated 18 May 2023, (a) if a pre-filing referred to in Item 13 was previously transmitted in respect of the application, and (b) in any other case. $350 O.C.871-2023, App. A.

REGULATION IN FORCE FROM JUNE 14, 2023 TO NOVEMBER 27, 2025
APPENDIX B
SYSTEM FEES
Column A
Person required to file
Column B
Filing Type
Column C
System Fee
Sponsoring firm – in respect of each individual registrant sponsored by the firm Annual registration renewal $86 O.C.871-2023, App. B. Decision 2023-PDG-0009, 2023-03-09 Bulletin de l’Autorité: 2023-06-01, Vol. 20, n° 21 O.C. 871-2023, 2023 G.O. 2, 995