Regulatory Alerts2008-07-14
Added · Updated
Securities (Forms and Fees) Regulations 2008
The Minister of Finance, acting on the recommendation of the Securities Authority, issued these regulations to prescribe the specific forms and fees required under the Securities Act 2007. The document establishes standardized application procedures for various securities licences, including dealer, investment advisor, exchange, clearing agency, and facility licences, while mandating strict disclosure and compliance conditions for licensees. It further defines the fee structure for applications, renewals, and other regulatory filings, and grants the Authority discretionary power to waive or refund fees in exceptional circumstances.
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