【法规名称】
【法规编号】 82391 什么是编号？
【正 文】
第4页 CAP 571AF SECURITIES AND FUTURES (FEES) RULES
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[接上页] (c) the payment of- (i) the fee prescribed in item 3, under paragraph (A), of Schedule 3 for Type 7 regulated activity; (ii) the fee prescribed in item 5 of Schedule 3 for Type 7 regulated activity; (iii) the fee prescribed in item 6, under paragraph (A), of Schedule 3 for Type 7 regulated activity; (iv) the fee prescribed in item 12 of Schedule 3 for Type 7 regulated activity; (v) the fee prescribed in item 13(a)(i), under paragraph (A), of Schedule 3 for Type 7 regulated activity; (vi) the fee prescribed in item 13(b)(i), under paragraph (A), of Schedule 3 for Type 7 regulated activity; and (vii) the fee prescribed in item 13(c)(i) of Schedule 3 for Type 7 regulated activity, shall be waived; and(d) the payment of the annual fee prescribed in item 18 of Schedule 3 for Type 7 regulated activity shall be waived.(4) Where the occurrence of an event occasions the need to make an application under section 122(1) or (2), 126(1), 127(1) or 134(1) of the Ordinance as well as an application for which a fee is prescribed in item 9(a) or (b) (as the case may be) of Schedule 1, the payment of the fee prescribed in item 9(a) or (b) (as the case may be) of that Schedule for the latter application shall be waived. (5) In this section- (a) where any fee prescribed in an item in Schedule 3 is described as being so prescribed under paragraph (A), the reference to the fee so described shall be construed as a reference only to the part of the fee that is so prescribed under such paragraph (A) that appears in that item in column 3 of that Schedule; and (b) without prejudice to paragraph (a), where any fee prescribed in an item in Schedule 3 (whether or not it is also described as being so prescribed under paragraph (A)) is described as being so prescribed for Type 7 regulated activity, the reference to the fee so described shall be construed as a reference only to the part of the fee that is so prescribed with reference to that regulated activity (however described). Cap 571AF Sched 1 FEES PRESCRIBED FOR PURPOSES OF SECTION 395(1)(a)(i), (iii) AND (iv) OF ORDINANCE [sections 2, 3 & 11] Item Description Amount Fees relating to Part III of Ordinance 1. Annual fee payable in respect of authorization of the provision of automated trading services under section 95(2) of the Ordinance $10000 Fees relating to Part IV of Ordinance 2. Fee payable on an application under section 104(1) of the Ordinance for- (a) authorization of a collective investment scheme- (i) within which there is, or could be, more than one fund; or (ii) which maintains, or is capable of maintaining, more than one fund $40000, plus $5000 for each such fund (excluding any such fund which is already within or maintained by another collective investment scheme which has been authorized under section 104 of the Ordinance) (b) authorization of any other collective investment scheme $20000 (c) extension of authorization of a collective investment scheme to cover an additional fund $5000 (excluding any such fund which is already within or maintained by another collective investment scheme which has been authorized under section 104 of the Ordinance) 3. Fee payable in respect of- (a) authorization of a collective investment scheme under section 104 of the Ordinance- (i) within which there is, or could be, more than one fund; or (ii) which maintains, or is capable of maintaining, more than one fund $20000, plus $2500 for each such fund (excluding any such fund which is already within or maintained by another collective investment scheme which has been authorized under section 104 of the Ordinance) (b) authorization of any other collective investment scheme under section 104 of the Ordinance $10000 (c) extension of authorization of a collective investment scheme under section 104 of the Ordinance to cover an additional fund $2500 (excluding any such fund which is already within or maintained by another collective investment scheme which has been authorized under section 104 of the Ordinance) 4. Annual fee payable in respect of authorization of a collective investment scheme under section 104 of the Ordinance which is not limited to a period of less than 12 months- (a) in the case of a collective investment scheme- (i) within which there is, or could be, more than one fund; or (ii) which maintains, or is capable of maintaining, more than one fund $7500, plus $4500 for each such fund (excluding any such fund which is already within or maintained by another collective investment scheme which has been authorized under section 104 of the Ordinance) (b) in the case of any other collective investment scheme $6000 5. Fee payable on an application for extension of the period of authorization of any collective investment scheme under section 104 of the Ordinance which authorization is limited to a period of less than 12 months $20000 6. Fee payable on an application under section 105(1) of the Ordinance for authorization of the issue of an advertisement, invitation or document other than that in respect of any collective investment scheme which is authorized under section 104 of the Ordinance |
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