【法规名称】
【法规编号】 82391 什么是编号？
【正 文】
第5页 CAP 571AF SECURITIES AND FUTURES (FEES) RULES
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[接上页] $20000 7. Fee payable in respect of authorization of the issue of an advertisement, invitation or document under section 105 of the Ordinance other than that in respect of any collective investment scheme which is authorized under section 104 of the Ordinance $10000 8. Fee payable on an application to modify a previous authorization under section 105 of the Ordinance of the issue of an advertisement, invitation or document in respect of- (a) any instrument specified in Part 2 of Schedule 4 to the Ordinance $3000 (b) any certificate of deposit $3000 (c) any securities other than interests in a collective investment scheme $3000 Fees relating to Part V of Ordinance 9. Fee payable on an application- (a) for the grant of a licence under section 116, 117, 120 or 121 of the Ordinance where a licensed corporation or licensed representative has substantially changed its or his particulars since the grant of the existing licence $200 (b) for the grant of a certificate of registration under section 119 of the Ordinance where a registered institution has substantially changed its particulars since the grant of the existing certificate of registration $200 10. Fee payable for renewal of a modification or waiver referred to in item 16(e), (f), (g), (h), (i) or (j) of Schedule 3 $4000 11. Fee payable pursuant to section 136(6)(b) of the Ordinance for certification of a copy of a document as a true copy $200 Fees relating to Part VI of Ordinance 12. Fee payable- (a) (subject to paragraph (c)) on an application under section 155(3)(a) of the Ordinance for approval in respect of an alteration of date on which the financial year ends $2000 (b) (subject to paragraph (c)) on an application under section 155(3)(b) of the Ordinance for approval in respect of the adoption of a period which exceeds 12 months as the financial year $2000 (c) on an application for approval in respect of both of the matters referred to in paragraphs (a) and (b) respectively $2000 13. Fee payable on an application under section 156(4) of the Ordinance for extension of the period within which financial statements and other documents, and any auditor's report, are required to be submitted under section 156(1) or (2) of the Ordinance $2000 Fees relating to Part XV of Ordinance 14. Fee payable on an application under section 309(2) or (3) of the Ordinance for exemption from all or any of the provisions of Part XV of the Ordinance $24000 Miscellaneous fees 15. Fee payable on submission of any information or document to the Commission requiring its consideration and advice (including any advice relating to the application of Part IV of the Ordinance and any advice relating to the authorization for registration of a prospectus under section 38D or 342C of the Companies Ordinance (Cap 32)) $10000 16. Fee payable on an application pursuant to section 11 of the Securities and Futures (Client Securities) Rules (Cap 571 sub. leg. H) for any approval $6000 17. Fee payable for renewal of an approval referred to in item 16 $4000 18. Fee payable on an application pursuant to section 4(2)(b) of the Securities and Futures (Client Money) Rules (Cap 571 sub. leg. I) for any approval $6000 19. Fee payable for renewal of an approval referred to in item 18 $4000 20. Fee payable for renewal of an approval referred to in item 19 of Schedule 3 $4000 21. Fee payable on an application under section 38D or 342C of the Companies Ordinance (Cap 32) for authorization for registration of a prospectus under that Ordinance- (a) in the case of rights issue prospectus (b) in the case of Eurobond issue prospectus (c) in the case of warrant issue prospectus (d) in the case of any prospectus relating to interests in a collective investment scheme (e) in the case of any prospectus, not referred to in paragraph (a), (b), (c) or (d), which offers any shares in or debentures of a corporation that have been approved by a recognized exchange company for listing on a recognized stock market $15000 $15000 $10000 nil $30000 (f) in the case of any other prospectus $30000 22. Fee payable for a copy of a document provided by the Commission in the performance of a function under any of the relevant provisions for which no fee is otherwise prescribed in this Schedule $9 per page Cap 571AF Sched 2 FEES PRESCRIBED FOR PURPOSES OF SECTION 395(1)(a)(ii) OF ORDINANCE [section 5] Applicable value Fee Not exceeding $75000000 $25000 Exceeding $75000000 but not exceeding $125000000 $75000 Exceeding $125000000 but not exceeding $300000000 $150000 Exceeding $300000000 but not exceeding $600000000 $250000 Exceeding $600000000 but not exceeding $1200000000 $350000 Exceeding $1200000000 but not exceeding $2000000000 $500000 Exceeding $2000000000 $500000, plus 0.01% of the value over $2000000000 (L.N. 29 of 2004) Cap 571AF Sched 3 FEES PRESCRIBED FOR PURPOSES OF SECTION 395(1)(b) OF ORDINANCE [sections 10 & 11 & Schedule 1] |
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