【法规名称】
【法规编号】 82391 什么是编号？
【正 文】
第6页 CAP 571AF SECURITIES AND FUTURES (FEES) RULES
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[接上页] Item Description Amount Fees relating to Part III of Ordinance 1. Prescribed application fee payable under section 96(1)(b) of the Ordinance on an application for authorization to provide automated trading services $10000 2. Prescribed fee payable under section 99(5)(b) of the Ordinance for a copy of an entry in or extract of a register maintained under section 99 of the Ordinance $9 per page Fees relating to Part V of Ordinance 3. Prescribed fee payable under section 116(1) of the Ordinance on an application for the grant of a licence for a licensed corporation (A) $4740 for each regulated activity other than Type 3 regulated activity; and (B) $129730 for Type 3 regulated activity 4. Prescribed fee payable under section 117(1) of the Ordinance on an application for the grant of a licence for a licensed corporation for a period not exceeding 3 months $4900 for each regulated activity 5. Prescribed fee payable under section 119(1) of the Ordinance on an application for registration as a registered institution $23500 for each regulated activity 6. Prescribed fee payable under section 120(1) of the Ordinance on an application for the grant of a licence for a licensed representative (A) $1790 for each regulated activity other than Type 3 regulated activity; and (B) $2420 for Type 3 regulated activity 7. Prescribed fee payable under section 120(2) of the Ordinance on an application for the grant of a provisional licence for a licensed representative $800 8. Prescribed fee payable under section 121(1) of the Ordinance on an application for the grant of a licence for a licensed representative for a period not exceeding 3 months $1850 for each regulated activity 9. Prescribed fee payable under section 122(1) of the Ordinance on an application for approval of an accreditation of a licensed representative $200 10. Prescribed fee payable under section 122(2) of the Ordinance on an application for approval of a transfer of an accreditation of a licensed representative $200 for each regulated activity 11. Prescribed fee payable under section 124(1) of the Ordinance on an application for issue of a duplicate of a licence or certificate of registration $200 12. Prescribed fee payable under section 126(1) of the Ordinance on an application for approval of a person as a responsible officer $2950 for each regulated activity 13. Prescribed fee payable under section 127(1) of the Ordinance on an application for variation of any regulated activity- (a) in the case of a licensed corporation- (i) for adding any regulated activity (A) $4740 for each regulated activity other than Type 3 regulated activity; and (B) $129730 for Type 3 regulated activity (ii) (subject to subparagraph (iii)) for removing any regulated activity $200 for each regulated activity (iii) for removing all regulated activities specified in the licence nil (b) in the case of a licensed representative- (i) for adding any regulated activity (A) $1790 for each regulated activity other than Type 3 regulated activity; and (B) $2420 for Type 3 regulated activity (ii) (subject to subparagraph (iii)) for removing any regulated activity $200 for each regulated activity (iii) for removing all regulated activities specified in the licence nil (c) in the case of a registered institution- (i) for adding any regulated activity $23500 for each regulated activity (ii) (subject to subparagraph (iii)) for removing any regulated activity $200 for each regulated activity (iii) for removing all regulated activities specified in the certificate of registration nil 14. Prescribed fee payable under section 130(1) of the Ordinance on an application for approval of premises $1000 15. Prescribed fee payable under section 132(1)of the Ordinance on an application for approval to become or continue to be asubstantial shareholder $3000 16. Prescribed fee payable under section 134(1) of the Ordinance on an application for the grant of a modification or waiver in respect of- (a) any condition specified in section 118 of the Ordinance or imposed under section 116, 117, 119, 120, 121, 126 or 132 of the Ordinance or any of the requirements of section 121(2)(a) of the Ordinance $2000 (b) any of the requirements of sections 116(2)(b) and 125(1) and (2) of the Ordinance $2000 (c) any of the requirements of sections 116(2)(c) and 130 of the Ordinance $2000 (d) any of the requirements of section 129 of the Ordinance $4000 (e) any of the requirements of the Securities and Futures (Financial Resources) Rules (Cap 571 sub. leg. N) (other than one relating to hedging or arbitrage programmes) $6000 (f) any of the requirements of the Securities and Futures (Financial Resources) Rules (Cap 571 sub. leg. N), relating to hedging or arbitrage programmes- (i) where at least one side of the portfolio is less than $10000000 (ii) in any other case $10000 $20000 (g) any of the requirements of the Securities and Futures (Client Securities) Rules (Cap 571 sub. leg. H) |
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