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| | | | Manner and Time of Payment |
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| | Application for grant of a capital markets services licence |
| | By cheque at time of application |
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| | Annual licence fee for capital markets services licence in respect of — |
| | (a) Where the holder has no GIRO arrangement with the Authority, by cheque by the date specified in the fee advice. |
|
| | (a) dealing in securities — |
| | (b) Where the holder has GIRO arrangement with the Authority, by GIRO by 19th December of the preceding year. |
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| | (i) where the holder is a member of the Singapore Exchange Securities Trading Limited; or |
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| | (ii) where the holder is any other person; |
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| | (c) advising on corporate finance; |
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| | (d) trading in futures contracts; |
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| | (e) leveraged foreign exchange trading; |
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| | (f) securities financing; |
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| | (g) providing custodial services for securities; |
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| | (h) real estate investment trust management |
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| | Application to add type(s) of regulated activity to capital markets services licence |
| | Payable by GIRO by the 16th day of the month following that in which application is made |
|
| | Lodgment of documents under section 99H of the Act for appointment of appointed, provisional or temporary representative |
| | (a) Where principal is an applicant for capital markets services licence, by cheque at time of lodgment. |
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| | | | (b) Where principal is a holder of capital markets services licence, and — |
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| | | | (i) it has no GIRO arrangement with the Authority, by cheque by the date specified in the fee advice; or |
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| | | | (ii) it has GIRO arrangement with the Authority, by GIRO by the 16th day of the month following that in which lodgment is made. |
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| | | | |
| | Annual fee for retention of name of appointed or provisional representative in the public register of representatives in the year in which the name is first entered in the register #, where the regulated activity is — |
| Amount derived from the formula: |
| (a) Where principal has no GIRO arrangement with the Authority, by cheque by the date specified in the fee advice. |
|
| | (a) dealing in securities; |
| | (b) Where principal has GIRO arrangement with the Authority, by GIRO by the 16th day of the month following that in which name is entered in the register. |
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| | | | | |
| | (c) advising on corporate finance; |
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| | (d) trading in futures contracts; |
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| | | | is the number of days between the date the name of appointed or provisional representative is first entered in the register and 31st December of same year, both dates inclusive; and |
| |
| | (e) leveraged foreign exchange trading; or |
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| | (f) real estate investment trust management |
| (a) $700 where the regulated activity or one of the regulated activities is dealing in securities on behalf of a principal who is a member of the Singapore Exchange Securities Trading Limited; or |
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| | | (b) $200 where the regulated activity is one of, or the regulated activities are 2 or more of, the following: |
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| | | (i) dealing in securities on behalf of a principal who is any other person; |
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| | | | |
| | | (iii) advising on corporate finance; |
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| | | (iv) trading in futures contracts; |
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| | | (v) leveraged foreign exchange trading; or |
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| | | (vi) real estate investment trust management |
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| | Annual fee for retention of name of appointed or provisional representative in the public register of representatives in any other year, where the regulated activity is — |
| | (a) Where principal has no GIRO arrangement with the Authority, by cheque by the date specified in the fee advice. |
|
| | (a) dealing in securities — |
| | (b) Where principal has GIRO arrangement with the Authority, by GIRO by19th December of the preceding year or, if the name of the representative is entered in the public register of representatives in that preceding year during the period between 20th and 31st December (both dates inclusive), by 16th January of that other year. |
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| | (i) where the principal is a member of the Singapore Exchange Securities Trading Limited; or |
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| | (ii) where the principal is any other person; |
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| | | | |
| | (c) advising on corporate finance; |
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| | (d) trading in futures contracts; |
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| | (e) leveraged foreign exchange trading; or |
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| | (f) real estate investment trust management, |
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| | or where there is more than one regulated activity |
| the higher or highest of the relevant amounts set out above for those regulated activities |
| |
| | Fee payable by a temporary representative for retention of name of temporary representative in the public register of representatives, where the regulated activity is # — |
| | (a) Where principal has no GIRO arrangement with the Authority, by cheque by the date specified in the fee advice. |
|
| | (a) dealing in securities — |
| | (b) Where principal has GIRO arrangement with the Authority, by GIRO by the 16th day of the month following that in which name is entered in the register. |
|
| | (i) where the principal is a member of the Singapore Exchange Securities Trading Limited; or |
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| | (ii) where the principal is any other person; |
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| | | | |
| | (c) advising on corporate finance; |
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| | (d) trading in futures contracts; |
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| | (e) leveraged foreign exchange trading; or |
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| | (f) real estate investment trust management, |
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| | or where there is more than one regulated activity |
| the higher or highest of the relevant amounts set out above for those regulated activities |
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| | Resubmission of a form for lodgment of documents under section 99H(1) of the Act for the appointment of appointed, provisional or temporary representative |
| | (a) Where principal has no GIRO arrangement with the Authority, by cheque by the date specified in the fee advice. |
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| | | | (b) Where principal has GIRO arrangement with the Authority, by GIRO by the 16th day of the month following that in which resubmission is made |
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#For the avoidance of doubt, this fee is still required to be paid if the date on which the name is entered in the register is 31st December.”. |
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