Commodity Futures Fees Regulation

Commodity Futures Fees Regulation, M.R. 179/99 The Commodity Futures Act , C.C.S.M. c. C152 Regulation 179/99 Registered December 23, 1999 bilingual version (HTML) Table of Contents Section 1 Definitions 2 Fees for dealer, adviser and related registrations 3-4 Repealed 4.1 Locals 5-8 Repealed 9 Amendment of terms and conditions of registration 10 Changes 11 Miscellaneous applications 12 Certifications 13 Photocopies Definitions 1 In this regulation, "Act" means The Commodity Futures Act ; («  Loi ») "rule" means a rule made by the commission under section 71 of the Act. (« règle ») Fees for dealer, adviser and related registrations 2 The fee that must be paid to the commission (a) for (i) registration or renewal of registration as a dealer or adviser is the annual fee of $1000, and (ii) the reinstatement of a registration referred to in subclause (i) is $1,000; (b) for (i) an individual's registration in one or more of the following registration categories: (A) branch manager, (B) floor trader, (C) salesperson, (D) futures contract portfolio manager, (E) associate futures contract portfolio manager, (F) partner or officer of a registered adviser acting on behalf of the registered adviser, is the annual fee of $300, (ii) the termination of a registration referred to in subclause (i) is $50, (iii) the reinstatement of a registration referred to in subclause (i) three months or more after the date of the individual's termination from his or her former sponsoring firm is $75; (c) for (i) each branch office or sub-branch office of the applicant in Manitoba is the annual fee of $200, (ii) a new branch office or sub-branch office is $200. M.R. 67/2003 ; 174/2010 3 and 4 [Repealed] M.R. 67/2003 ; 174/2010 Locals 4.1 The fee that shall be paid to the commission by an applicant for registration or renewal of registration as a local is $300. M.R. 67/2003 5 to 7 [Repealed] M.R. 174/2010 8 [Repealed] M.R. 67/2003 ; 174/2010 Amendment of terms and conditions of registration 9 The fee that shall be paid to the commission by an applicant for an amendment of the terms and conditions of a registration is $500. Changes 10(1) Except when a fee has been paid under subclause 2(b)⁠(ii) or (iii), the fee payable by a registrant for a notice of change (a) under subsection 32(1) or (2) of the Act; or (b) under the rules; for each change referred to in the notice, is $100. 10(1.1) Subsection (1) does not apply to a notice of closing of a branch office required by clause 32(1)⁠(d) of the Act. 10(2) Upon the amalgamation or merger of two or more registrants, the successor registrant shall pay a fee of $100. to the commission in respect of (a) each change referred to in subsection 32(1) or (2) of the Act that occurs to each predecessor registrant as a result of the amalgamation or merger; and (b) each change that occurs to each predecessor registrant as a result of the amalgamation or merger in respect of which a notice of change is required to be filed under the rules. M.R. 174/2010 Miscellaneous applications 11(1) Subject to subsection (2) and except where another fee is provided for in this regulation, the fee payable to the commission in respect of an application or request for a waiver or exercise of discretion by or for the written consent or approval of the commission or director is $650. 11(2) No fee is payable under subsection (1) in respect of (a) a review by the commission of a constating document, by-law, rule, regulation, policy, direction, instruction, decision, order, ruling, practice or procedure of a commodity futures exchange, clearing house of a commodity futures exchange or self-regulatory body; or (b) a review by the commission of an agreement by one or more (i) commodity futures exchange, (ii) clearing house of a commodity futures exchange, (iii) self-regulatory body, or (iv) member of an exchange, clearing house or self-regulatory body. Certifications 12(1) The fee payable to the commission for certification of a decision, document, record or thing referred to in clause 4(1)⁠(c) of the Act is the aggregate of (a) a basic fee of $50; and (b) $0.50 per page for photocopies required for the certificate. 12(2) The fee payable to the commission for certification of a statement referred to in section 65 of the Act is the aggregate of (a) a basic fee of $50; and (b) $0.50 per page for photocopies of documents included in the statement that are required to be made available by the commission for public inspection. M.R. 174/2010 Photocopies 13 The fee payable for photocopies made by the commission is $0.50 per page.