• FEES 3.5 FEES 3.5 Dealing in Investments as Principal or Dealing in Investments as Agent

    • FEES 3.5.1

      This Rule does not apply to the Regulated Activities of Accepting Deposits, Managing a Profit Sharing Investment Account or Providing Credit.

    • FEES 3.5.2

      (a) An applicant for a Financial Services Permission to carry on the Regulated Activity of Dealing in Investments as Agent or Dealing in Investments as Principal, must pay to the Regulator an initial authorisation fee of $15,000.
      (b) The applicant referred to in (a) must pay to the Regulator an additional authorisation fee of $5,000 for each additional Regulated Activity for which it seeks a Financial Services Permission.

    • FEES 3.5.3

      (a) An Authorised Person with a Financial Services Permission to carry on the Regulated Activity of Dealing in Investments as Principal or Dealing in Investments as Agent must pay to the Regulator an annual supervision fee of $15,000.
      (b) The Authorised Person referred to in (a) must pay to the Regulator an additional annual supervision fee of $5,000 for each additional Regulated Activity for which it has a Financial Services Permission.