| Registration type | Fee |
|---|---|
| (a) Application for registration as a dealer or adviser, regardless of the number of categories of registration to which the application relates. | $750 |
| (b) Application for registration as an investment fund manager. | $750 |
| (c) Annual fee payable by each registered dealer, adviser or investment fund manager, due no later than December 31 each year. | $750 |
| (d) Except as provided in paragraph (f), application for registration or reinstatement as a representative, ultimate designated person or chief compliance officer of a registered dealer, adviser or investment fund manager, regardless of the number of categories of registration to which the application relates. | $250 |
| (e) Annual fee payable by each registered representative, ultimate designated person or chief compliance officer of a registered dealer, adviser or investment fund manager, due no later than December 31 each year. | $250 |
| (f) Application for reinstatement of the registration of a person as a representative of a registered dealer, adviser or investment fund manager made in Form 33-109F7 under the National Instrument 33-109 Registration Information, in the same calendar year as the termination of the registration. | $100 |
| (g) Application by a dealer, adviser or investment fund manager to make a change, including an addition, to the registration category in respect of which the dealer, adviser or investment fund manager is registered. | $100 |
| (h) Application by a dealer, adviser or investment fund manager to delete a registration category in respect of which the dealer, adviser or investment fund manager is registered. | $0 |
| Disclosure filing fees | Fee |
|---|---|
| (i) except as provided in paragraph (j), filing a preliminary prospectus or pro forma prospectus (for each class of security). | $350 |
| (j) In the case of an investment fund issuer, filing a preliminary prospectus or pro forma prospectus (for each fund). | $350 |
| (k) except as provided in paragraph (l), filing an amendment to a preliminary, pro forma, or other prospectus (for each class of security affected by the amendment). | $50 |
| (l) In the case of an investment fund issuer, filing an amendment to a preliminary, pro forma or other prospectus (for each fund affected by the amendment). | $50 |
| (m) Filing a non-exempt take‑over bid or issuer-bid circular. | $200 |
| (n) Filing a rights offering circular. | $100 |
| (o) Filing an offering memorandum. | $100 |
| (p) Filing a report of an exempt distribution in accordance with Form 45–106F1 under National Instrument 45‑106 Prospectus and Registration Exemptions. | $25 |
| (q) Filing by an issuer of an annual information form under National Instrument 51–102 Continuous Disclosure Obligations or under National Instrument 81–106 Investment Fund Continuous Disclosure. | $400 |
| (r) Application for exemptive relief or application for designation or recognition under the Securities Act. |
$250 |
| (s) Filings or approvals not otherwise provided for in this schedule. | $0 |
| Fees for searches, certificates and photocopies | |
|---|---|
| Searches | $0 |
| A certified statement referred to in section 19 of the Securities Act provided by the Superintendent on request | $25 |
| Certificate of true copy of an original document | $5 |
| Photocopies (for each page) | $1 |
| Facsimile transmissions (for each page) | $2 |
Contact:
For more information on local rules under the Securities Act email securities@yukon.ca or phone 867-667-5466. We are located at 307 Black Street, Whitehorse, Yukon, Y1A 2N1.