Changes to Yukon Securities Fee regulations effective March 3, 2025 were approved February 27, 2025, aligning Yukon's fee regulations with other Canadian jurisdictions. Changes include increases to certain prospectus filing fees by $25, and individual registrant fees by $50.
| 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. | $300 |
| (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. | $300 |
| (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) in the case of an issuer other than an investment fund issuer (i) filing a preliminary prospectus or pro forma prospectus (for each class of security), or (ii) filing a prospectus for which no preliminary or pro forma prospectus was filed (for each class of security). | $375 |
(j) In the case of an investment fund issuer other than a mutual fund or an exchange-traded mutual fund, as defined in National Instrument 41-101 General Prospectus Requirements (i) filing a preliminary or pro forma prospectus in Form 41-101F2 under National Instrument 41-101 General Prospectus Requirements (for each investment fund), or (ii) filing a preliminary or pro forma scholarship plan prospectus in Form 41-101F3 under National Instrument 41-101 General Prospectus Requirements (for each investment fund) | $375 |
(j.01) In the case of an exchange-traded mutual fund as defined in National Instrument 41-101 General Prospectus Requirements (i) filing a preliminary or pro forma ETF facts document in Form 41-101F4 under National Instrument 41-101 General Prospectus Requirements (for each exchange-traded mutual find), or (ii) filing an ETF facts document in Form 41-101F4 for which no preliminary, pro forma or final prospectus was filed as contemplated in section 3D.1 of National Instrument 41-101 General Prospectus Requirements (for each exchange-traded mutual fund) | $375 |
(j.02) In the case of a mutual fund (i) filing a preliminary or pro forma fund facts document in Form 81-101F3 under National Instrument 81-101 Mutual Fund Prospectus Disclosure (for each mutual fund), or (ii) filing a fund facts document in Form 81-101F3 for which no preliminary, pro forma or simplified prospectus was filed as contemplated in subsection 2.3(5.2) of National Instrument 81-101 Mutual Fund Prospectus Disclosure (for each mutual fund) | $375 |
| (k) In the case of an issuer other than an investment fund issuer, filing an amendment to a preliminary, pro forma or other prospectus (for each class of security affected by the amendments) | $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 |
For more information on local rules under the Securities Act email [email protected] or phone 867-667-5466. We are located at 307 Black Street, Whitehorse, Yukon, Y1A 2N1.