Entire Section

  • FER 4 FER 4 Filing Fees

    • FER 4.1 FER 4.1 Filing a Prospectus, Issue Note or other document for approval

      • FER 4.1.1 FER 4.1.1

        (1) A Person filing a Prospectus or other document with the DFSA, for approval in accordance with Rule 2.4.1(i)(iii), section 2.6, section 2.7, section 6.3 or Rule 9.7.4 of MKT must pay to the DFSA the applicable fee specified in the table in (2).
        (2) This is the table referred to in (1):
        Filing event Equity Securities Non-Equity Securities
        Prospectus or equivalent document, other than for a SME $35,000 $10,000
        Prospectus or equivalent document for a SME $10,000 $10,000
        Registration Statement $27,500 $7,500
        Securities Note and Summary $7,500 $2,500
        Supplementary Prospectus $2,000 $2,000
        Programme update n/a $8,000
        Any other document which is required by the Markets Law
        or Markets Rules to be approved by the DFSA
        $5,000 $3,000
        (3) In (2), "equity securities" means Shares, Certificates over Shares and Warrants over Shares, and "non-equity securities" means all other Securities.
        (4) The fee payable under (1) must be paid to the DFSA before the filing of the Prospectus or other document.
        (5) A Prospectus or other document will not be considered to have been properly filed until the fee payable under (1) has been paid to the DFSA.

         

        Derived from DFSA RM52/2007 (Made 1st December 2007). [VER1/12-07]
        [Amended] DFSA RM83/2011 (Made 30th November 2011). [VER5/11-11]
        [Amended] DFSA RM152/2015 (Made 10th June 2015). [VER10/06-15]
        [Amended] DFSA RM152/2015 (Made 10th June 2015). [VER10/06-15]
        [Added] DFSA RMI268/2020 (Made 26th February 2020). [VER23/04-20]

         

        • FER 4.1.2 Guidance FER 4.1.2 Guidance

          The fee under Rule 4.1.2 is not payable for Security Tokens that are al admitted to trading on an Authorised Market Institution, as a separate fee will have been paid under Rule 2.9.1 for their application for listing.

          Derived from DFSA RMI315/2021 (Made 30th June 2021). [VER25/10-21]

          • FER 4.1.1 Guidance

            The DFSA may levy a supplementary fee under FER Rule 1.2.7 if it appears to it that approval of a Prospectus or other document is likely to cause it to incur substantial additional costs, for example, because the Prospectus or transaction is complex. In such cases, the DFSA will usually discuss with the Issuer the level of supplementary fee before, or as soon as possible after, the submission of an application for approval of the document.

            Derived from DFSA RM152/2015 (Made 10th June 2015). [VER10/06-15]
            [Amended] DFSA RM207/2017 (Made 14th June 2017). [VER16/01-18]
            [Added] DFSA RMI268/2020 (Made 26th February 2020). [VER23/04-20]

        • FER 4.1.2

          A Person required to pay a fee under Rule 4.1.1, must pay to the DFSA an additional fee of $2,500 when filing a Prospectus or other document if the Prospectus or other document relates to Security Tokens that are:

          Derived from DFSA RMI315/2021 (Made 30th June 2021). [VER25/10-21]

    • FER 4.2 FER 4.2 Filing a reference with the FMT

      • FER 4.2.1

        A fee of $5,000 must be paid to the DFSA before a reference to the FMT is considered filed with the FMT.

        [Added] DFSA RM55/2007 (Made 1st December 2007). [VER1/12-07]
        [Amended] DFSA RM141/2014 (Made 21st August 2014). [VER8/06-14]

      • FER 4.2.2

        The president of the FMT may waive all or part of the $5,000 filing fee if the Person commencing the reference is an individual and if, in the circumstances, the president considers it is equitable to do so.

        [Added] DFSA RM55/2007 (Made 1st December 2007). [VER1/12-07]
        [Amended] DFSA RM141/2014 (Made 21st August 2014). [VER8/06-14]
        [Amended] DFSA RM207/2017 (Made 14th June 2017). [VER16/01-18]

    • FER 4.3 FER 4.3 Seeking consent to commence a regulatory proceeding before the FMT

      • FER 4.3.1

        A fee of $5,000 must be paid to the DFSA by a Person seeking the consent of the DFSA to bring a regulatory proceeding before the FMT.


        [Added] DFSA RM145/2014 (Made 1st January 2015). [VER9/01-15]

      • FER 4.3.2

        The DFSA may waive all or part of the $5,000 fee if the Person seeking the consent is an individual and if, in the circumstances, the DFSA considers it is equitable to do so.


        [Added] DFSA RM145/2014 (Made 1st January 2015). [VER9/01-15]