Statutory
Rules 1987 No. 801
Securities Industry (Fees) Regulations2
(Amendment)
I, THE GOVERNOR-GENERAL of the Commonwealth of
Australia, acting with the advice of the Federal Executive Council and in
accordance with subsection 5 (2) of the Securities
Industry (Fees) Act 1980,hereby make the following
Regulations under that Act.
Dated 21 May 1987.
N. M. STEPHEN
Governor-General
By His Excellency’s Command,
Lionel Bowen
Attorney-General
Commencement
1. These Regulations shall come into operation on 1 July 1987.
Interpretation
2. Regulation 2 of the Securities Industry (Fees) Regulations
is repealed and the following regulation substituted:
“2. In the Schedule, a reference to a section
or subsection, without an enactment being cited, shall be taken as a reference
to that section or subsection of the Securities
Industry Act 1980.”.
(S.R.
73/87)—Cat. No. 16/27.3.1987
Schedule
3. The Schedule to the Securities Industry (Fees) Regulations is repealed and the
following Schedule substituted:
SCHEDULE Regulation 3
PRESCRIBED FEES
Column 1 | Column 2 | Column
3 |
Item | Matter | Fee |
$ |
1 | On
making an application under section 38 for approval of a body corporate as a
stock exchange...................................................................................
| 720 |
2 | On
giving notice under section 39 of an amendment or amendments to the business
rules or listing rules of a stock exchange...................................
| 70 |
3 | On
making an application under section 47 by a person other than a body
corporate for a dealers licence or an investment
advisers licence .............
| 70 |
4 | On
making an application under section 47 by a body corporate for a dealers licence or an investment advisers licence ...............................................
| 150 |
5 | On making an application under section
47 for a representatives licence | 30 |
6 | On
making an application under section 50 by a dealer’s representative or an
investment representative......................................................................
| 8 |
7 | For inspecting Register of Licence
Holders under subsection 54 (4)............ | 4 |
8 | On giving notice under section 55 of
change of particulars......................... | 8 |
9 | On
lodging a statement under section 56 by a dealer or investment adviser (other
than a body corporate).................................................................
| 36 |
10 | On lodging a statement under section 56
by a body corporate..................... | 70 |
11 | On
lodging a statement under section 56 by a dealer’s representative or an
investment representative......................................................................
| 14 |
12 | On
lodging notice under subsection 75 (12) or giving notice under subsection 90
(2) or (3)..........................................................................................
| 14 |
13 | On
lodging notice under subsection 76 (7) of resignation or removal of an
auditor..................................................................................................
| 8 |
14 | On
lodging a profit and loss account and balance sheet under subsection 78 (2).............................................................................................................
| 14 |
15 | On lodging any other document
with the Commission................................ | 14 |
NOTES
1. Notified in the Commonwealth of Australia Gazette on 27 May 1987
2. Statutory Rules 1981 No. 128 as amended by 1983
No. 186; 1984 No. 242; 1986 No. 147.
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