(1) These regulations may be cited as the Securities (Fees) Regulations 1998.

(2) These regulations come into force on the 28th day after the date of their notification in the Gazette.

The fees and amounts set out below are payable in respect of the following matters:

• (a) for registration of a prospectus under section 42 of the Securities Act 1978, $320:

• (b) for a copy under section 52(3) of the Securities Act 1978, at the request of any person, of a register kept under section 51(1)(a) to (d) of that Act, or any part of the register, a fee of 20 cents per page or such lesser amount as the issuer may prescribe:

• (c) for a copy under section 52(4) of the Securities Act 1978, at the request of the holder of the securities, of that part of a register kept under section 51(1)(e) or (f) of that Act that relates to the securities of the holder, a fee of 20 cents per page or such lesser amount as the issuer may prescribe:

• (d) for a copy under section 54B(1) of the Securities Act 1978, at the request of the holder of the securities, of the following documents:

  • (i) a deed of trust or deed of participation relating to the securities of the holder (incorporating or together with all amendments to that deed) referred to in regulation 23A(c) of the Securities Regulations 1983 or regulation 44(c) of the Securities Regulations 2009:

  • (ii) a guarantee of payment of money owing in respect of the securities of the holder referred to in regulation 23A(d) of the Securities Regulations 1983 or regulation 44(d) of the Securities Regulations 2009,—

  a fee of 20 cents per page or such lesser amount as the issuer may prescribe.

(1) The FMA may require payment to it of—

• (a) a fee of $115 for an application referred to in subclause (2); and

• (b) in respect of any of those applications, a fee calculated at the hourly rates set out in the following table for each hour or, on a proportional basis, part-hour of work carried out by the persons referred to:

  Table of hourly rates
  Category				Fee
  (i)		For each hour of work carried out by a member of the FMA		$230.00
  (ii)		For each hour of work carried out by an employee of the FMA who is qualified in accountancy, auditing, business, commerce, economics, or law		$178.25
  (iii)		For each hour of work carried out by an employee of the FMA who the FMA is satisfied has a professional level of skills, training, or experience in matters of the kind to which the application relates		$178.25

(2) The fees set out in subclause (1) apply in respect of—

• (a) an application for an exemption under section 70B of the Securities Act 1978:

• (b) an application for approval to act as a trustee or statutory supervisor under section 48(3) of the Securities Act 1978.

• (c) [Revoked]

• (d) [Revoked]

(3) The fees in this regulation—

• (a) are payable by the applicant to the FMA; and

• (b) as to the fee under subclause (1)(a), must accompany the application; and

• (c) as to the fee calculated at hourly rates in accordance with subclause (1)(b), are payable on an invoice issued by, or on behalf of, the FMA and within the time frame specified in that invoice.

The FMA is authorised to require payment to it of the costs incurred by the FMA in—

• (a) the printing and publication in the Statutory Regulations series of an exemption notice under section 70B of the Securities Act 1978:

• (b) the publication in the Gazette of a notice of an exemption notice under section 70B of the Securities Act 1978:

• (c) the publication in the Gazette of a notice approving a person to act as a trustee or statutory supervisor under section 48(3) of the Securities Act 1978:

• (d) the obtaining of expert advice or expert assistance in respect of an application referred to in regulation 3(2).

The fees and amounts prescribed in regulations 2 and 3 are inclusive of goods and services tax.

The following regulations are revoked:

• (a) Securities (Fees) Regulations 1997 (SR 1997/14):

• (b) Securities (Fees) Amendment Regulations 1997 (SR 1997/183):

• (c) Securities (Fees) Amendment Regulations 1998 (SR 1998/107).