| Types of Fees | Amount (in EC$) | Explanation |
| 1. | Application Fee | | |
| (a) | Broker-dealer | 1,000 | A one-time fee paid upon submission of application forms and accompanying documentation. The fee is non-refundable and allows for the costs of due diligence procedures under taken by the Commission to thoroughly review the application. |
| (b) | Custodian | 1,000 |
| (c) | Investment advisor (company) | 1,000 |
| (d) | Investment advisor (individual) | 1,000 |
| (e) | Limited service broker | 750 |
| (f) | Management Company | 1,000 |
| (g) | Principal | 200 |
| (h) | Representative | 200 |
| 2. | Licence Fee | | |
| (a) | Broker-dealer | 3,000 | |
| (b) | Custodian | 4,000 | |
| (c) | Investment advisor (company) | 3,000 | |
| (d) | Investment advisor (individual) | 4,000 | |
| (e) | Limited service broker | 2,000 | |
| (f) | Management Company | 4,000 | |
| (g) | Principal | 500 | |
| (h) | Representative | 500 | |
| 3. | Annual Renewal Licence Fees | | |
| (a) | Broker-dealer | 2,000 | |
| (b) | Custodian | 3,000 | |
| (c) | Investment advisor (company) | 2,000 | |
| (d) | Investment advisor (individual) | 2,500 | |
| (e) | Limited service broker | 1,500 | |
| (f) | Management Company | 3,000 | |
| (g) | Principal | 500 | |
| (h) | Representative | 300 | |
| 4. | Replacement of Licence Fee | 1,500 | Applicable to all licences |
| 5. | Examination Fee | | |
| (a) | Investment adviser examination fee | 1,500 | Fee per person |
| (b) | Principal – compliance workshop/ examination fee | 2,000 | |
| (c) | Representative examination fee | 1,500 | |
| 6. | Advertisement Filing Fee | | |
| — Fee for filing of advertisements | 50 | Fee per person |
| 7. | Authorisation of Collective Investment Scheme Fee | | |
| (a) | Authorisation of Collective Investment Scheme Application Fee | 1,000 | A one-time fee paid upon submission of application forms and accompanying documentation. The fee is non-refundable and allows for the costs of due diligence procedures undertaken by the Commission to thoroughly review the application. |
| (b) | Authorisation of Collective Investment Scheme Fee | 4,000 |
| (c) | Annual Renewal Authorisation of Collective Investment Scheme Fee | 3,000 |
| 8. | Securities Exchange Licence Fee | | |
| (a) | Authorisation of Collective Investment Scheme Application Fee | 1,000 | A one-time fee paid upon submission of application forms and accompanying documentation. The fee is non-refundable and allows for the costs of due diligence procedures undertaken by the Commission to thoroughly review the application. |
| (b) | Authorisation of Collective Investment Scheme Fee | 5,000 |
| (c) | Annual Renewal Authorisation of Collective Investment Scheme Fee | 4,000 |
| 9. | Clearing Agency Licence Fee | | |
| (a) | Clearing Agency Licence Application Fee | 1,000 | A one-time fee paid upon submission of application forms and accompanying documentation. The fee is non-refundable and allows for the costs of due diligence procedures undertaken by the Commission to thoroughly review the application. |
| (b) | Clearing Agency Licence Fee | 5,000 |
| (c) | Annual Renewal Clearing Agency Licence Fee | 4,000 |
| 10. | Registration of Corporate Issuers Fee | | |
| (a) | Registration of existing public company. | 1,000 | |
| (b) | Registration of Company proposing to issue securities to the public | 1/36 of 1% of offering amount to be raised | Minimum of $5,000. If 1/36th is greater than $5,000, the greater amount will apply. |
| 11. | Self-Regulatory Organisation Fee | | |
| (a) | Licence Application Fees | | A one-time fee paid upon submission of application forms and accompanying documentation. The fee is non-refundable and allows for the costs of due diligence procedures undertaken by the Commission to thoroughly review the application. |
| | (i) | Broker-dealer association | 1,000 |
| | (ii) | Depositories | 1,000 |
| | (iii) | Exchanges | 1,000 |
| | (iv) | Independent Share Registers | 1,000 |
| | (v) | Investment funds association | 1,000 |
| (b) | Licence Fee | |
| | (i) | Broker-dealer association | 2,500 |
| | (ii) | Depositories | 5,000 |
| | (iii) | Exchanges | 5,000 |
| | (iv) | Independent Share Registrars | 5,000 |
| | (v) | Investment funds association | 2,500 |
| (c) | Annual Renewal Licence Fee | | |
| | (i) | Broker-dealer association | 2,000 | |
| | (ii) | Depositories | 4,000 | |
| | (iii) | Exchanges | 4,000 | |
| | (iv) | Independent Share Registrars | 4,000 | |
| | (v) | Investment funds association | 1,500 | |
| 12. | Proposed Rule Change Fee | 1,000 | Fee per submission |