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

    • FER 4.1.1

      (1) A PersonG filing a ProspectusG or other document with the DFSAG , 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 DFSAG the applicable fee 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 $35,000 $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 DFSAG
      $5,000 $3,000
      (3) In (2), "equity securities" means SharesG , CertificatesG over SharesG and WarrantsG over SharesG , and "non-equity securities" means all other SecuritiesG .
      (4) The fee payable under (1) must be paid to the DFSAG before the filing of the ProspectusG or other document.
      (5) A ProspectusG or other document will not be considered to have been properly filed until the fee payable under (1) has been paid to the DFSAG .

      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]

      • FER 4.1.1 Guidance

        The DFSAG may levy a supplementary fee under Rule 1.2.7 if it appears to it that approval of a ProspectusG 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 DFSAG will usually discuss with the IssuerG 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]