PERATURAN-PERATURAN PASARAN MODAL DAN PERKHIDMATAN (FI) 2012

“Kod” ertinya Kod Malaysia mengenai Pengambilalihan dan Percantuman 2010

[P.U. (B) 538/2010];

“prospektus" mempunyai erti yang sama yang diberikan kepadanya dalam seksyen 226 Akta dan termasuk suatu dokumen penzahiran di bawah perenggan 212(5)(b) Akta.

Fi berkenaan dengan cadangan berhubung dengan sekuriti selain debentur, sukuk, skim unit amanah dan skim pelaburan ditetapkan 3.

Fi yang kena dibayar berkenaan dengan Penggal 1A Bahagian VI Akta selain yang berhubung dengan debentur, sukuk, skim unit amanah dan skim yang ditetapkan hendaklah mengikut apa-apa amaun sebagaimana yang dinyatakan dalam Jadual 1.

Fi berkenaan dengan pengambilalihan, percantuman dan pengambilan paksa

Fi yang kena dibayar berkenaan dengan Penggal 2 Bahagian VI Akta hendaklah mengikut apa-apa amaun sebagaimana yang dinyatakan dalam Jadual 2.

P.U. (A) 483 3

Fi yang kena dibayar berkenaan dengan Penggal 1A, 3A dan 3B Bahagian VI Akta, selain pendaftaran prospektus dan deposit memorandum maklumat, hendaklah mengikut apa-apa amaun sebagaimana yang dinyatakan dalam Jadual 5.

Fi yang kena dibayar berkenaan dengan Penggal 1A, 3A dan 4 Bahagian VI Akta hendaklah mengikut apa-apa amaun sebagaimana yang dinyatakan dalam Jadual 6.

Fi yang kena dibayar berkenaan dengan Penggal 1A, 3A dan 5 Bahagian VI Akta selain amanah perniagaan hendaklah mengikut apa-apa amaun sebagaimana yang dinyatakan dalam Jadual 7.

P.U. (A) 483 4

Fi yang kena dibayar berkenaan dengan mana-mana cadangan yang melibatkan penilaian aset hendaklah mengikut apa-apa amaun sebagaimana yang dinyatakan dalam

Jadual 8.

Fi berkenaan dengan pendepositan dokumen penawaran dan penyerahsimpanan helaian maklumat penting produk 10.

Fi yang kena dibayar berkenaan dengan penyerahsimpanan helaian maklumat penting produk sebagaimana yang ditentukan oleh Suruhanjaya hendaklah mengikut apa-apa amaun sebagaimana yang dinyatakan dalam Jadual 9.

Penarikan balik, pengembalian, penolakan dan kajian semula keputusan

Suruhanjaya 11.

(1)

Bagi produk pasaran modal selain yang disebut dalam subperaturan (2), fi yang kena dibayar dan boleh dibayar balik berkenaan dengan penarikan balik, pengembalian atau penolakan untuk meluluskan, memberi kuasa, mendaftar atau mengiktiraf, mana-mana permohonan atau pengemukaan kepada Suruhanjaya hendaklah mengikut apa-apa amaun sebagaimana yang dinyatakan dalam Jadual 10.

(2)

Bagi unit saham amanah dan skim pelaburan ditetapkan selain amanah perniagaan, fi yang kena dibayar dan boleh dibayar balik berkenaan dengan penarikan balik, pengembalian atau penolakan mana-mana permohonan atau pengemukaan kepada Suruhanjaya hendaklah mengikut apa-apa amaun yang dinyatakan dalam

Jadual 11.

(3)

Jika suatu permohonan dibuat untuk kajian semula keputusan

Suruhanjaya, tiada fi yang kena dibayar bagi permohonan itu.

Fi bagi tindakan Suruhanjaya 12.

(1)

Fi yang kena dibayar kepada Suruhanjaya di bawah Peraturan-Peraturan ini berkenaan dengan deposit atau penyerahsimpanan suatu dokumen dengan, atau pendaftaran suatu dokumen oleh, Suruhanjaya atau berkenaan dengan apa-apa permohonan untuk kelulusan, pemberikuasaan, pendaftaran atau pengiktirafan

P.U. (A) 483 5

hendaklah dibayar pada masa dokumen itu dihantar serah kepada Suruhanjaya bagi deposit, penyerahsimpanan atau pendaftaran atau pada masa permohonan untuk kelulusan, pemberikuasaan, pendaftaran atau pengiktirafan itu dikemukakan kepada

Suruhanjaya.

(2)

Jika suatu fi yang kena dibayar di bawah Peraturan-Peraturan ini bagi atau berkenaan dengan deposit atau penyerahsimpanan suatu dokumen dengan atau pendaftaran suatu dokumen oleh Suruhanjaya atau berkenaan dengan apa-apa permohonan untuk kelulusan, pemberikuasaan, pendaftaran atau pengiktirafan dan dokumen yang dikemukakan bagi deposit, penyerahsimpanan atau pendaftaran atau permohonan untuk kelulusan, pemberikuasaan, pendaftaran atau pengiktirafan dikemukakan tanpa pembayaran fi itu, dokumen itu hendaklah disifatkan tidak didepositkan atau tidak diserahsimpankan dengan atau tidak dikemukakan bagi pendaftaran atau permohonan itu hendaklah disifatkan tidak dikemukakan sehingga fi itu dibayar.

Pembatalan 13.

Peraturan-Peraturan Pasaran Modal dan Perkhidmatan (Fi) 2011

[P.U. (A) 88/2011] dibatalkan.

P.U. (A) 483 6

JADUAL 1

[Peraturan 3]

JADUAL FI BERKENAAN DENGAN CADANGAN BERHUBUNG DENGAN SEKURITI SELAIN

DEBENTUR, SKIM UNIT AMANAH DAN SKIM PELABURAN DITETAPKAN

Cadangan berhubung dengan sekuriti

Terbitan awam awal

RM80,000.00 + 0.05% daripada jumlah nilai pasaran sekuriti yang hendak disenaraikan dan nilai nominal mana-mana sekuriti tambahan diterbitkan atau akan diterbitkan yang tidak tersenarai, tertakluk kepada amaun maksimum sebanyak RM800,000.00

(termasuk fi untuk kajian semula penilaian aset, sekiranya ada)

Pemerolehan atau skim penstrukturan semula yang mengakibatkan perubahan penting dalam haluan perniagaan termasuk apabila pemerolehan atau penstrukturan semula itu adalah bersama dengan butiran 7 di bawah

RM80,000.00 + 0.05% daripada jumlah nilai pasaran ekuiti atau sekuriti boleh ubah akan diterbitkan dan jika tiada nilai pasaran, nilai nominal, tertakluk kepada amaun maksimum sebanyak RM800,000.00 (termasuk fi untuk kajian semula penilaian aset, sekiranya ada)

Penyatuan dua atau lebih perbadanan tersenarai

RM80,000.00 + 0.05% daripada jumlah nilai pasaran sekuriti yang hendak disenaraikan dan nilai nominal mana-mana sekuriti tambahan diterbitkan atau akan diterbitkan yang tidak tersenarai, tertakluk kepada amaun maksimum sebanyak RM800,000.00

(termasuk fi untuk kajian semula penilaian aset, sekiranya ada)

2.

3.

P.U. (A) 483 7

Cadangan berhubung dengan sekuriti

Fi 4.

Penyenaraian sekunder perbadanan tersenarai asing di Malaysia

RM50,000.00 5.

Penyenaraian silang perbadanan tersenarai di luar Malaysia

RM50,000.00 6.

Suatu perbadanan yang bercadang untuk disenaraikan dengan serentak dalam bursa saham dan bursa saham di luar Malaysia

RM50,000.00 7.

Pemindahan penyenaraian perbadanan tersenarai dalam pasaran alternatif ke pasaran utama bursa saham kecuali apabila pemindahan adalah bersama dengan butiran 2 di atas.

RM40,000.00 + 0.025% daripada jumlah nilai pasaran sekuriti yang hendak disenaraikan dan nilai nominal mana-mana sekuriti tambahan diterbitkan atau akan diterbitkan yang tidak tersenarai, tertakluk kepada amaun maksimum sebanyak RM400,000.00

(termasuk fi untuk kajian semula penilaian aset, sekiranya ada).

8.

Kelulusan pekeliling atau dokumen pengenalan

RM10,000.00 9.

Penubuhan dana tertutup baru

RM10,000.00 + 0.01% daripada modal berbayar 10.

Peningkatan modal berbayar untuk dana tertutup

RM2,000.00 setiap dana 11.

Penyenaraian syarikat awam tidak tersenarai dalam bursa saham di luar

Malaysia

P.U. (A) 483 8

Cadangan berhubung dengan sekuriti

Fi 12.

Pengecualian atau pengubahan daripada kehendak di bawah garis panduan bagi:

Suruhanjaya; atau

RM500.00 setiap pengecualian/pengubahan

RM2,000.00 setiap pengecualian/pengubahan 13.

Lanjutan masa

RM2,000.00 14.

Pengemukaan suatu cadangan yang disemak semula atau permohonan untuk menyemak semula suatu cadangan diluluskan

RM2,000.00 15.

Permohonan lain di bawah subseksyen 212(5)

dan yang ditentukan oleh

Suruhanjaya di bawah subseksyen 212(7)

P.U. (A) 483 9

JADUAL 2

[Peraturan 4]

JADUAL FI BERKENAAN DENGAN PENGAMBILALIHAN, PERCANTUMAN DAN

PENGAMBILAN PAKSA

Perihalan

Kelulusan dokumen tawaran

Nilai tawaran daripada

RM1.00

hingga bilion

+

0.05%

daripada nilai tawaran

(hingga bilion); dan

Apa-apa baki yang melebihi bilion nilai tawaran

0.025%

daripada baki nilai tawaran 2.

Kelulusan pekeliling nasihat bebas

RM5,000.00 3.

Pengecualian daripada obligasi tawaran pengambilalihan mandatori

RM15,000.00 4.

Pengecualian daripada peruntukan Kod selain butiran 3

di atas

RM7,000.00 5.

Arahan

RM7,000.00 6.

Tatacara pengambilan paksa

RM2,000.00 7.

Lanjutan tempoh masa

P.U. (A) 483 10

JADUAL 3

[Perenggan 5(1) (a)]

JADUAL FI BERKENAAN DENGAN PENDAFTARAN PROSPEKTUS DAN DEPOSIT

MEMORANDUM MAKLUMAT

SELAIN BERHUBUNGAN DENGAN SKIM UNIT AMANAH DAN SKIM PELABURAN

DITETAPKAN

No

.

Perihalan

Prospektus

Prospektus ringkas

Prospektus tambahan atau gantian

Prospektus asas

Prospektus asas tambahan atau gantian

Kertas terma

Harga

Tambahan

1. Pendaftaran

RM15,00 0.00

RM8,500.

00

RM6,500.

00

RM7,500.

00

RM3,250.00

00

00

2. Pengecualian atau pengubahan daripada kehendak di bawah garis panduan

RM500.00 setiap pengecualian/pengubahan

3. Deposit memorandum maklumat

P.U. (A) 483 11

JADUAL 4

[Perenggan 5(1)(b)]

JADUAL FI BERKENAAN DENGAN PENDAFTARAN PROSPEKTUS DAN

DEPOSIT MEMORANDUM MAKLUMAT

BERHUBUNGAN DENGAN SKIM UNIT AMANAH DAN SKIM PELABURAN DITETAPKAN

Perihalan

1.

Pendaftaran prospektus untuk skim unit amanah dan skim pelaburan ditetapkan yang baru selain amanah perniagaan

RM3,000.00 + RM100.00 setiap skim

2.

Pendaftaran prospektus untuk amanah perniagaan

RM15,000.00 3.

Pendaftaran prospektus untuk pembaharuan prospektus

RM1,500.00 + RM100.00 setiap skim

4.

Pendaftaran prospektus tambahan atau gantian selain amanah perniagaan

RM1,500.00 + RM100.00 bagi setiap skim

5.

Pendaftaran prospektus tambahan atau gantian untuk amanah perniagaan

RM6,500.00

6.

Deposit memorandum maklumat

7.

Pengecualian atau pengubahan daripada garis panduan

RM500.00 setiap pengecualian atau pengubahan, setiap skim

P.U. (A) 483 12

JADUAL 5

[Peraturan 6]

JADUAL FI BERKENAAN DENGAN AMANAH PERNIAGAAN

Perihalan

Pendaftaran atau pengiktirafan amanah perniagaan

RM3,000.00 2.

Pengemukaan surat ikatan

RM1,000.00 3.

Kelulusan untuk penyenaraian amanah perniagaan

RM30,000.00 + 0.05% daripada permodalan pasaran, tertakluk kepada amaun maksimum sebanyak RM800,000.00 4.

Perolehan atau pelupusan aset yang mengakibatkan suatu perubahan penting dalam haluan perniagaan atau dasar suatu amanah perniagaan tersenarai

RM30,000.00 + 0.05% daripada permodalan pasaran tambahan, tertakluk kepada amaun maksimum sebanyak

5.

Lain-lain penyenaraian atau sebut harga unit dalam suatu amanah perniagaan

RM10,000.00 + 0.05% daripada permodalan pasaran tambahan, tertakluk kepada amaun maksimum sebanyak

RM800,000.

P.U. (A) 483 13

Perihalan

Fi 6.

Pemberikuasaan atau pengiktirafan suatu amanah perniagaan tidak tersenarai

RM30,000.00 + 0.05% daripada harga tawaran unit diterbitkan, tertakluk kepada amaun maksimum sebanyak

7.

Penyenaraian sekunder amanah perniagaan diiktiraf

RM50,000.00 8.

Pengemukaan cadangan yang disemak semula atau permohonan untuk menyemak semula suatu cadangan diluluskan

RM2,000.00 9.

Pengecualian atau pengubahan daripada kehendak di bawah garis panduan

RM500.00 setiap pengecualian/pengubahan 10.

Lanjutan masa bagi pematuhan garis panduan atau syarat kelulusan, pemberikuasaan atau pengiktirafan

Suruhanjaya setiap permohonan 11.

Penyerahsimpanan dokumen

RM100.00 setiap dokumen 12.

Kelulusan pekeliling

RM10,000.00 13.

Permohonan berkenaan dengan aktiviti dalam talian, permohonan untuk penarikan awal moratorium dan permohonan lain yang ditentukan oleh Suruhanjaya di bawah subseksyen 212(7)

P.U. (A) 483 14

JADUAL 6

[Peraturan 7]

JADUAL FI BERKENAAN DENGAN DEBENTUR DAN SUKUK

Jenis permohonan

Nilai nominal sekuriti diterbitkan

Kurang daripada RM50 juta

RM50 juta hingga kurang daripada RM100 juta

RM100 juta dan lebih

(b)

Terbitan debentur berdenominasi ringgit dan sukuk yang tidak boleh diniagakan dan tidak boleh dipindah milik dalam suatu asas tawaran persendirian

RM100,000.00 2.

Terbitan debentur berdenominasi mata wang asing dan sukuk

-

RM10,000.00 3.

Terbitan produk berstruktur

Kurang daripada RM50 juta

RM50 juta hingga kurang daripada RM100 juta

RM100 juta dan lebih

RM50,000.00 4.

Terbitan sekuriti berasaskan aset

Kurang daripada RM100 juta

RM100 juta dan lebih

RM100,000.00

5.

Lanjutan tempoh masa

-

RM2,000.00 setiap permohonan 6.

Penyemakan terma

-

RM2,000.00 setiap permohonan

P.U. (A) 483 15

Jenis permohonan

Nilai nominal sekuriti diterbitkan

Fi 7.

Pengecualian atau pengubahan daripada kehendak di bawah garis panduan bagi:

Suruhanjaya; atau

-

RM500.00 setiap pengecualian/

pengubahan

RM2,000.00 setiap pengecualian/

pengubahan 8.

Fi pemfailan:

memorandum maklumat atau pekeliling tawaran atau surat ikatan amanah

-

RM500.00 9.

Notis menurut penawaran produk berstruktur

-

RM100.00 setiap notis yang difailkan

10. Permohonan lain yang ditentukan oleh

Suruhanjaya di bawah subseksyen 212(7)

-

P.U. (A) 483 16

JADUAL 7

[Peraturan 8]

JADUAL FI BERKENAAN DENGAN SKIM UNIT AMANAH DAN SKIM

PELABURANDITETAPKAN SELAIN AMANAH PERNIAGAAN

Perihalan

Pengemukaan surat ikatan (untuk skim tersenarai )

RM3,000.00 + RM100.00 setiap skim tersenarai 2.

Pendaftaran surat ikatan

RM1,500.00 + RM100.00 setiap skim

3.

Pengemukaan surat ikatan tambahan (untuk skim tersenarai )

RM1,000.00 4.

Pendaftaran surat ikatan tambahan

RM1,000.00 5.

Kelulusan syarikat pengurusan (tidak terpakai bagi pemegang Lesen Perkhidmatan Pasaran Modal yang dikeluarkan di bawah Akta)

RM2,000.00 6.

Penyerahsimpanan dokumen

RM100.00 setiap dokumen 7.

Penubuhan skim atau pengiktirafan skim asing

(tidak termasuk amanah pelaburan hartanah dan dana dagangan bursa)

RM5,000.00 setiap skim yang tidak tersenarai atau RM10,000.00 +

0.01%

daripada permodalan pasaran bagi setiap skim yang dicadangkan untuk disenaraikan, tertakluk kepada amaun maksimum sebanyak

P.U. (A) 483 17

Perihalan

Fi 8.

Penubuhan amanah pelaburan hartanah

RM10,000.00 + 0.01% daripada permodalan pasaran atau harga tawaran bagi unit yang hendak diterbitkan dalam suatu amanah pelaburan hartanah tersenarai, tertakluk kepada amaun maksimum sebanyak

9.

Pengiktirafan amanah pelaburan hartanah asing

RM10,000.00 setiap skim yang tidak tersenarai 10.

Penubuhan dana dagangan bursa

11.

Pengiktirafan dana dagangan bursa asing

RM10,000.00 setiap skim 12.

Peningkatan had saiz skim

RM2,000.00 setiap skim

13.

Pengecualian atau perubahan daripada garis panduan setiap pengecualian atau perubahan bagi setiap skim

14.

Lanjutan tempoh masa daripada pematuhan garis panduan atau syarat kelulusan, pemberikuasaan, pendaftaran atau pengiktirafan Suruhanjaya

RM1,000.00 setiap lanjutan bagi setiap skim 15.

Penstrukturan semula syarikat pengurusan (tidak terpakai bagi pemegang

Lesen

Perkhidmatan

Pasaran Modal yang dikeluarkan di bawah Akta)

RM2,000.00 setiap permohonan 16.

Pelantikan wakil pengurusan dana yang tidak dilesenkan oleh Suruhanjaya

RM2,500.00

P.U. (A) 483 18

Perihalan

Fi 17.

Pengemukaan cadangan yang disemak semula atau permohonan untuk menyemak semula cadangan yang diluluskan

10% daripada fi yang kena dibayar untuk cadangan asal selain peratusan yang dicaj berkenaan dengan permodalan pasaran 18.

Penyenaraian sekunder skim tersenarai asing

RM10,000.00 19.

Kelulusan pemegang amanah

Tiada

20.

Pendaftaran atau pendaftaran semula pemegang amanah

RM1,000.00 21.

Pendaftaran atau pendaftaran semula ahli jawatankuasa Shariah atau penasihat Shariah skim

Tiada 22.

Permohonan lain yang ditentukan oleh Suruhanjaya di bawah subseksyen 212(7)

JADUAL 8

[Peraturan 9]

JADUAL FI BERKENAAN DENGAN PENILAIAN ASET

Perihalan

Kajian semula penilaian aset

RM3,000.00 + 0.01% daripada nilai pasaran* tertakluk kepada amaun maksimum sebanyak RM100,000.00 2.

Memproses permohonan pengecualian daripada garis panduan

*Berdasarkan jumlah nilai pasaran semua aset yang terlibat dalam setiap pengemukaan atau permohonan.

P.U. (A) 483 19

JADUAL 9

[Peraturan 10]

JADUAL FI BERKENAAN DENGAN HELAIAN MAKLUMAT PENTING PRODUK

Perihalan

Deposit penawaran dokumen

2.

Penyerahsimpanan helaian maklumat penting produk bagi penyerahsimpanan permulaan

RM100.00 bagi penyerahsimpanan setiap gentian

JADUAL 10

[Subperaturan 11(1)]

JADUAL FI BERKENAAN DENGAN PENARIKAN BALIK, PENGEMBALIAN DAN

PENOLAKAN PERMOHONAN ATAU PENGEMUKAAN SELAIN YANG DIBUAT DI BAWAH

SUBPERATURAN 11(2)

Perihalan

Bahagian tetap

Bahagian tidak tetap 1.

Ditarik balik sebelum Suruhanjaya memulakan kerja

Amaun sepenuhnya dikekalkan

Amaun sepenuhnya dibayar balik 2.

Ditarik balik selepas Suruhanjaya telah memulakan kerja

Amaun sepenuhnya dikekalkan tertakluk kepada amaun maksimum sebanyak

RM200,000.00 3.

Dipulangkan oleh Suruhanjaya 4.

Penolakan oleh Suruhanjaya untuk meluluskan permohonan

P.U. (A) 483 20

JADUAL 11

[Subperaturan 11(2)]

JADUAL FI BERKENAAN DENGAN PENARIKAN BALIK, PENGEMBALIAN DAN

PENOLAKAN UNTUK MELULUSKAN PERMOHONAN ATAU PENGEMUKAAN UNTUK

UNIT SKIM AMANAH DAN SKIM PELABURAN DITETAPKAN SELAIN AMANAH

PERNIAGAAN

Perihalan

Bahagian tetap

Bahagian tidak tetap 1.

Ditarik balik sebelum

Suruhanjaya memulakan kerja 25% daripada bahagian tetap dikekalkan;

selebihnya dibayar balik

Amaun sepenuhnya dibayar balik 2.

Ditarik balik selepas

Suruhanjaya telah memulakan kerja

Amaun sepenuhnya dikekalkan

Amaun sepenuhnya dibayar balik 3.

Dipulangkan oleh Suruhanjaya 25% daripada bahagian tetap dikekalkan;

selebihnya dibayar balik

Amaun sepenuhnya dibayar balik 4.

Penolakan oleh

Suruhanjaya untuk meluluskan permohonan

Amaun sepenuhnya dikekalkan

Amaun sepenuhnya dibayar balik

Dibuat 24 Disember 2012

[SC/RS(A&R)/FEES.5/11(023)-1D; PN(PU2) 662/VIII]

RANJIT AJIT SINGH

Pengerusi Suruhanjaya Sekuriti

Diluluskan 27 Disember 2012

[KK/BPKA/K1/(S)/483/128/1/1 Jld.8; PN(PU2) 662/VIII ]

DATO’ SERI AHMAD HUSNI MOHAMAD HANADZLAH

Menteri Kewangan Kedua

P.U. (A) 483 21

CAPITAL MARKETS AND SERVICES ACT 2007

CAPITAL MARKETS AND SERVICES (FEES) REGULATIONS 2012

IN exercise of the powers conferred by paragraph 378(2)(b) of the Capital Markets and

Services Act 2007 [Act 671], the Commission, with the approval of the Minister, makes the following regulations:

Citation and commencement 1.

(1)

These regulations may be cited as the Capital Markets and Services

(Fees) Regulations 2012.

(2)

These Regulations come into operation on 28 December 2012.

Interpretation 2.

In these Regulations―

“Code” means the Malaysian Code on Take-Overs and Mergers 2010

[P.U. (B) 538/2010];

“prospectus” has the same meaning assigned to it in section 226 of the Act and includes a disclosure document under paragraph 212(5)(b) of the Act.

Fees in respect of proposals in relation to securities other than debentures, sukuk, unit trust schemes and prescribed investment schemes 3.

The fees payable in respect of Division 1A of Part VI of the Act other than in relation to debentures, sukuk, unit trust schemes and prescribed investment schemes shall be in such amount as is specified in Schedule 1.

Fees in respect of take-overs, mergers and compulsory acquisitions 4.

The fees payable in respect of Division 2 of Part VI of the Act shall be in such amount as is specified in Schedule 2.

P.U. (A) 483 22

Fees in respect of prospectus 5.

(1)

The fees payable in respect of paragraph 212(5)(b) and Division 3 of Part

VI of the Act shall be in such amount as is specified in―

(2)

The fees referred to in subregulation (1) in respect of prospectus shall be payable whether or not the Commission registers the prospectus.

Fees in respect of business trust 6.

The fees payable in respect of Divisions 1A, 3A and 3B of Part VI of the Act, other than the registration of prospectus and deposit of information memorandum document, shall be in such amount as is specified in Schedule 5.

Fees in respect of debentures and sukuk 7.

The fees payable in respect of Divisions 1A, 3A and 4 of Part VI of the Act shall be in such amount as is specified in Schedule 6.

Fees in respect of unit trust schemes and prescribed investment schemes 8.

The fees payable in respect of Divisions 1A, 3A and 5 of Part VI of the Act other than business trust shall be in such amount as is specified in Schedule 7.

Fees in respect of proposals involving asset valuations 9.

The fees payable in respect of any proposal involving asset valuation shall be in such amount as is specified in Schedule 8.

P.U. (A) 483 23

Fees in respect of deposit of offering document and lodgement of product highlights sheet 10.

The fees payable in respect of the deposit of offering document and lodgement of product highlights sheet specified by the Commission shall be in such amount as is specified in Schedule 9.

Withdrawal, return, refusal and review of Commission’s decision 11.

(1)

For capital market products other than those mentioned in subregulation (2), the fees payable and refundable in respect of the withdrawal, return of, or refusal to approve, authorize, register or recognize, any application or submission to the Commission shall be in such amount as is specified in Schedule 10.

(2)

For unit trust schemes and prescribed investment schemes other than business trusts, the fees payable and refundable in respect of the withdrawal, return of, or refusal to approve, authorize, register or recognize, any application or submission to the Commission shall be in such amount as is specified in Schedule 11.

(3)

Where an application is made for the review of the Commission’s decision, no fees shall be payable for such application.

Fees for acts of Commission 12.

(1)

The fees payable to the Commission under these Regulations in respect of the deposit or lodgement of a document with, or the registration of a document by, the

Commission or in respect of any application for approval, authorization, registration or recognition shall be paid at the time the document is delivered to the Commission for deposit, lodgement or registration or at the time the application for approval, authorization, registration or recognition is submitted to the Commission.

(2)

Where a fee is payable under these Regulations for or in respect of the deposit or lodgement of a document with or the registration of a document by the

Commission or in respect of any application for approval, authorization, registration or recognition and the document submitted for deposit, lodgement or registration or the application for approval, authorization, registration or recognition is submitted without

P.U. (A) 483 24

the payment of the fee, the document shall be deemed not to have been deposited or lodged with or submitted for registration or the application shall be deemed not to have been submitted until the fee has been paid.

Revocation 13.

The Capital Markets and Services (Fees) Regulations 2011 [P.U. (A) 88/2011] are revoked.

P.U. (A) 483 25

SCHEDULE 1

[Regulation 3]

SCHEDULE OF FEES IN RESPECT OF PROPOSALS IN RELATION TO SECURITIES

OTHER THAN DEBENTURES, UNIT TRUST SCHEMES AND PRESCRIBED INVESTMENT

SCHEMES

Proposal in relation to securities

Fees 1.

Initial public offering

RM80,000.00 + 0.05% of the total market value of securities to be listed and nominal value of any additional securities issued or to be issued but not listed, subject to maximum of RM800,000.00 (inclusive of fees for review of asset valuation, if any)

2.

Acquisition or restructuring scheme resulting in significant change in business direction including where such acquisition or restructuring is in conjunction with item 7 below

RM80,000.00 + 0.05% of the total market value of equity or convertible securities to be issued and where market value is not available, the nominal value, subject to maximum of RM800,000.00 (inclusive of fees for review of asset valuation, if any)

3.

Amalgamation of two or more listed corporations

RM80,000.00 + 0.05% of the total market value of securities to be listed and nominal value of any additional securities issued or to be issued but not listed, subject to maximum of RM800,000.00 (inclusive of fees for review of asset valuation, if any)

4.

Secondary listing of foreign listed corporation in Malaysia

RM50,000.00 5.

Cross listing outside Malaysia of a listed corporation

P.U. (A) 483 26

Proposal in relation to securities

Fees 6.

A corporation that is proposing concurrently to list on the stock exchange and an exchange outside Malaysia

RM50,000.00 7.

Transfer of listing of corporation listed on alternative market to main market of the stock exchange except where the transfer is in conjunction with item 2 above

RM40,000.00 + 0.025% of the total market value of securities to be listed and nominal value of any additional securities issued or to be issued but not listed, subject to maximum of RM400,000.00 (inclusive of fees for review of asset valuation, if any).

8.

Clearance of circular or introductory document

RM10,000.00 9.

Establishment of new closed-end fund

RM10,000.00 + 0.01% of paid-up capital 10.

Increase in paid-up capital for closed-end fund

RM2,000.00 per fund 11.

Listing of a unlisted public company on an exchange outside

Malaysia

RM10,000.00 12.

Exemption or variation from requirements under the guidelines on:

Commission; or

RM500.00 per exemption/variation

RM2,000.00 per exemption/variation

P.U. (A) 483 27

Proposal in relation to securities

Fees 13.

Extension of time

RM2,000.00 14.

Submission of a revised proposal or application to revise an approved proposal

RM2,000.00 15.

Other applications under subsection 212(5)

and as specified by the

Commission under subsection 212(7)

SCHEDULE 2

[Regulation 4]

SCHEDULE OF FEES IN RESPECT OF TAKE-OVERS, MERGERS AND

COMPULSORY ACQUISITIONS

Description

Fees

1.

Clearance of offer document

Offer value from

RM 1.00 to RM2.98

billion

RM10,000.00 +

0.05 % of offer value (up to

RM2.98 billion);

and

Any remaining sum above offer value of

RM2.98 billion

0.025%

of the remaining offer value

P.U. (A) 483 28

SCHEDULE 3

[Paragraph 5(1)(a)]

SCHEDULE OF FEES IN RESPECT OF REGISTRATION OF PROSPECTUS AND DEPOSIT OF

INFORMATION MEMORANDUM OTHER THAN IN RELATION TO UNIT TRUST SCHEME

AND PRESCRIBED INVESTMENT SCHEME

No

Description

Prospectus

Abridged prospectus

Supplementary or replacement prospectus

Base prospectus

Supplementary or replacement base prospectus

Term sheet

Pricing supple-ments 1.

Registration

RM15,000.

00

RM8,500.

00

RM6,500.

00

RM7,500.

00

RM3,250.

00

00

00 2.

Exemption or variation from requirements under the guidelines

RM500.00 per exemption/variation

3.

Deposit of information memorandum

2.

Clearance of independent advice circular

RM5,000.00 3.

Exemption from mandatory take-over offer obligation

RM15,000.00 4.

Exemption from provisions of the

Code other than for item 3 above

RM7,000.00 5.

Ruling

RM7,000.00 6.

Procedure for compulsory acquisition

RM2,000.00 7.

Extension of time

P.U. (A) 483 29

SCHEDULE 4

[Paragraph 5(1)(b)]

SCHEDULE OF FEES IN RESPECT OF REGISTRATION OF PROSPECTUS AND DEPOSIT OF

INFORMATION MEMORANDUM IN RELATION TO UNIT TRUST SCHEME AND

PRESCRIBED INVESTMENT SCHEME

Description

Fees 1.

Registration of prospectus for new unit trust scheme and prescribed investment scheme other than business trust

RM3,000.00

+

per scheme

2.

Registration of prospectus for business trust

RM15,000.00 3.

Registration of prospectus for renewal of prospectus

+

per scheme

4.

Registration of supplementary or replacement prospectus other than business trust

+

per scheme

5.

Registration of supplementary or replacement prospectus for business trust

RM6,500.00 6.

Deposit of information memorandum

RM500.00 7.

Exemption or variation from guidelines

RM500.00 per exemption or variation, per scheme

P.U. (A) 483 30

SCHEDULE 5

[Regulation 6]

SCHEDULE OF FEES IN RESPECT OF BUSINESS TRUST

Description

Fees 1.

Registration or recognition of business trust

RM3,000.00

2.

Submission of supplementary deed

3.

Approval for the listing of a business trust

RM30,000.00 + 0.05% of market capitalisation, subject to a maximum of RM800,000.00 4.

Acquisition or disposal of assets which results in a significant change in business direction or policy of a listed business trust

RM30,000.00 + 0.05% of additional market capitalisation, subject to a maximum of RM800,000.00

5.

Other listing and quotation of units in a business trust

RM10,000.00 + 0.05% of additional market capitalisation, subject to a maximum of RM800,000.00

6.

Authorisation or recognition of unlisted business trust

RM30,000.00 + 0.05% of the offer price of the units to be issued, subject to a maximum of

7.

Secondary listing of recognised business trust

RM50,000.00 8.

Submission of a revised proposal or application to revise an approved proposal

P.U. (A) 483 31

Description

Fees 9.

Exemption or variation from requirements under the guidelines

RM500.00 per exemption/variation 10.

Extension of time from compliance with guidelines or the Commission's condition of approval, authorization or recognition

RM2,000.00 per application 11.

Lodgement of documents

RM100.00 per document 12.

Clearance of circular

RM10,000.00 13.

Application in respect of online activities, application for early lifting of moratorium, and other applications as specified by the Commission under subsection 212(7)

P.U. (A) 483 32

SCHEDULE 6

[Regulation 7]

SCHEDULE OF FEES IN RESPECT OF DEBENTURES AND SUKUK

Types of application

Nominal value of securities to be issued

Fees 1.

(a)

Issue of ringgit-denominated debentures and sukuk

Less than RM50 million

RM50 million to less than

RM100 million

RM100 million and more

(b)

Issue of ringgit-denominated debentures and sukuk that are non-tradable and non-transferable on a private placement basis

RM100,000 2.

Issue of foreign currency denominated debentures and sukuk

-

RM10,000.00 3.

Issue of structured products

Less than RM50 million

RM50 million to less than

RM100 million

RM100 million and more

RM50,000.00 4.

Issue of asset-backed securities

Less than RM100 million

RM100 million and more

RM100,000.00 5.

Extension of time

-

RM2,000.00 per application 6.

Revision of terms

RM2,000.00 per application

P.U. (A) 483 33

Types of application

Nominal value of securities to be issued

Fees 7.

Exemption or variation from requirements under the guidelines on:

RM500.00 per exemption/variation

RM2,000.00 per exemption/variation 8.

Filing fees:

information memorandum or offering circular or trust deed

-

RM500.00 9.

Notices pursuant to offering of structured products

-

RM100.00 per notice filed

10. Other applications as specified by the

Commission under subsection 212(7)

P.U. (A) 483 34

SCHEDULE 7

[Regulation 8]

SCHEDULE OF FEES IN RESPECT OF UNIT TRUST SCHEME AND PRESCRIBED

INVESTMENT SCHEME OTHER THAN BUSINESS TRUST

Description

Fees 1.

Submission of deed (for listed schemes)

RM3,000.00 + RM100.00 per listed scheme

2.

Registration of deed

+

per scheme

3.

Submission of supplementary deed

(for listed schemes)

RM1,000.00 4.

Registration of supplementary deed

RM1,000.00 5.

Approval of management company (not applicable to holders of Capital Markets

Services Licenses issued under the Act)

RM2,000.00 6.

Lodgement of documents

RM100.00 per document 7.

Establishment of scheme or recognition of foreign scheme (excluding real estate investment trust and exchange-traded fund)

RM5,000.00 per unlisted scheme; or

RM10,000.00 + 0.01% of market capitalisation per scheme that is proposed to be listed, subject to a maximum of RM800,000.00

8.

Establishment of real estate investment trust

RM10,000.00 + 0.01% of market capitalisation or offer price of the

P.U. (A) 483 35

Description

Fees units to be issued in an listed real estate investment trust, subject to a maximum of RM800,000.00

9.

Recognition of foreign real estate investment trust

RM10,000.00 per unlisted scheme 10.

Establishment of exchange traded fund

11.

Recognition of foreign exchange traded fund

RM10,000.00 per unlisted scheme 12.

Increase in scheme size limit

RM2,000.00 per listed scheme 13.

Exemption or variation from guidelines per exemption or variation, per scheme 14.

Extension of time from compliance with guidelines or the Commission's condition of approval, authorization, registration or recognition per extension per scheme 15.

Restructuring of management company

(not applicable to holders of Capital

Markets Services Licenses issued under the Act)

RM2,000.00 per application 16.

Appointment of fund management delegate not licensed by Commission

RM2,500.00 17.

Submission of a revised proposal or application to revise an approved proposal 10% of the fees payable for the original proposal other than the percentage charged in respect of market capitalisation

18.

Secondary listing of foreign listed schemes

P.U. (A) 483 36

Description

Fees 19.

Approval of trustee

None 20.

Registration or re-registration of trustee

RM1,000.00 21.

Registration or re-registration of Shariah committee member or Shariah adviser of the scheme

None 22.

Other applications as specified by the

Commission under subsection 212(7)

SCHEDULE 8

[Regulation 9]

SCHEDULE OF FEES IN RESPECT OF ASSET VALUATIONS

Description

Fees 1.

Review of asset valuation

RM3,000.00 + 0.01% of market value*

Subject to a maximum amount of

RM100,000.00

2.

Processing waiver application from guidelines

* Based on the total market value of all the assets involved in each submission or application.

P.U. (A) 483 37

SCHEDULE 9

[Regulation 10]

SCHEDULE OF FEES IN RESPECT OF OFFERING DOCUMENT AND PRODUCT

HIGHLIGHTS SHEET

Description

Fees 1.

Deposit of offering document

RM500.00 2.

Lodgement of product highlights sheet

RM500.00 for initial lodgement

RM100.00 for lodgement of each replacement

SCHEDULE 10

[Subregulation 11(1)]

SCHEDULE OF FEES IN RESPECT OF WITHDRAWAL, RETURN AND REFUSAL TO

APPROVE APPLICATIONS OR SUBMISSIONS OTHER THAN THOSE MADE UNDER

SUBREGULATION 11(2)

Description

Fees

Fixed portion

Variable portion 1.

Withdrawn before the Commission has commenced work

Full amount is retained

Full amount is refundable 2.

Withdrawn after the Commission has commenced work

Full amount is retained subject to a maximum of

RM200,000.00 3.

Returned by the Commission 4.

Refusal by the Commission to approve applications

P.U. (A) 483 38

SCHEDULE 11

[Subregulation 11(2)]

SCHEDULE OF FEES IN RESPECT OF WITHDRAWAL, RETURN AND REFUSAL TO

APPROVE APPLICATIONS OR SUBMISSIONS FOR UNIT TRUST SCHEMES AND

PRESCRIBED INVESTMENT SCHEMES OTHER THAN BUSINESS TRUSTS

Description

Fees

Fixed portion

Variable portion 1.

Withdrawn before the Commission has commenced work 25%

of the fixed portion is retained;

the remainder is refundable

Full amount is refundable 2.

Withdrawn after the Commission has commenced work

Full amount is retained

Full amount is refundable 3.

Returned by the Commission 25%

of the fixed portion is retained;

the remainder is refundable

Full amount is refundable 4.

Refusal by the Commission to approve applications

Full amount is retained

Full amount is refundable

Made 24 December 2012

[SC/RS(A&R)/FEES.5/11(023)-1D;PN(PU2)662/VIII]

RANJIT AJIT SINGH

Chairman Securities Commission

Approved 27 December 2012

[KK/BPKA/K1/(S)/483/128/1/1 Jld.8; PN(PU2)662/VIII]

DATO’ SERI AHMAD HUSNI MOHAMAD HANADZLAH

Second Minister of Finance