PERATURAN-PERATURAN PASARAN MODAL DAN PERKHIDMATAN (INDUSTRI SKIM PERSARAAN SWASTA) (FI) 2012

“kumpulan wang ” ertinya apa-apa kumpulan wang dalam suatu skim persaraan swasta;

“dokumen penzahiran” ertinya apa-apa dokumen yang dikeluarkan oleh penyedia skim persaraan swasta yang mempelawa caruman kepada skim persaraan swasta itu;

“surat ikatan” ertinya apa-apa surat ikatan yang mewujudkan amanah yang mengawal penubuhan dan operasi suatu skim persaraan swasta dan kumpulan wang dalam skim persaraan swasta itu dan termasuk apa-apa surat ikatan tambahan.

IIIA Akta dan Peraturan-Peraturan Pasaran Modal dan Perkhidmatan (Industri Skim

Persaraan Swasta) 2012 [P.U. (A) 77/2012] adalah sebagaimana yang dinyatakan dalam

Jadual.

P.U. (A) 211 3

Suruhanjaya boleh menepikan fi tahunan untuk skim persaraan swasta bagi tempoh tiga tahun dari tarikh kuat kuasa Peraturan-Peraturan ini.

JADUAL

[Peraturan 3]

Perihalan

Fi 1.

Penubuhan skim persaraan swasta setiap skim persaraan swasta + RM5,000.00

setiap kumpulan wang 2.

Kebenaran untuk kumpulan wang tambahan di bawah skim persaraan swasta yang diluluskan

RM5,000.00 setiap kumpulan wang 3.

Fi tahunan untuk skim persaraan swasta setiap skim persaraan swasta 4.

Pendaftaran surat ikatan

RM1,500.00 + RM100.00 setiap kumpulan wang 5.

Pendaftaran surat ikatan tambahan

RM1,000.00 6.

Pendaftaran dokumen penzahiran

RM5,000.00 + RM500.00 setiap kumpulan wang 7.

Pendaftaran dokumen penzahiran tambahan

RM2,500.00 + RM100.00 setiap kumpulan wang 8.

Pendaftaran dokumen penzahiran gantian

RM2,500.00 + RM100.00 setiap kumpulan wang 9.

Pendaftaran pemegang amanah skim

RM5,000.00 setiap orang 10.

Pendaftaran pemegang amanah majikan

RM1,000.00 setiap orang 11.

Pembaharuan pendaftaran pemegang amanah skim

RM2,500.00 setiap orang 12.

Pembaharuan pendaftaran pemegang

RM1,000.00 setiap orang

P.U. (A) 211 5

Perihalan

Fi amanah majikan 13.

Pelantikan wakil yang tidak dilesenkan oleh Suruhanjaya oleh penyedia skim persaraan swasta

RM2,500.00 setiap wakil 14.

Pelantikan penasihat

RM2,500.00 setiap kumpulan wang 15.

Pengecualian atau perubahan daripada garis panduan

RM500.00 setiap pengecualian atau perubahan bagi setiap kumpulan wang 16.

Lanjutan tempoh masa daripada pematuhan garis panduan atau terma dan syarat kelulusan Suruhanjaya

RM1,000.00 setiap permohonan bagi setiap kumpulan wang 17.

Penyerahsimpanan dokumen

RM100.00 setiap dokumen 18.

Permohonan untuk menyediakan satu atau mana-mana gabungan kemudahan yang berikut:

RM1,000.00 setiap permohonan 19.

Permohonan untuk mengubah nama skim persaraan swasta atau kumpulan wang

RM1,000.00 setiap permohonan

P.U. (A) 211 6

Dibuat 11 Julai 2012

[SC/RS(A&R)/PENSION FUND.4/12(085-1C); PN(PU2)662/VII]

DATUK RANJIT AJIT SINGH

Pengerusi

Suruhanjaya Sekuriti

Diluluskan

DATO’ SERI AHMAD HUSNI MOHAMAD HANADZLAH

Menteri Kewangan Kedua

P.U. (A) 211 7

CAPITAL MARKETS AND SERVICES ACT 2007

CAPITAL MARKETS AND SERVICES (PRIVATE RETIREMENT SCHEME INDUSTRY)

(FEES) REGULATIONS 2012

IN exercise of the powers conferred by sections 139ZI and 139ZJ 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

(Private Retirement Scheme Industry) (Fees) Regulations 2012.

(2)

These Regulations come into operation on 12 July 2012.

Interpretation 2.

In these Regulations—

“deed” means any deed which creates a trust governing the establishment and operation of a private retirement scheme and funds in the private retirement scheme and includes any supplementary deed;

“disclosure document” means any document which is issued by a private retirement scheme provider inviting contributions to the private retirement scheme;

“fund” means any fund in a private retirement scheme.

Fees payable 3.

Subject to regulation 6, the fees payable in respect of Part IIIA of the Act and

Capital Markets and Services (Private Retirement Scheme Industry) Regulations 2012

[P.U. (A) 77/2012] shall be as specified in the Schedule.

P.U. (A) 211 8

Fees for acts of Commission 4.

(1)

The fees payable to the Commission under these Regulations in respect of the registration of a document by, or the lodgment of a document with the Commission or in respect of any application shall be paid at the time the document is delivered to the

Commission for registration or lodgment or at the time the application is submitted to the Commission.

(2)

Where a fee is payable under these Regulations for or in respect of the registration of a document by, or the lodgment of a document with the Commission or in respect of any application and the document submitted for registration or lodgment or the application is submitted without the payment of the fee, the document shall be deemed not to have been submitted for registration or lodged or the application shall be deemed not to have been submitted until the fee has been paid.

Withdrawal, refusal and review of Commission’s decision 5.

(1)

Where any application or registration is withdrawn—

(a)

before the Commission has commenced work on the application or registration, the full amount of fees paid in respect of that application or registration is refundable by the Commission; or

(b)

where the Commission has commenced work on the application or registration, the full amount of fees payable in respect of that application or registration shall be payable to the Commission.

(2)

Where an application or registration is refused or returned by the

Commission, the full amount of fees prescribed under these Regulations shall be payable to the Commission.

(3)

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

P.U. (A) 211 9

Waiver of annual fee for private retirement scheme 6.

The Commission may waive the annual fee for a private retirement scheme for a period of three years from the date of coming into operation of these Regulations.

[Regulation 3]

Description

Fee 1.

Establishment of a private retirement scheme per private retirement scheme + RM5,000.00

per fund 2.

Authorisation of additional funds under an approved private retirement scheme

RM5,000.00 per fund 3.

Annual fee for private retirement scheme per private retirement scheme 4.

Registration of deed

RM1,500.00 + RM100.00 per fund 5.

Registration of supplementary deed

RM1,000.00 6.

Registration of disclosure document

RM5,000.00 + RM500.00 per fund 7.

Registration of supplementary disclosure document

RM2,500.00 + RM100.00 per fund 8.

Registration of replacement disclosure document

RM2,500.00 + 100.00 per fund 9.

Registration of scheme trustee

RM5,000.00 per person 10.

Registration of employer trustee

RM1,000.00 per person 11.

Renewal of registration of scheme trustee

RM2,500.00 per person 12.

Renewal of registration of employer trustee

RM1,000.00 per person 13.

Appointment of delegate which is not licensed by the Commission by the private retirement scheme provider

RM2,500.00 per delegate 14.

Appointment of adviser

RM2,500.00 per fund 15.

Exemption or variation from guidelines

RM500.00

per exemption or

P.U. (A) 211 10

Description

Fee variation for each fund 16.

Extension of time in complying with guidelines or the Commission’s terms and conditions of approval

RM1,000.00 per application for each fund 17.

Lodgment of document

RM100.00 per document 18.

Application to provide one or any combination of the following facilities:

RM1,000.00 per application 19.

Application to change the name of private retirement scheme or fund

RM1,000.00 per application

Made 11 July 2012

[SC/RS(A&R)/PENSION FUND.4/12(085-1C); PN(PU2)662/VII]

DATUK RANJIT AJIT SINGH

Chairman

Securities Commission

Approved

DATO’ SERI AHMAD HUSNI MOHAMAD HANADZLAH

Second Minister of Finance