TMI BlogSecurities and Exchange Board of India (Payment of Fees) (Amendment) Regulations, 2014X X X X Extracts X X X X X X X X Extracts X X X X ..... ange Board of India (Alternative Investment Funds) Regulations, 2012, in the Second Schedule, Part A shall be substituted with the following, namely,- PART A AMOUNT TO BE PAID AS FEES Application fee Rs.1,00,000 Registration fee for Category I Alternative Investment Funds other than Angel Funds ₹ 5,00,000 Registration fee for Category II Alternative Investment Funds ₹ 10,00,000 Registration fee for Category III Alternative Investment Funds ₹ 15,00,000 Scheme Fee for Alternative Investment Funds other than Angel Funds ₹ 1,00,000 Re-registration Fee ₹ 1,00,000 Registration fees for Angel Funds ₹ 2,00,000 Amendment to the Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994. 3. In the Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994, in Schedule II,- (i) in paragraph 1, for the words thirte ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... ations 3, 7, 8, 8A, 16, 20, 20A) ; b. in Part A,- I. in the heading, after the words REGISTRATION FEES and before the words AND ANNUAL FEES , the words and symbol , ANNUAL CHARGE shall be inserted; II. in the first head, for the figure 50,000 the figure 5,00,000 shall be substituted; III. in the second head, for the figure 5,000 the figure 15,000 shall be substituted; IV. in the third head, for the figure 25,00,000 the figure 1,00,00,000 shall be substituted; V. in the fourth head, for the figure 1,00,000 the figure 2,00,000 shall be substituted; VI. in the fifth head, for the figure 10,00,000 the figure 50,00,000 shall be substituted; VII. after the sixth head, the following head shall be inserted, namely,- Annual charges payable by depository(Rs.) 2% of annual custody charges collected by depository from issuers c. in Part B, in the heading, after the word REGISTRATION and before the words AND ANNUAL FEES , the words and symbol , ANNUAL CHARGE shall be inserted. Amendment to the Securities and Exchange Board of India (Issue and Listing of Debt Securities) Regulations, 2 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... urities and Exchange Board of India (Issue and Listing of Non-convertible Redeemable Preference Shares) Regulations, 2013,- (i) in regulation 6, in sub-regulation (6), after the words and symbol forwarded to the Board for its records, and before the words simultaneously with , the words and figures along with fees as specified in Schedule III shall be inserted; (ii) in regulation 17,- (a) in sub-regulation (1), after clause (f), the following clause shall be inserted, namely,- (g) Where the application is made to more than one recognized stock exchange, the issuer shall choose one of them as the designated stock exchange. ; (b) after sub- regulation (2), the following sub-regulation shall be inserted, namely,- (3) The designated stock exchange shall collect a regulatory fee as specified in Schedule III from the issuer at the time of listing of non-convertible redeemable preference shares issued on private placement basis. ; (iii) after Schedule II, the following Schedule shall be inserted, namely:- SCHEDULE III [See Regulations 6(6) and 17] REGULATORY FEES (1) There shall be charged, in respect of every draft offer document filed by a ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... flat charge of fifty thousand rupees (Rs. 50,000/-). More than ten crore rupees 0.05 per cent. of the issue size. Amendment to the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013. 11. In the Securities and Exchange Board of India (Investment Advisers) Regulations, 2013, the Second Schedule shall be substituted with the following,- SECOND SCHEDULE Securities and Exchange Board of India (Investment Advisers) Regulations, 2013 [See Regulation 9] FEES 1. Every applicant shall pay non-refundable application fees along with the application for grant or renewal of certificate of registration as under: a. For individuals and firms ₹ 5,000 b. For Body Corporate including Limited Liability Partnerships ₹ 25,000 2. Every applicant shall pay registration/renewal fee at the time of grant or renewal of certificate by the Board as under: a. for individuals and firms ₹ 10,000 ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... rds ten thousand rupees and a maximum of twenty five thousand rupees , the words one lakh rupees and a maximum of five lakh rupees shall be substituted. Amendment to the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993. 15. In the Securities and Exchange Board of India (Registrars to an Issue and Share Transfer Agents) Regulations, 1993, in Schedule II,- (i) in paragraph 1,- (a) in clause (a), for the word four the word six shall be substituted; (b) in clause (b), for the words one lakh thirty three thousand and three hundred the words two lakh shall be substituted. (ii) in paragraph 1AA,- (a) in clause (a), for the words one lakh and fifty the words two lakh and seventy shall be substituted; (b) in clause (b), for the word fifty the word ninety shall be substituted; (iii) in paragraph 2A, for the word ten the word twenty shall be substituted. Amendment to the Securities and Exchange Board of India (Regulatory Fees on Stock Exchanges) Regulations, 2006. 16. In the Securities and Exchange Board of India (Regulatory Fees on Stock Exchanges) Regulations, 2006, in ..... X X X X Extracts X X X X X X X X Extracts X X X X ..... te/ Amount (in Rs.) Remarks Stock Broker Clearing member Self-clearing member Cash 0.0002 per cent of the price at which the securities are purchased or sold (Rs. 20 per crore) * * All sale and purchase transactions in securities other than debt securities. Equity derivatives 0.0002 per cent of his turnover (Rs. 20 per crore) 50,000/- 50,000/- Explanation .-(A) The expression turnover shall include the value of the trades executed by the stock broker on the concerned segment of the recognized stock exchange and of the trades settled on the expiration of the contracts. (B) In case of options contracts, turnover shall be computed on the basis of premium traded for the option contracts and in case where the option is exercised or assigned, it shall be additionally computed on the basis of notional value of option contracts exercised or assigned. The fee shall not be applicable for clearing member or self-cl ..... X X X X Extracts X X X X X X X X Extracts X X X X
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