FEES 1.1.1

These Rules apply to a Person in relation to:

(a) an application for a Financial Services Permission;
(b) an application to amend the scope of a Financial Services Permission;
(c) an application for approval as an Approved Person to perform a Controlled Function;
(d) an application for the amendment of an approval as an Approved Person to perform a Controlled Function;
(e) an application for recognition as a Recognised Body, Remote Body or Remote Member;
(f) an application to register a Public Fund;
(g) a notification of intent to manage an Exempt Fund or a Qualified Investor Fund;
(h) a notification of intent by a Foreign Fund Manager to manage a Domestic Fund pursuant to FUNDS Rule 7.1.1;
(i) an application by an Authorised Fund Manager to manage a Foreign Fund pursuant to FUND Rule 7.2.1;
(j) filing a Prospectus pursuant to MKT Rule 4.6.1(1)(b);
(k) filing a Replacement Prospectus for a Public Fund pursuant to FUND Rule 9.3.1(3);
(l) an application for admittance of Securities to the Official List of Securities; and
(m) an application to register as a Designated Non-Financial Business or Profession.
Amended on (27 April, 2022).