Fees Module (FER)chapter by chapter

Rule 1.2.11 - Introduction — Rule 1.2.1

Applications to DFSA are not considered submitted until all applicable fees are fully paid.

Rule 1.2.21 - Introduction — Rule 1.2.2

Firms must pay annual fees on prescribed due dates: initial fee within 21 days of grant, later fees in advance by 1 January, 31 March, or notification anniversary.

Rule 1.2.31 - Introduction — Rule 1.2.3

A Bidder must pay the DFSA the takeover fee set out in the takeover chapter when filing the Bid Document, and before the document is posted to shareholders.

Rule 1.2.41 - Introduction — Rule 1.2.4

Applications, notifications or requests under Chapter 6 are not considered made until the applicable fee has been paid in full.

Rule 1.2.71 - Introduction — Rule 1.2.7

Firms must pay any supplementary fee the DFSA invoices for substantial additional application, notification or supervision costs by the invoice payment date.

Rule 1.2.81 - Introduction — Rule 1.2.8

All fees payable to the DFSA under the FER must be paid in US dollars by bank transfer to the DFSA's bank account.

Rule 1.2.91 - Introduction — Rule 1.2.9

Late fees apply to unpaid DFSA fees: the greater of $1,000 or 3% of the fee, plus 1% per month outstanding, without limiting other DFSA enforcement such as authorisation withdrawal.

Rule 2.4.12 - Application Fees — Rule 2.4.1

Pay a $1,000 application fee to register a Domestic Fund that qualifies as a Public Fund.

Rule 2.5.12 - Application Fees — Rule 2.5.1

Entities notifying the DFSA of intent to become a Passported Fund, where the DFSA is Home Regulator, must pay a $9,500 fee per sub-fund, segregated portfolio or cell.

Rule 2.8.12 - Application Fees — Rule 2.8.1

A Licensed Protected Cell Company must pay a fee of $1,000 per new cell when applying to add one or more new cells.

Rule 2.10.12 - Application Fees — Rule 2.10.1

Firms must pay application fees: $40,000 for DFSA consent to a business transfer scheme, or $30,000 for an order sanctioning a transfer scheme, due before seeking person approval.

Rule 2.11.12 - Application Fees — Rule 2.11.1

Firms must pay a $5,000 DFSA fee for waiver or modification applications deemed novel, complex or time-intensive, unless filed alongside an initial licence application.

Rule 2.12.12 - Application Fees — Rule 2.12.1

Submit a $20,000 fee for declaring as an External Fund Manager under CIR Rule 6.1.2(b).

Rule 2.13.12 - Application Fees — Rule 2.13.1

Applicants registering as a Designated Non-Financial Business or Profession must pay a $3,000 application fee.

Rule 3.1.13 - Annual Fees — Rule 3.1.1

Authorised Firms must pay a pro-rated initial annual fee for the initial regulated period, calculated from licence grant to year end by whole calendar months divided by 12, excluding any complexity surcharge.

Rule 3.10A.13 - Annual Fees — Rule 3.10A.1

Fund managers with DFSA as home regulator must pay an annual fee of $2,000 per passported fund, counting each sub-fund, segregated portfolio or cell separately.

Rule 3.10B.13 - Annual Fees — Rule 3.10B.1

External Fund Managers must pay a pro-rated initial annual fee from commencement of management to year end, then a flat annual fee for subsequent periods, based on the Collective Investment Fund fee.

Rule 3.11.13 - Annual Fees — Rule 3.11.1

A Listed Entity with equity securities on the Official List must pay an annual fee of $2,500 plus a market-capitalisation-tiered additional fee, while SME Listed Entities pay a flat $10,000.

Rule 6.1.46 - Fees for Other Supervisory Events — Rule 6.1.4

Authorised Persons applying for licence withdrawal must pay a $5,000 application fee if specified risk factors apply, otherwise $1,500.

Rule 6.1.56 - Fees for Other Supervisory Events — Rule 6.1.5

A Domestic Firm must pay a notification fee of 50% of its annual fee when notifying the DFSA of an overseas branch, subsidiary or major acquisition of body corporate.

Rules 2.1.1-2.1.62 - Application Fees — Rules 2.1.1-2.1.6

Applicants must pay the DFSA licence application fee, the highest fee for services applied for, plus a 100% surcharge for complexity factors and any exchange, clearing, or other fees.

Rules 2.2.1-2.2.72 - Application Fees — Rules 2.2.1-2.2.7

Pay the required application fee for additional financial services or changes in licensing as per specified fee rules.

Rules 2.3.1-2.3.22 - Application Fees — Rules 2.3.1-2.3.2

Applicants must pay an application fee of $8,500 to register as a Registered Auditor or $750 to register as an Audit Principal, with no separate fee if applying together.

Rules 2.6.1-2.6.22 - Application Fees — Rules 2.6.1-2.6.2

Applicants must pay a $15,000 application fee for Recognised Body recognition, or $1,000 for Recognised Member recognition.

Rules 2.7.1-2.7.22 - Application Fees — Rules 2.7.1-2.7.2

Individuals must pay a $750 application fee for Authorised Individual or Key Individual status, including adding functions or substitutions, unless filed with an initial licence application.

Rules 2.9.1, 2.9A.12 - Application Fees — Rules 2.9.1, 2.9A.1

Applicants must pay a $2,500 application fee for admitting Securities to the Official List, or for a Listed Entity's request to delist Shares.

Rules 3.2.1-3.2.53 - Annual Fees — Rules 3.2.1-3.2.5

Authorised Firms must pay an annual fee each subsequent period, combining the highest base fee, factor loadings, expenditure-based component, ATS fees, $4,000 per extra Financial Service, and endorsement fees.

Rules 3.3.1, 3.4.1-3.4.73 - Annual Fees — Rules 3.3.1, 3.4.1-3.4.7

An authorised market institution must pay a pro-rated initial annual fee of $100,000, then annual fees for exchange, clearing, official list, ATS, direct access and trade repository.

Rules 3.5.1-3.6.33 - Annual Fees — Rules 3.5.1-3.6.3

Registered Auditors must pay a pro-rated initial annual fee for the initial period, then subsequent annual fees based on the number of Domestic Firm or Domestic Fund audits and Public Listed Company audits.

Rules 3.7.1-3.8.13 - Annual Fees — Rules 3.7.1-3.8.1

DNFBPs must pay a pro-rated initial annual fee based on whole calendar months from registration to year end, then an annual fee of $6,000 thereafter.

Rules 3.9.1-3.10.13 - Annual Fees — Rules 3.9.1-3.10.1

Fund Managers must pay a pro-rated initial annual fee at registration or notification, then a flat annual fee per Domestic Fund: $1,000 for Venture Capital Funds, $4,000 for others.

Rules 3.12.1-3.12.23 - Annual Fees — Rules 3.12.1-3.12.2

A Recognised Body must pay a pro-rated initial annual fee for its initial recognition period and then an annual fee of $1,000, while Recognised Members are exempt from the annual fee.

Rules 4.1.1-4.1.24 - Filing Fees — Rules 4.1.1-4.1.2

Filing fees for documents range from $2,000 to $35,000, plus an additional $2,500 for certain Security Tokens admitted to trading.

Rules 4.2.1-4.2.24 - Filing Fees — Rules 4.2.1-4.2.2

A $5,000 filing fee must be paid before a reference to the FMT is considered filed; the FMT president may waive all or part of it for individual applicants in equitable circumstances.

Rules 4.3.1-4.3.24 - Filing Fees — Rules 4.3.1-4.3.2

Applicants must pay a $5,000 filing fee when seeking DFSA consent to bring a regulatory proceeding before the FMT, which the DFSA may waive wholly or partly for individuals in equitable circumstances.

Rules 5.1.1-5.1.25 - Takeover Fees — Rules 5.1.1-5.1.2

Bidders must pay a tiered Bid Document fee and provide a calculation note with the Bid Document for revised bids.

Rules 6.1.1-6.1.36 - Fees for Other Supervisory Events — Rules 6.1.1-6.1.3

Applicants seeking approval to acquire or increase control of a Domestic Firm or Authorised Market Institution must pay a $5,000 fee if complex, otherwise $3,000.