Find out about Yukon securities fees

 

Registration type Fee
(a) Application for registration as a dealer or adviser, regardless of the number of categories of registration to which the application relates. $750
(b) Application for registration as an investment fund manager. $750
(c) Annual fee payable by each registered dealer, adviser or investment fund manager, due no later than December 31 each year. $750
(d) Except as provided in paragraph (f), application for registration or reinstatement as a representative, ultimate designated person or chief compliance officer of a registered dealer, adviser or investment fund manager, regardless of the number of categories of registration to which the application relates. $250
(e) Annual fee payable by each registered representative, ultimate designated person or chief compliance officer of a registered dealer, adviser or investment fund manager, due no later than December 31 each year. $250
(f) Application for reinstatement of the registration of a person as a representative of a registered dealer, adviser or investment fund manager made in Form 33-109F7 under the National Instrument 33-109 Registration Information, in the same calendar year as the termination of the registration. $100
(g) Application by a dealer, adviser or investment fund manager to make a change, including an addition, to the registration category in respect of which the dealer, adviser or investment fund manager is registered. $100
(h) Application by a dealer, adviser or investment fund manager to delete a registration category in respect of which the dealer, adviser or investment fund manager is registered. $0

 

Disclosure filing fees Fee
(i) except as provided in paragraph (j),  filing a preliminary prospectus or pro forma prospectus (for each class of security). $350
(j) In the case of an investment fund issuer, filing a preliminary prospectus or pro forma prospectus (for each fund). $350
(k) except as provided in paragraph (l), filing an amendment to a preliminary, pro forma, or other prospectus (for each class of security affected by the amendment). $50
(l) In the case of an investment fund issuer, filing an amendment to a preliminary, pro forma or other prospectus (for each fund affected by the amendment). $50
(m) Filing a non-exempt take‑over bid or issuer-bid circular. $200
(n) Filing a rights offering circular. $100
(o) Filing an offering memorandum. $100
(p) Filing a report of an exempt distribution in accordance with Form 45–106F1 under National Instrument 45‑106 Prospectus and Registration Exemptions. $25
(q) Filing by an issuer of an annual information form under National Instrument 51–102 Continuous Disclosure Obligations or under National Instrument 81–106 Investment Fund Continuous Disclosure. $400
(r) Application for exemptive relief or application for designation or recognition under the Securities Act.

$250

(s) Filings or approvals not otherwise provided for in this schedule. $0

 

Fees for searches, certificates and photocopies  
Searches $0
A certified statement referred to in section 19 of the Securities Act provided by the Superintendent on request $25
Certificate of true copy of an original document $5
Photocopies (for each page) $1
Facsimile transmissions (for each page) $2

 

Contact

For more information on local rules under the Securities Act email securities@yukon.ca or phone 867-667-5466.  We are located at 307 Black Street, Whitehorse, Yukon, Y1A 2N1.

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