A Citizen's Manual on SEC's Fees and Charges (Schedule 2)

2009 A CITIZEN'S MANUAL ON SEC's FEES AND CHARGES (SCHEDULE 2) (PAMPHLET * NO. 3) 16 IV 2009 Investors Information Assistance & Publications Division Economic Research and Information Department CONSOLIDATED SCHEDULE OF FEES AND CHARGES SEC MC 9, s. 2004 CORPORATION FINANCE DEPARTMENT (CFD) A. Registration/Licensing of Securities Application Filing Fee 1. Registration Statement Not more than P500 million worth (Registration of equity of securities: securities, commercial papers - 0.10% of the maximum or debt securities, proprieties aggregate price of the securities or non-propriety shares or to be offered plus LRF* membership, warrant and More than P500 million but not options more than P750 million: - P500,000 plus 0.075% of the excess over P500 million plus (N.B. In case of options or LRF* warrant which have no issue More than P750 million but not value: Minimum of P50,000 in more than P1 billion: addition to the fees which may be - P687,500 plus 0.05% of the due on the underlying shares) excess over P750 million plus LRF* More than P1 billion: - P812,500 plus 0.025% of the excess over P1 billion plus LRF* 2. Amended Registration P10,000.00 Statement in accordance with In case of an increase in offering SRC Rule 14 price: 1/10 of 1% of the amount of difference between the highest aggregate amount per old range and the total amount based on new volume or price plus LRF* 3. Voluntary Revocation of P5,000.00 plus LRF* Securities under SRC Rule 13 4. Confirmation for exemption 1/10 of 1% of the aggregate value under Section 10.1 of the SRC of the securities to be sold or issued plus LRF* 5. Request for exemption under 1/10 of 1% of the aggregate value Section 10.2 of the Securities of the securities to be sold or Regulation Code issued plus LRF* 6. Request for exemptive relief P5,000 plus LRF* under Section 72.2 of the SRC Rule 19 7. Accreditation of Credit Rating Agency Original Application P50,000.00 plus LRF* Annual Fee P10,000.00 plus LRF* 8. Original Application for a 1/10 of 1% of the amount of paid Certificate of Authority to up capital stock plus LRF* Operate as a Financing Company (Head and each Branch Office 9. Annual Fee 1/8 of 1% of the required paid-up Head and Branch office capital stock plus LRF* 10. Registration as Investment P5,000.00 plus LRF* Company B. Other Filings /Transactions 1. Information Statement filed by P5,000 plus LRF* the registrant (SEC Form 20-IS) 2. Information Statement filed by P2,000 plus LRF* a person other than the registrant under SRC Rule 20 3. Tender Offer Statement (SEC Not more than P500 million worth Form 19-1) and other of securities: appropriate filings under - 0.10% of the maximum Section 21 of the SRC aggregate price of the securities to be offered plus LRF* More than P500 million but not more than P750 million: - P500,000 plus 0.075% of the excess over P500 million plus LRF* More than P750 million but not more than P1 billion: - P687,500 plus 0.05% of the excess over P750 million plus LRF* More than P1 billion: - P812,500 plus 0.025% of the excess over P1 billion plus LRF* 4. Listing Fee P2,500.00 plus LRF 5. Annual Information Statement P10,000.00 plus LRF of Exempt Commercial Paper Issuer (SEC Form 85-18-1) 6. Certification Fee P300.00 NON-TRADITIONAL SECURITIES AND INSTRUMENTS DEPARTMENT (NTD) A. Registration and Licensing of Securities 1. New and additional 1/10 of 1% of the maximum aggregate price at which the securities are proposed to be offered plus LRF* 2. Petition for Price Increase P2,500.00 plus LRF* 3. Petition for Amendment of P2,500.00 plus LRF* Registration Statement /Contracts/all applications 4. Petition for Release of Balance P2,500.00 plus LRF* 5. Petition for Cancellation of P2,500.00 plus LRF* Registration 6. Petition for Suspension and/or P2,500.00 plus LRF* Cancellation of Permit to Sell Pre-Need Plans B. Dealer/Branch/Salesmen/General Agent New Renewal 1. Dealer Head Office P10,000.00 plus LRF* P5,000.00 plus LRF* Branch Within Metro P5,000.00 plus LRF* P2,500.00 plus LRF* Manila Outside Metro P2,500.00 plus LRF* P1,500.00 plus LRF* Manila 2. General Agent P5,000.00 plus LRF* P2,500.00 plus LRF* 3. Salesman Dealer P200.00 plus LRF* P200.00 plus LRF* General Agent P200.00 plus LRF* P200.00 plus LRF* 4. Closure of P1,000.00 plus LRF* Branch Office C. Others 1. Approval of Trust Agreement P2,500.00 plus LRF* 2. Accreditation of Pre-need P1,000.00 Actuaries 3. Certifications P300.00 4. Accreditation of Pre-need External P2,000.00 Auditors (Sec. 6.3 of SEC MC 13, s. 2003) D. Alternative Trading System (ATS) 1. Alternative Trading System P50,000.00 2. Semestral Transaction Fee For the first two (2) billion of the 1/300 of 1 % plus LRF* aggregate amount of the sales of securities transacted on such ATS during the preceding semester 1/200 of 1% plus LRF* For the next two (2) billion 1/100 of 1% plus LRF* Onwards 3. Application for exemption under P5,000.00 ATS 4. Certification under ATS P300.00 MARKET REGULATION DEPARTMENT (MRD) A. Registration and Licensing of Securities New Renewal 1. Broker Dealer a. Head Office P50,000.00 plus LRF* P20,000.00 plus LRF* b. Branch P10,000.00 plus LRF* P5,000.00 plus LRF* 2. Broker a. Head Office P25,000.00 plus LRF* P10,000.00 plus LRF* 3. Dealer a. Head Office P25,000.00 plus LRF* P10,000.00 plus LRF* 4. Salesperson P2,000.00 plus LRF* P1,000.00 plus LRF* 5. Associated P3,000.00 plus LRF* P1,500.00 plus LRF* Person of Brokers/Dealers 6. Investment Company Adviser a. Head Office P10,000.00 plus LRF* P3,000.00 plus LRF* 7. Certified P1,420.00 (2005) P815 (2005) Investment P2,125.00 (2006) P1,1015.00 * (2006) Distributor/Sales plus LRF* plus LRF* person/Certified Investment Solicitor 8. Investment Houses/Underwriters of Securities/Government Securities Eligible Dealers a. Head Office P50,000.00 plus LRF* P20,000.00 plus LRF* b. Branch P10,000.00 plus LRF* P5,000.00 plus LRF* 9. Investment Houses/Underwriters of Securities Dealing in Government Securities a. Head Office P50,000.00 plus LRF* P30,000.00 plus LRF* b. Branch P10,000.00 plus LRF* P5,000.00 plus LRF* 10. Associated P1,000.00 plus LRF* P500.00 plus LRF* Person of Investment Houses 11. Transfer P10,000.00 plus LRF* P3,000.00 plus LRF* Agents 12. Stock P50,000.00 plus LRF* Exchanges Additional Fees 1/100th of the 1% of the aggregate amount of sales of securities transacted during the preceding calendar year 13. Clearing Agencies and Central Depositories Additional Fees P50,000.00 plus LRF* B. Others 1. Additional: Listing of PSE P10,000.00 plus LRF* Shares 2. Listing Fee for PSE Shares 1/10 of 1% of the number of shares to be listed x placement fee 3. Certification P300.00 For further information, you may get in touch with the following: The Public Assistance Unit at the ground floor, SEC Building The Public Assistance Hotline (Tel. Nos. 584-1269, 584-7256, 584-1119 or at 584-0923 to 24 loc. 243 or 279) The CRMD Corporate & Partnership Division (Tel. Nos. 584-9225 and 584-0763) The SEC web site at http://www.sec.gov.ph Footnotes * Pursuant to R.A. 6713 and Memorandum Circular 35 s. 2003 issued by the President on 17 March 2003, the SEC disseminates different pamphlets that give information about its mandate and functions, registration and reportorial requirements, fees and charges, and other relevant topics for the guidance of investors and the general public.