Registration of securities and other matters

Details

  • Purpose:
  • Application Fees:
  • License Fee:
    Registration of securities and other matters
      Validity Fee (K)
    Examination of Prospectus or other offer documents N/A 33,33.60
    Examination of Prospectus or other offer document or documents issued pursuant to continuing obligations under the Act N/A 16,666.80
    Initial Public offer of Securities N/A 0.25% of the share capital & revenue reserve
    Any subsequent public offer of Securities by the same issuer N/A 0.25% of the share capital & revenue reserve over and above reserves of initial offer
    Rights issue N/A 0.25% of the value of issue
    Capitalisation issue N/A 0.25% of capitalisation value of issue and revenue reserve
    Private placement    
    Registration of Securities pursuant to notice N/A 0.25% of share capital and revenue reserves
    Authorisation of merger or takeover transaction N/A 0.25% of the value of the transaction
    grant of waiver under Rule 56 of the securities Rules N/A 150,000.00
    Securities Exchange buy side of the trade N/A 0.125% of the value of the trade
    Securities Exchange sell side of the trade N/A 0.125% of the value of the trade
    off-market buy side of the trade N/A 0.125% of the value of the trade
    off-market sell side of the trade N/A 66,600.00
    Authorisation of collective Investment Scheme N/A 66,600.00
    Issuer of Securities including collective investment scheme Yearly 19,999.80
    Amendment of licencing condition   50% of applicable licence category
    Application for exemption from any provision of the Act submitted with an application for a licence   100% of licence fees
    Application for repriting of licence/certificate   1,000.20
    Inspection fee   1,260.00
    Securities exchange Yearly 1% of gross earnings excluding buy and sell trades
    Levy on collective investment scheme Monthly 0.125 per fund
    Levy on foreign collective investment scheme Monthly 0.125 per fund
    Levy for fund of compensation fund Yearly 3,333.60
    Authorisation of collective investment scheme-single fund  N/A 66,600.00
    Authorisation of collective investment scheme-multiple fund  N/A 66,600.00
    Authorisation of collective investment scheme-single closed end fund  N/A 66,600.00
    Authorisation of collective investment scheme-multiple closed end fund  N/A 100,000.20
    Authorisation of an intermediary Yearly 19,999.80
    Authorisation of transfer secretary Yearly 19,999.80
    Approval of securities depository Yearly 19,999.80
    Annual levy on securities depositories  N/A 1% of turnover
    Approval for conducting a continous professinal development programme       1,666.80
    Authorisation of asset management Yearly 19,999.80
    Approval for custodial services Yearly 19,999.80
    Approval for trustee of a collective investment scheme Yearly 19,999.80
    approval of nominee company  N/A 19,999.80

     

  • Related Websites:

    https://www.seczambia.org.zm/

     

  • Validity:
  • Contact Office:

    Security and Exchange Commission

  • Renewal Fee:
  • Processing Fee:

Requirements

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