Source document: https://docs-lawep.s3.us-east-2.amazonaws.com/1698841631164.pdf (New Zealand)
Reprint as at 1 August 2012 Financial Markets Authority (Fees) Regulations 2011 (SR 2011/280) Anand Satyanand, Governor-General Order in Council At Wellington this 22nd day of August 2011 Present: His Excellency the Governor-General in Council Pursuant to section 67(1) of the Financial Markets Authority Act 2011, His Excellency the Governor-General, acting on the advice and with the consent of the Executive Council, makes the following regu- lations.
Contents 1 2 Title Commencement Page 2 2 Note Changes authorised by section 17C of the Acts and Regulations Publication Act 1989 have been made in this reprint.

A general outline of these changes is set out in the notes at the end of this reprint, together with other explanatory material about this reprint.

These regulations are administered by the Financial Markets Authority.
1 r 1 Financial Markets Authority (Fees) Regulations 2011 Reprinted as at 1 August 2012 Fees payable in respect of Securities Trustees and Statutory Supervisors Act 2011 matters Fee payable on application for trustee or statutory supervisor licence Fee payable on application for variation of trustee or statutory supervisor licence Fees payable in respect of Financial Markets Authority (Levies) Regulations 2012 Fees payable for request to waive levy Fees inclusive of GST GST 2 3 3 4 Regulations Title These regulations are the Financial Markets Authority (Fees) Regulations 2011.
Commencement These regulations come into force on 1 October 2011.

Fees payable in respect of Securities Trustees and Statutory Supervisors Act 2011 matters Fee payable on application for trustee or statutory supervisor licence The fee payable on an application for a licence under section 15(1)(a) of the Securities Trustees and Statutory Supervisors Act 2011 is $4,968.

To avoid doubt, this fee is also payable on an application for a new licence in advance of, or in the event of, the expiry of a licence.
Regulation 3(1): amended, on 1 August 2012, by regulation 4 of the Financial Markets Authority (Fees) Amendment Regulations 2012 (SR 2012/120).

3 4 5 6 1 2 3 (1) (2) 2 Reprinted as at 1 August 2012 Financial Markets Authority (Fees) Regulations 2011 r 5 4 5 (1) (2) (3) Fee payable on application for variation of trustee or statutory supervisor licence The fee payable on an application to vary a licence under sec- tion 15(1)(b) of the Securities Trustees and Statutory Super- visors Act 2011 is $1,419.10.
Regulation 4: amended, on 1 August 2012, by regulation 5 of the Financial Markets Authority (Fees) Amendment Regulations 2012 (SR 2012/120).

Fees payable in respect of Financial Markets Authority (Levies) Regulations 2012 Heading: inserted, on 1 August 2012, by regulation 6 of the Financial Markets Authority (Fees) Amendment Regulations 2012 (SR 2012/120).
Fees payable for request to waive levy This regulation applies to a request for a waiver of a levy under regulation 14 of the Financial Markets Authority (Levies) Regulations 2012.

The fee payable on the request is $115.
The FMA may also require the person who makes the request to pay to the FMA— (a) a fee calculated at the following hourly rates: (i) (ii) (ii) for work carried out in connection with the re- quest by a member of the FMA, an hourly rate of $230: for work carried out in connection with the re- quest by an officer or employee of the FMA qual- ified in accountancy, business, commerce, eco- nomics, or law, or who is appropriately qualified by reason of skills, training, or experience, an hourly rate of $166.62; and obtaining expert advice or expert assistance in connection with the request; and if the FMA decides to grant the request, notifying the decision in the Gazette under regulation 14 of the Financial Markets Authority (Levies) Regu- lations 2012.
(b) the costs incurred by the FMA in— (i) Regulation 5: replaced, on 1 August 2012, by regulation 6 of the Financial Markets Authority (Fees) Amendment Regulations 2012 (SR 2012/120).

3 r 6 6 Financial Markets Authority (Fees) Regulations 2011 Reprinted as at 1 August 2012 GST Heading: inserted, on 1 August 2012, by regulation 6 of the Financial Markets Authority (Fees) Amendment Regulations 2012 (SR 2012/120).
Fees inclusive of GST The fees prescribed by these regulations are inclusive of goods and services tax.

Regulation 6: inserted, on 1 August 2012, by regulation 6 of the Financial Mar- kets Authority (Fees) Amendment Regulations 2012 (SR 2012/120).

Rebecca Kitteridge, Clerk of the Executive Council.

Issued under the authority of the Acts and Regulations Publication Act 1989.

Date of notification in Gazette: 25 August 2011.


4 Reprinted as at 1 August 2012 Financial Markets Authority (Fees) Regulations 2011 Notes Contents 1 2 3 4 General Status of reprints How reprints are prepared Changes made under section 17C of the Acts and Regulations Publication Act 1989 List of amendments incorporated in this reprint (most recent first) 5 Notes 1 2 3 General This is a reprint of the Financial Markets Authority (Fees) Regulations 2011.
The reprint incorporates all the amend- ments to the regulations as at 1 August 2012, as specified in the list of amendments at the end of these notes.

Relevant provisions of any amending enactments that contain transitional, savings, or application provisions that cannot be compiled in the reprint are also included, after the principal enactment, in chronological order.

For more information, see http://www.pco.parliament.govt.nz/reprints/.
Status of reprints Under section 16D of the Acts and Regulations Publication Act 1989, reprints are presumed to correctly state, as at the date of the reprint, the law enacted by the principal enactment and by the amendments to that enactment.

This presumption applies even though editorial changes authorised by section 17C of the Acts and Regulations Publication Act 1989 have been made in the reprint.
This presumption may be rebutted by producing the official volumes of statutes or statutory regulations in which the prin- cipal enactment and its amendments are contained.

How reprints are prepared A number of editorial conventions are followed in the prep- aration of reprints.

For example, the enacting words are not included in Acts, and provisions that are repealed or revoked 5 Notes Financial Markets Authority (Fees) Regulations 2011 Reprinted as at 1 August 2012 are omitted.
For a detailed list of the editorial conventions, see http://www.pco.parliament.govt.nz/editorial-conventions/ or Part 8 of the Tables of New Zealand Acts and Ordinances and Statutory Regulations and Deemed Regulations in Force.
Changes made under section 17C of the Acts and Regulations Publication Act 1989 Section 17C of the Acts and Regulations Publication Act 1989 authorises the making of editorial changes in a reprint as set out in sections 17D and 17E of that Act so that, to the extent permitted, the format and style of the reprinted enactment is consistent with current legislative drafting practice.

Changes that would alter the effect of the legislation are not permitted.
A new format of legislation was introduced on 1 January 2000.

Changes to legislative drafting style have also been made since 1997, and are ongoing.

To the extent permitted by section 17C of the Acts and Regulations Publication Act 1989, all legisla- tion reprinted after 1 January 2000 is in the new format for legislation and reflects current drafting practice at the time of the reprint.
In outline, the editorial changes made in reprints under the au- thority of section 17C of the Acts and Regulations Publication Act 1989 are set out below, and they have been applied, where relevant, in the preparation of this reprint: • omission of unnecessary referential words (such as “of this section” and “of this Act”) typeface and type size (Times Roman, generally in 11.5 point) layout of provisions, including: • • indentation position of section headings (eg, the number and heading now appear above the section) format of definitions (eg, the defined term now appears in bold type, without quotation marks) format of dates (eg, a date formerly expressed as “the 1st day of January 1999” is now expressed as “1 January 1999”) • • • • 4 6 Reprinted as at 1 August 2012 Financial Markets Authority (Fees) Regulations 2011 Notes • • • • • • • position of the date of assent (it now appears on the front page of each Act) punctuation (eg, colons are not used after definitions) Parts numbered with roman numerals are replaced with arabic numerals, and all cross-references are changed accordingly case and appearance of letters and words, including: • format of headings (eg, headings where each word formerly appeared with an initial cap- ital letter followed by small capital letters are amended so that the heading appears in bold, with only the first word (and any proper nouns) appearing with an initial capital letter) small capital letters in section and subsection ref- erences are now capital letters • schedules are renumbered (eg, Schedule 1 replaces First Schedule), and all cross-references are changed accord- ingly running heads (the information that appears at the top of each page) format of two-column schedules of consequential amendments, and schedules of repeals (eg, they are rearranged into alphabetical order, rather than chrono- logical).
List of amendments incorporated in this reprint (most recent first) Financial Markets Authority (SR 2012/120) (Fees) Amendment Regulations 2012 5 12 Wellington, New Zealand: Published under the authority of the New Zealand Government—2012 7