TaxTMI 
TaxTMI 
Securities and Exchange Board of India (Payment of Fees) (Amendment) Regulations, 2014
X X X X Extracts X X X X
X X X X Extracts X X X X
....of India (Alternative Investment Funds) Regulations, 2012, in the Second Schedule, Part A shall be substituted with the following, namely,- "PART A AMOUNT TO BE PAID AS FEES Application fee Rs.1,00,000 Registration fee for Category I Alternative Investment Funds other than Angel Funds Rs. 5,00,000 Registration fee for Category II Alternative Investment Funds Rs. 10,00,000 Registration fee for Category III Alternative Investment Funds Rs. 15,00,000 Scheme Fee for Alternative Investment Funds other than Angel Funds Rs. 1,00,000 Re-registration Fee Rs. 1,00,000 Registration fees for Angel Funds Rs. 2,00,000 " Amendment to the Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994. 3. In the Securities and Exchange Board of India (Bankers to an Issue) Regulations, 1994, in Schedule II,- (i) in paragraph 1, for the words "thirteen lakh thirty three thousand and three hundred" the words "twenty lakh" shall be substituted; (ii) in paragraph 2, for the word "five" the word "nine" shall be substituted; (iii) in paragraph 3A, for the words "twenty five" the word "fifty" shall be substituted. Amend....
X X X X Extracts X X X X
X X X X Extracts X X X X
.... figure "5,00,000" shall be substituted; III. in the second head, for the figure "5,000" the figure "15,000" shall be substituted; IV. in the third head, for the figure "25,00,000" the figure "1,00,00,000" shall be substituted; V. in the fourth head, for the figure "1,00,000" the figure "2,00,000" shall be substituted; VI. in the fifth head, for the figure "10,00,000" the figure "50,00,000" shall be substituted; VII. after the sixth head, the following head shall be inserted, namely,- "Annual charges payable by depository(Rs.) 2% of annual custody charges collected by depository from issuers" c. in Part B, in the heading, after the word "REGISTRATION" and before the words "AND ANNUAL FEES", the words and symbol ", ANNUAL CHARGE" shall be inserted. Amendment to the Securities and Exchange Board of India (Issue and Listing of Debt Securities) Regulations, 2008. 8. In the Securities and Exchange Board of India (Issue and Listing of Debt Securities) Regulations, 2008,- (i) in regulation 6, in sub-regulation (6), after the words and symbol "forwarded to the Board for its records," and before the words "simultaneously with", ....
X X X X Extracts X X X X
X X X X Extracts X X X X
....ords and figures "along with fees as specified in Schedule III" shall be inserted; (ii) in regulation 17,- (a) in sub-regulation (1), after clause (f), the following clause shall be inserted, namely,- "(g) Where the application is made to more than one recognized stock exchange, the issuer shall choose one of them as the designated stock exchange."; (b) after sub- regulation (2), the following sub-regulation shall be inserted, namely,- "(3) The designated stock exchange shall collect a regulatory fee as specified in Schedule III from the issuer at the time of listing of non-convertible redeemable preference shares issued on private placement basis."; (iii) after Schedule II, the following Schedule shall be inserted, namely:- "SCHEDULE III [See Regulations 6(6) and 17] REGULATORY FEES (1) There shall be charged, in respect of every draft offer document filed by a lead merchant banker with the Board in terms of these regulations, a non-refundable fee of 0.0025% of issue size. (2) The fees as specified in clause (1) above shall be paid by means of a demand draft drawn in favour of 'the Securities and Exchange Board of India' payable at the ....
X X X X Extracts X X X X
X X X X Extracts X X X X
....Regulation 9] FEES 1. Every applicant shall pay non-refundable application fees along with the application for grant or renewal of certificate of registration as under: a. For individuals and firms Rs. 5,000 b. For Body Corporate including Limited Liability Partnerships Rs. 25,000 2. Every applicant shall pay registration/renewal fee at the time of grant or renewal of certificate by the Board as under: a. for individuals and firms Rs. 10,000 b. for Body Corporate including Limited Liability Partnerships Rs. 5,00,000" Amendment to the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992. 12. In the Securities and Exchange Board of India (Merchant Bankers) Regulations, 1992, in Schedule II,- (i) in paragraph 1, for the words "thirteen lakhs thirty three thousand and three hundred" the words "twenty lakh" shall be substituted; (ii) in paragraph 2, for the word "five" the word "nine" shall be substituted; (iii) in paragraph 3A, for the words "twenty five" the word "fifty" shall be substituted. Amendment to the Securities and Exchange Board of India (Mutual Funds) Regulations, 1996. 13. In the Secur....
X X X X Extracts X X X X
X X X X Extracts X X X X
....ed; (iii) in paragraph 2A, for the word "ten" the word "twenty" shall be substituted. Amendment to the Securities and Exchange Board of India (Regulatory Fees on Stock Exchanges) Regulations, 2006. 16. In the Securities and Exchange Board of India (Regulatory Fees on Stock Exchanges) Regulations, 2006, in regulation 4, in sub-regulation (1), in the table, in Sl. No. 5, for the figures "2,00,00,000", the words and figures "Rs. 1,00,00,000 plus 0.00006% of the annual turnover in excess of Rs. 10,00,000 crores, subject to a maximum of Rs. 20,00,00,000." shall be substituted. Amendment to the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers)Regulations, 1992. 17. In the Securities and Exchange Board of India (Stock Brokers and Sub-Brokers)Regulations, 1992,- (i) in regulation 3, after sub-regulation (3), the following sub-regulation shall be inserted, namely:- "(4) An application for registration made under sub-regulation (1) shall be accompanied by a non-refundable application fee as specified in Part B of Schedule V." (ii) in regulation 10A, after sub-regulation (3), the following sub-regulation shall be inserted, namely:- "....
X X X X Extracts X X X X
X X X X Extracts X X X X
....ntracts exercised or assigned. The fee shall not be applicable for clearing member or self-clearing member in case the said clearing member or self-clearing Member is already a clearing member or self-clearing member in any other segment and is paying fee, as specified in this Part, for such segment. Currency derivatives 0.0002 per cent of his turnover (Rs.20 per crore) 50,000/- 50,000/- Interest rate derivatives 0.00005 per cent of his turnover (Rs. 5 per crore) 50,000/- 50,000/- Debt 0.00002 per cent of his turnover (Rs. 2 per crore) Explanation.-For the purpose of this clause, the expression 'turnover' shall include the aggregate value of the trades executed, including both sale and purchase transactions, by the stock broker including the proprietary trading member on the debt segment of the recognized stock exchange. 50,000/- 50,000/- (ii) after clause 4, the following clauses shall be inserted, namely:- "4A. The non-refundable fee payable along with an application for registration under sub-regulation (4) of regulation 3 or sub-regulation (4) of regulation 10A shall be a sum of fifty thousand rupees. 4B. The fee specified in c....