Securities Fees
The following are the prescribed fees (both application fees and annual fees) in accordance with Schedule II of the Securities Industry Regulations, 2023, S.I. No. 139 of 2023.
| No. | Registration Category | Application Fees BZ$ | Registration Fees BZ$ | Annual Renewal Fee BZ$ |
| 1 | Marketplace | $25,000 | $50,000 | $50,000 |
| 2 | Clearing Facility | $10,000 | $25,000 | $25,000 |
| 3 | Self-Regulatory Organisation | $5,000 | $15,000 | $15,000 |
| 4 | Ancillary Facility | $5,000 | $15,000 | $15,000 |
| Company Registration | ||||
| 5 | Trading in Securities as Agent | $3,000 | $30,000 | $30,000 |
| 6 | Trading in Securities as Principal | $3,000 | $30,000 | $30,000 |
| 7 | Managing Securities | $3,000 | $25,000 | $25,000 |
| 8 | Providing Investment Advice | $3,000 | $15,000 | $15,000 |
| 9 | Arranging Transactions in Securities | $3,000 | $10,000 | $10,000 |
| 10 | Providing Custodial Services with respect to Securities | $1,000 | $3,000 | $3,000 |
| 11 | Providing Administration services with respect to Securities | $1,000 | $3,000 | $3,000 |
| Persons Seeking to Register for more than one category under 5 to 9 above. | $6,000 | Full fee for function with the highest fee and $5,000 for each additional Category. | Full fee for function with the highest fee and $5,000 for each additional Category. | |
| Fund Registration | ||||
| 12 | Recognition of Professional Fund | $1,500 | $7,500 | $7,500 |
| 13 | Registration of Mutual Fund | $1,500 | $10,000 | $10,000 |
| Individual Registration | ||||
| 14 | Appointment by a registrant of Chief Executive Officer | $500 | $1,500 | $1,500 |
| 15 | Appointment by a registrant of a Compliance Officer | $500 | $1,000 | $1,000 |
| 16 | Appointment of a body corporate to provide compliance function services for and on behalf of registrant. | $2,000 | $4,000 | $4,000 |
| 17 | Securities Representative | $500 | $1,000 | $1,000 |
| 18 | Recognition as an Approved Auditor (firm of accountants) | $1,000 | $2,500 | $2,500 |
| 19 | Recognition as an Approved Auditor (individual account) | $500 | $1,500 | $1,500 |
| No. | Filing Category | Fee (BZ$) |
| 1 | Filing of Preliminary Prospectus | $4,000 |
| 2 | Filing of Final Prospectus | 0.1% of issue value of $50,000 of securities value minimum |
| 3 | Filing Prospectus on an amended Final Prospectus | $1,800 |
| 4 | Filing of Takeover Bid Document | 01.% of value of bid |
| 5 | Filing of Director’s Circular | $4,000 |
| 6 | Filing Statement of Management Proxy Statement | $1,800 |
| 7 | Filing Statement of Interim Financial statement | No Fee (if filed within prescribed time) |
| 8 | Filing Statement of Audited Financials Statement | No Fee (if filed within prescribed time) |
| No. | Service | Fee (BZ$) | ||
| 1 | Liquidation, surrender, or variation of a registration, condition or approval. | $1,000 | ||
| 2 | Change of address of principal office of conducting business if different from registered office | $300 | ||
| 3 | Change in directorship or senior management position other than Chief Executive Officer or Compliance Officer | $1,000 | ||
| 4 | Cause, permit or acquiesce in a sale, transfer, charge, merger, amalgamation or consolidation, or other disposition of any significant interest, or part thereof of a registrant | $1200 | ||
| 5 | Issue of allot any share or cause, permit or acquiesce in any other reorganisation of the share capital that results in –
|
$1200
$1200 |
||
| 6 | Letters of Good Standing | $600 | ||
| 7 | Certified Copy of a registration (per certificate) | $600 | ||
| 8 | Replacement of Certificates (per certificate) | $600 | ||
| 9 | Name Change | $500 | ||
| 10 | Filing of a notification of termination/registration/retirement of a registered individual (Form13) | $500 | ||
| 11 | Submission of Financial and Operational Report (Form 14) | No fee (if filed within prescribed time) |
||
| 12 | Change of appointment of an auditor | $2000 | ||
| 13 | Change of corporate structure of registrant | $500 | ||
| 14 | Approval to incorporate or operate a subsidiary, branch or representative office outside Belize | $500 | ||
| 15 | Use of Agent | $500 | ||
| 16 | Any service for which a fee is not prescribed | $250 | ||
| Late Payment Fees | ||||
| 17 | Late Payment of Annual Renewal Fee | The late fee is equal to the relevant annual renewal fee for each month or part of a month during which the fee is unpaid up to six (6) months after the annual renewal date. | ||
| 18 | Late Filing (submitted after due date) of any interim or audited financial statement. | 1,000 for each month or part of a month until the relevant financial statement is submitted. | ||
| 19 | Late Filing (submitted after due date) of Form 14 or any other regulatory filing. | 1,000 for each month or part of a month until the relevant financial statement is submitted. | ||