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  Home | CSD | Fees
23 Oct, 2014 7:46 PM |Closed
 
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 Listed Companies  Investors
 Custodians  Official Parties
 Private Companies  Pledgee Banks
 Brokers  General Fees
 
Listed Companies
 
Electronic  Connection
Serial No.
Details of Fees
Due Fees
1.
Electronic Connection with Equator system
AED 2,000 per computer when installing
AED 5,000 per user (Annual Fees)
AED 500 to replace a lost token
AED 50 reset Equator password
 
Corporate Actions
Serial No.
Details of Fees
Due Fees
1.
Corporate actions fees (capital increase or reduction,  issue of bonus shares, etc.)
AED 25 per investor in the register minimum of AED 25,000 & maximum of AED 500,000 per action (Administrative fees may be calculated when necessary)
2.
Once a corporate action is applied, and upon receiving  a request ahead from the company:
Send statements of account to shareholders  
AED 10 per statement
Sending SMS messages to shareholders    
0.8 per message
Min. fees AED 5,000
 
Conversions
Serial No.
Details of Fees
Due Fees
1.
Any types of transfers pursuant to any types of corporate conversion exercises and also conversion schemes such as:
1. Conversion of bonds/sukuk to shares;
2. Conversion of Depository Receipts to shares;
3. Any conversion schemes DFM may approve from time to time.
AED 25 per investor in the register minimum of AED 25,000 & maximum of AED 500,000 per action (Administrative fees may be calculated when necessary)
 
Issued  Reports
Serial No.
Details of Fees
Due Fees
1.
Preparation of reports upon request
Electronic: 0.5 per row in the report. Minimum of AED 300 and Maximum of AED 10,000
Hard copy: AED 200 for first 20 pages & AED 20 for any extra page. Max. of AED 15,000
2.
Share book preparation
Electronic share book: AED 1 per investor in the register. Minimum of AED 1,000 and Maximum of AED 15,000
Hard copy: AED 200 for first 20 pages & AED 20 for any extra page. Max. of AED 20,000
3.
Providing graph/ chart
Provide a graph of the comparative performance of a particular company with the sector they belong to and to the market index
AED 100 per chart
Provide a chart showing the movement of the closing price for a certain period
4.
Electronic storage of shareholders addresses
0.5 per shareholder in the register. The minimum is AED 300 and the maximum is AED 5,000
Companies Subscriptions
Serial No.
Details of Fees
Due Fees
1.
Annual subscription in electronic report
Daily subscription
AED 40,000
Weekly subscription
AED 15,000
Monthly subscription
AED 3,000
 
Dematerialization of Share Certificate
Serial No.
Details of Fees
Due Fees
1.
Dematerialization of share certificate, based on listed company’s request
AED 20
 
Change of Company Name & Trading Symbol
Serial No.
Details of Fees
Due Fees (Current)
1.
Change of a company name or a trading symbol (or both)
AED 10,000
 
Companies Merger
Serial No.
Details of Fees
Due Fees
1.
Companies  merger
AED 150,000 per company
 
Transfer Upon Company Request
Serial No.
Details of Fees
Due Fees
1.
 
Transfer from a company to a board member
0.004 of the shares market value, Min. AED 50
2.
 
Transfer between a company’s board members
3.
Transfer of securities from a listed company’s account to employees
 
 
Custodians
 
Custody Fees
Serial No.
Details of Fees
Due Fees
1.
Annual custody fees that include custodian membership and daily electronic reports
·        Average portfolio value for the previous year * 0.0025%
·        The minimum fees is AED 80,000
Issued Reports
Serial No.
Details of Fees
Due Fees
1.
Preparing electronic reports upon request
0.5 per row in the report the minimum is AED 200 and the maximum is AED 3,000
 
Custodian Transfers
Serial No.
Details of Fees
Due Fees
1.
Transfer of securities to custody account or vice versa without change in beneficiary owner
AED 10 per company
 
2.
Transfer of securities from OMNIBUS account to investor’s account
3.
Moving clients between global custodians without change in beneficiary owner
AED 300 per company
4.
Moving clients between local custodians without change in beneficiary owner  
AED 300  per company
5.
Moving clients between local and global custodians together, without change in beneficiary owner
AED 600  per company
6.
Transfer securities from IN under custody to a direct IN, without change in beneficiary owner
0.002 (two per thousand) from the shares market value, minimum AED 25 (No. of shares*market value*rate)
 
0.0002 (two per ten thousands) for Bonds & Sukuk, minimum AED 25 (No. of units*Unit Value/100*market value*rate)
For other services concerning the custodians or the custody banks clients, please follow the fees rate as per each service type
 
 
Private Companies
 
Managing Share Register
Serial No.
Details of Fees
Due Fees
1.
Managing shares register for private companies
Rates details per company capital:
From AED 2,000,000 to AED 100,000,000 – AED 20,000/ annum
From AED 100,000,001 to AED 500,000,000 – AED 30,000 / annum
From AED 500,000,001 & above – AED 40,000 / annum
 
Ownership Movement
Serial No.
Details of Fees
Due Fees (Current)
1.
Registration of ownership movements
0.00275 of the agreed value from each party, Min. AED 200 from both parties
For other services concerning the private companies or its shareholders, please follow the fees rate as per each service type
 
 
Brokers
 
Issued Reports For Brokers
Serial No.
Details of Fees
Due Fees
1.
Preparing and printing reports upon request
AED 200 per 20 pages and AED 20 for every additional page, the maximum is AED 15,000
2.
Electronic preparation of reports upon request
0.5 per investor in the report the minimum is AED 300 and the maximum is AED 10,000
3.
Generation of  a daily trading report upon official request
Fees of AED 2,000 per annum
4.
Electronic Preparation of trade details report (buy & sell) transactions executed on investor’s account with the brokerage company during specific period
AED 100 per investor (per year)
 5. Electronic Preparation of net fees report   AED 100 per trading day
 
Issued Letters for Brokers
Serial No.
Details of Fees
Due Fees
1.
Preparing letters to brokers upon request
AED 50 per letter
 2. To whom it may concern letter upon brokers request   AED 100 per letter
 
Correction of A Deal
Serial No.
Details of Fees
Due Fees
1.
Correction of a deal after settlement
0.003 (three per thousand) of the price used in the deal in case of shares
 
0.0003 (three per ten thousand) of the price used in the deal in case of bonds & Sukuk
 
Minimum of AED 100
 
Financial Penalties
1.     The financial penalty is applied on brokerage companies which did not settle amount due regardless being full amount or partial as on the settlement date (T+2) till 10:30 a.m. A penalty fees of AED 10,000 for each AED 20,000,000 settlement due amount is applied for each late settlement date. The following e.g. shows calculation methods of daily financial penalties value
#
Due Fines In AED
Settlement Amount Range in AED
1.
10,000
1 – 20,000,000
20,000
20,000,001 – 40,000,000
30,000
40,000,001 – 60,000,000
40,000
60,000,001 – 80,000,000
50,000
80,000,001 – 100,000,000
((By this, the settlement fine is increased by AED 10,000 for each AED 20,000,000 of settlement amount))
2.     Financial Penalty of AED 5,000 will be imposed in case the broker defaulted to pay the exceeded amount (AED 50,000 or more) over the bank guarantee that he is permitted to trade by maximum 10:30 am on (T+1)
The market’s management has the right to request related brokerage companies for any extra charges or financial commitments due to late settlement
 
Transfers Upon Brokerage Companies Request
Serial No.
Details of Fees
Due Fees (Current)
1.
Transfer from a licensed brokerage firm account in DFM to employees account
0.004 of the market value, Min. of AED 50 / transfer
2.
Transfer of securities from one broker to the other
AED 10 per company
3.
Transfer of securities from an investor’s account to his another account within the same broker
AED 50 per company
4.
 
Transfer of securities from a brokerage firm account to one of the owners  account
0.002 (two per thousand) of the shares market value, Min AED 100 per company
5.
Transfer of securities from client (investor) account with brokerage company to the brokerage company’s account or one of its owners or vice versa
0.005 (five per thousand) of the shares market value, with minimum of AED 300 (No. of shares*market value*rate)
 
0.0005 (five per ten thousand) of the Bonds & Sukuk, with minimum of AED 300 (No. of units*unit value/100*market value*rate)
 
Close Investor Account with the Brokerage Company
Serial No.
Details of Fees
Due Fees
1.
Close investors’ accounts with the brokerage company in the electronic clearing system
AED 0.1 per investor, with minimum of AED 200 and Maximum of AED 5,000
 
 
Brokerage Companies Merger
Serial No.
Details of Fees
Due Fees
1.
Brokerage Companies merger
AED 100,000 from one party
 
 
Investors
 
Orders
Serial No.
Details of Fees
Due Fees
1.
Fees to be collected by the market from both the seller and the buyer on each order executed in one trading session
AED 10
 
Trading in Shares
Serial No.
Details of Fees
Due Fees
1.
Total trading commission payable by the buyer and the seller on the total value of the order executed in once trading session
0.00275 or 2.75 per thousand
a
·        Broker’s commission
0.0015 or 1.5 per thousand
Minimum AED 30
b
·        Dubai Financial Market commission
0.0005 or 0.5 per thousand
Minimum AED 20
c
·        Clearing’s (CSD) commission
0.0005 or 0.5 per thousand
Minimum AED 10
d
·        Securities and Commodities Authority commission (SCA)
0.00025 or 0.25 per thousand
Minimum AED 5
 
 
 
Trading in Bonds/Islamic Sukuk
Serial No.
Details of Fees
Due Fees
1.
Total trading commission payable by the buyer and the seller on the total value of the order executed in once trading session
0.000275 or 2.75 from ten thousand
a
·        Broker’s commission
0.00015 or 1.5 from ten thousand
Minimum AED 30
b
·        Dubai Financial Market commission
0.00005 or 0.5 from ten thousand
Minimum AED 20
c
·        Clearing’s (CSD) commission
0.00005 or 0.5 from ten thousand
Minimum AED 10
d
·        Securities and Commodities Authority (SCA) commission
0.000025 or 0.25 from ten thousand
Minimum AED 5
 
Special Deal
Serial No.
Due Fees
1.
In case of  bonds/ Sukuk, a commission amounted is 0.000275 and in case of shares, a commission amounted is 0.00275 from each party and calculated as follows:
 
·        Bonds/ Sukuk: number of unites*(unit value/100)*market value or higher*deal commission
·        Shares: number of shares*market value or higher*deal commission
 
If the deal is executed through the Electronic Trading System an amount of AED 10 should be added to the total deal commission (trading commission for any executed buy or sell order)
 
 
 
 
 
Transfer of Securities
Serial No.
Details of Fees
Due Fees
1.
Family/Inheritance/Judicial Transfers (charged to the Transferee only)
 
0.002 (two per thousand) from the shares market value, minimum AED 25. (No. of shares*market value*rate)
 
0.0002 (two per ten thousands) for Bonds & Sukuk, minimum AED 25 (No. of units*Unit Value/100*market value*rate)
2.
Transfer of securities from investor to another:
Due to pre-regulated market securities assignment
 
Or due to assignment deed. 
0.005 (five per thousand) from the shares market value, minimum AED 300 (No. of shares*market value*rate)
 
0.0005 (five per ten thousands) for Bonds & Sukuk, minimum AED 300 (No. of units*Unit Value/100*market value*rate)
3.
Merge between Individual and Sole Proprietorship &  vice versa         
 
0.002 (two per thousand) from the shares market value, minimum AED 25 (No. of shares*market value*rate)
 
0.0002 (two per ten thousands) for Bonds & Sukuk, minimum AED 25 (No. of units*Unit Value/100*market value*rate)
4.
Transfer of securities from company to a company’s partner & vice versa, from company to a subsidiary or from sole proprietorship to company & vice versa
 
0.004 (four per thousand) from the shares market value, minimum AED 50 (No. of shares*market value*rate)
 
0.0004 (four per ten thousands) for Bonds & Sukuk, minimum AED 50 (No. of units*Unit Value/100*market value*rate)
5.
Transfer of securities from company to a company’s partner & vice versa, from company to another company or from sole proprietorship to company & vice versa, from manager fund to sub-fund & versa & between funds under one manager fund (up to 2nd degree kinship)
0.002 (two per thousand) from the shares market value, minimum AED 25 (No. of shares*market value*rate)
 
0.0002 (two per ten thousands) for Bonds & Sukuk, minimum AED 25 (No. of units*unit value/100*market value*rate)
6.
Transfer of securities from Individual A/C to Joint A/C & vice versa or from Joint A/C to another
 
0.004 (four per thousand) from the shares market value, minimum AED 50 (No. of shares*market value*rate)
 
0.0004 (four per ten thousands) for Bonds & Sukuk, minimum  AED 50 (No. of units*Unit Value/100*market value*rate)
7.
Transfer of securities from Individual A/C to Joint A/C & vice versa or from Joint A/C to another (up to 2nd degree kinship)
0.002 (two per thousand) from the shares market value, minimum AED 25 (No. of shares*market value*rate)
 
0.0002 (two per ten thousands) for Bonds & Sukuk, minimum AED 25 (No. of units*unit value/100*market value*rate)
8.
Transfer of Securities from Founder to another Founder
 
0.004 (four per thousand) from the shares market value, minimum  AED 50 (No. of shares*market value*rate)
 
0.0004 (four per ten thousands) for Bonds & Sukuk, minimum  AED 50 (No. of units*Unit Value/100*market value*rate)
9.
Transfer of Securities from subsidiary to company or vice versa
0.002 (two per thousand) from the shares market value, minimum AED 25 (No. of shares*market value*rate)
 
0.0002 (two per ten thousands) for Bonds & Sukuk, minimum AED 25 (No. of units*Unit Value/100*market value*rate)
Deposits & Withdrawals of securities
Serial No.
Details of Fees
Due Fees
1.
Deposit or withdrawal of dual listed companies shares from and to DFM
AED 30 per transaction
 
DFM Power of Attorney
Serial No.
Details of Fees
Due Fees
1.
Issue DFM Power of Attorney
AED 100
 
Copy of Investors’ Documents
Serial No.
Details of Fees
Due Fees
1.
Provide copy of the Investor’s transaction which is available in CSD register
AED 20 per document
 
Letters & Statements Issued to Investors
Serial No.
Details of Fees
Due Fees
1.
Proof of securities ownership letter
AED 100 per letter
2.
To whom it may concern letter
AED 100  per letter
3.
Security Balance Statement
Printing statement:
10 AED up to 10 Pages
If the statement exceeds 10 pages, additional AED 5 per extra page charged.
Saving Statement on a CD:
AED 100 per CD
Issuing statement to be sent by EMAIL or EFAX:
10 AED per statement
4.
Audit confirmation letter
AED 100  per letter
 
 
Annual Subscription in Securities Balance Statements
Serial No.
Details of Fees
Due Fees
1.
Subscription for securities balance statement service upon investor request
Soft copies subscription fees:
Daily subscription
AED 3,000
Weekly subscription
AED 600
Monthly subscription
AED 200
Hard copies subscription fees:
Daily subscription
AED 5,000
Weekly subscription
AED 1,500
Monthly subscription
AED 600
 
 
 
Official Parties
 
Letters Issued
Serial No.
Details of Fees
Due Fees
1.
Preparation of a letter for the legal accountant & experts
AED 100 per letter
 
 
Pledgee Banks
 
Pledge of Securities
Serial No.
Details of Fees
Due Fees
1.
Securities pledge fees in the automated clearing system (collected by the market from the pledgee bank or the investor)
 
0.002 (two per thousand) of the market value of the shares
0.0002 (two per ten thousand) of the market value of bonds/ Sukuk
Minimum AED 100 per company
Pledge Fees = No. shares*unit value*rate
 
Transfer of Pledged Securities
Serial No.
Details of Fees
Due Fees
1.
Transfer of pledged securities to broker for sale
 
AED 100 per company
 
Pledge Release
Serial No.
Details of Fees
Due Fees
1.
Pledge Release of securities
 
AED 100 per company
 
Reports & Statements  Issued to Pledgee Banks
Serial No.
Details of Fees
Due Fees
1.
Preparing and printing reports upon request
AED 200 per 20 pages and AED 20 for every additional page, provided the maximum is AED 15,000
2.
Electronic preparation of reports upon request
AED 0.5 per investor in the report provided the minimum is AED 200 and the maximum is AED 3,000
3.
Prepare and print investor’s pledged shares statement
AED 50 per letter provided the maximum is 3 statements
 
 
General Fees
 
Reports Issued
Serial No.
Details of Fees
Due Fees
1.
Preparing reports as per request
Electronic: 0.5  per row in the report the minimum is AED 400 and the maximum is AED 15,000
Hard copy: AED 400 for first 20 pages & AED 20 for extra page  maximum of AED 15,000
2.
Saving Fees
AED 100 per CD
 
Freeze of Securities
Serial No.
Details of Fees
Due Fees
1.
Freeze of securities in the investor account with a broker or with the CSD based on official request
AED 100  per company