Listed Companies	Investors
Electronic Connection Corporate Actions Issued Reports Companies Subscriptions Dematerialization of Share Certificate Change of Company Name & Trading Symbol Companies Merger Transfer Upon Company Request	Orders Trading in Shares Trading in Bonds / Islamic Sukuk  Special Deal Transfer of Securities Deposits & Withdrawals of Securities DFM Power of Attorney Copy of Investors’ Documents Letters & Statements Issued to Investors Annual Subscription in Securities Balance Statements iVESTOR Card Issuance iVESTOR Card Statements
Custodians	Official Parties
Custody fees Issued Reports Custodian Transfers	Letters Issued
Private Companies	Pledgee Banks
Managing Share Register Ownership Movement	Pledge of Securities Transfer of Pledged Securities Pledge Release Reports & Statements Issued to Pledgee Banks
Brokers	General Fees
Issued Reports For Brokers Issued Letters For Brokers Correction of A Deal Financial Penalties Transfers Upon Brokerage Companies Request Close Investor Account with the Brokerage Company Brokerage Companies Merger	Reports Issued Freeze of Securities

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

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.	Printing letter of the general meeting for companies	AED 2 per shareholder  in the register, and the company should supply the market with its official paper. The minimum is AED 1,000 and the maximum is AED 20,000
5.	Printing labels of shareholders addresses	AED 1 per shareholder in the register. The minimum is AED 500 and the maximum is AED 10,000
6.	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

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

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

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

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 (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 15 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

iVESTOR Card Issuance
Serial No.	Details of Fees	Due Fees
1.	Issue iVESTOR card upon request	AED 50 Classic AED 100 Prestige AED 200 Platinum
2.	Issue iVESTOR card for lost/stolen	AED 50

iVESTOR Card Statements
Serial No.	Details of Fees	Due Fees
1.	Issue iVESTOR card statement	Printing iVESTOR card statement: AED 10 up to 10 Pages If the statement exceeds 10 pages, additional AED 5 per extra page charged Saving iVESTOR Card Statement on a CD: AED 100 per CD Issuing iVESTOR card statement to be sent by EMAIL or EFAX: 10 AED per statement

Letters Issued
Serial No.	Details of Fees	Due Fees
1.	Preparation of a letter for the legal accountant & experts	AED 100 per letter

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

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