Abu Dhabi Depository (AD CSD) Services and Fees

Brokerage firm - Direct Clearing Member.

Dirham 25,000 yearly

Brokerage firm - Indirect Clearing Member.

Dirham 25,000 yearly

Custodian.

Dirham 50,000 yearly (Deductible from Custody fee)

GCM.

Dirham 50,000 yearly

Access to NCSD System.

up to 6 users - Free
7 to 12 users - Dirham 20,000 / Year
13 users & up - Dirham 40,000 / Year

Change a password.

Dirham 50

Change the Brokerage or Custodian company name.

Dirham 10,000

Daily Share Book
Daily Trade Log (Report)

Dirham 200,000 (if number of shareholders is between 1 to 3,350)
Dirham 500,000 (if number of shareholders exceeds 3,350)

Monthly Share Book
Daily Trade Log (Report)

Dirham 100,000 (if number of shareholders is between 1 and 4,100)
Dirham 200,000 (if number of shareholders exceeds 4,100)

Quarterly Share Book
Daily Trade Log (Report)

Dirham 50,000

Monthly Share Book
Weekly Trade Log (Report)

Dirham 20,000

Quarterly Share Book
Weekly Trade Log (Report)

Dirham 15,000

Merge two Brokers in the System

Dirham 100,000 / brokerage firm

Securities transfer from Trading account to Depository account

0.1 Dirham/ investor, minimum of Dirham 200, maximum of Dirham 3,000

Transfer securities between the accounts of the same investor with the broker

Dirham 20 per Security

Transfer of securities from the margin trading account with a Brokerage Firm to the margin trading account with another Brokerage Firm, belonging to same investor.

Dirham 200 for each security.

Annual custody fees that include custodian membership and daily electronic reports.
Service charge is billed annually.

Average portfolio value for the previous year * 0.0025%
The minimum fee is Dirham 80,000.

Transfer securities from rejected buy trades account to the broker trading account on T+5.

(0.75%) from the trade value,
with Minimum of (2,000) Dirham and Maximum (30,000) Dirham.

Transfer between markets

FoP Settlement instructions of dual listed securities - UK.

Outward transaction - Dirham 100 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - USA.

Outward transaction - Dirham 100 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - Japan.

Outward transaction - Dirham 120 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - Canada.

Outward transaction - Dirham 120 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - France.

Outward transaction - Dirham 120 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - Germany.

Outward transaction - Dirham 120 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - Hong Kong.

Outward transaction - Dirham 150 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - India.

Outward transaction - Dirham 160 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - China.

Outward transaction - Dirham 250 per transaction
Inward Transaction - Free

Safekeeping

Annual safekeeping fees for dual listed securities - Canada.

(0.0044%) of market value of the registered securities annually.
It is addressed to the investor on a monthly basis.

Annual safekeeping fees for dual listed securities - UK.

(0.0055%) of market value of the registered securities annually.
It is addressed to the investor on a monthly basis.

Annual safekeeping fees for dual listed securities - USA.

(0.0055%) of market value of the registered securities annually.
It is addressed to the investor on a monthly basis.

Annual safekeeping fees for dual listed securities - France.

(0.0066%) of market value of the registered securities annually.
It is addressed to the investor on a monthly basis.

Annual safekeeping fees for dual listed securities - Germany.

(0.0066%) of market value of the registered securities annually.
It is addressed to the investor on a monthly basis.

Annual safekeeping fees for dual listed securities - Hong Kong.

(0.0066%) of market value of the registered securities annually.
It is addressed to the investor on a monthly basis.

Annual safekeeping fees for dual listed securities - Japan.

(0.0066%) of market value of the registered securities annually.
It is addressed to the investor on a monthly basis.

Annual safekeeping fees for dual listed securities - India.

(0.0099%) of market value of the registered securities annually.
It is addressed to the investor on a monthly basis.

Annual safekeeping fees for dual listed securities - China.

(0.0467%) of market value of the registered securities annually.
It is addressed to the investor on a monthly basis.

Cross listed securities transfers

Transfer between two markets

Dirham 50

Inheritance Transfers

Inheritance Distribution

for each person, Dirham 30, minimum of Dirham 100, maximum of Dirham 600

Inheritance Transfer

0.20% of MKT value using previous day closing price with a minimum of Dirham 25 from one side

Off Market Transfers

Transfer ownership between an owner account to company account and vice versa.
Or from the company account to another related company account

0.4% of MKT value using previous day closing price
with a minimum of Dirham 50 from one side
(1 Mil. Cap on transaction fees)

Transfer of securities from the individual investor account to the account of the individual institution or vice versa.

0.20% of MKT value using previous day closing price with a minimum of Dirham 25 from one side.

Family Transfer

0.20% of MKT value using previous day closing price with a minimum of Dirham 25 from one side.

Founders Transfer

0.20% of MKT value using previous day closing price with a minimum of Dirham 25 from both sides.

Open Deed Transfer

0.20% of MKT value using previous day closing price with a minimum of Dirham 200 from one side.

Court Order Transfer

0.20% of MKT value using previous day closing price with a minimum of Dirham 25 from one side.

Joint Certificate Transfer

0.20% of MKT value using previous day closing price with a minimum of Dirham 25 from one side.

Financial Settlement Transfer

0.20% of MKT value using previous day closing price with a minimum of Dirham 100 from one side

Transfer shares from the financial institution to the investor account for financing (Islamic Finance)

0.20% of MKT value using previous day closing price with a minimum of Dirham 100 including SCA commission 0.05% from every transfer transaction

Transfer securities from REPO Seller to REPO Buyer

0.20% of MKT value using previous day closing price with a minimum of Dirham 100, SCA commission 0.05% from every transfer transaction

Transfer securities from REPO Buyer to REPO Seller

Dirham 1000 per company, SCA commission 0.05% from every transfer transaction

Securities Ownership Transfer from a company/establishment account to its employee’s accounts under incentive program or scheme.

0.20% of MKT value using previous day closing price with a minimum of Dirham 25 from both sides

Securities Ownership Transfer between legal entities as results of liquidation, acquisition and mergers of legal entities.

0.4% of MKT value using previous day closing price
with a minimum of Dirham 50 from one side
(1 Mil. Cap on transaction fees)

Securities Ownership Transfer between investment funds or investment accounts of the same natural or legal person.

0.4% of MKT value using previous day closing price
with a minimum of Dirham 50 from one side
(1 Mil. Cap on transaction fees)

Securities Ownership Transfer with AD CSD approval

0.4% of MKT value using previous day closing price
with a minimum of Dirham 50 from one side
(1 Mil. Cap on transaction fees)

Security Freeze

Freeze securities in Registry Account based on investor request

Dirham 100 per Security

Registry Transfer

Transfers from Client’s Account at Broker to Client’s Account at Registry

Dirham 10 Per Security

Pledge Release

Dirham 100 per form
(non-refundable)

Service of posting advertisement for lost share certificate

Publication of lost share certificate for a listed company for the purpose of deposit

Dirham 500 to each request / per
investor

Other Securities Transfers

Securities transfer between multiple NIN, belonging to same investor

Dirham 200 per security.

Securities transfer between Nominee Account and Beneficiary Account, with NCBO.

Dirham 200 per security.

Securities transfer from Stability manager account to issuer/shareholder account.

Dirham 10,000 per transaction

Securities transfers between market making NIN and prop NIN

Dirham 150 per security

Registration of the lending process

0.02% from the below calculation for each side (Lender Agent & Borrower Agent) OR 0.04% from Borrower Agent only
Calculation method:
(Daily number of borrowed securities X Close
price X 0.0002 or 0.0004) ÷ 365 X Number of loan days

The return of borrowed securities from the borrower account back to the lender account

Free of Charge

The transfer of securities from the lender account to the borrower account

Free of Charge

Transfer of collateral securities from borrower to lender.

Free of Charge

Capital Change

0.04% of par value with a minimum of Dirham 25,000 and a maximum of Dirham 500,000

Stock Split

Dirham 20 for each shareholder with a minimum of Dirham 25,000 and a maximum of Dirham 500,000

Distribution of Treasury shares to the shareholders of the company

0.4% of par value with a minimum of Dirham 25,000 and a maximum of Dirham 500,000

Merge two Listed Companies in the System

Dirham 150,000 from each company

Pledgee Membership registration (one off on-boarding charge)

Dirham 2,000 registration fee
Dirham 1,000 annual renewal fee

Pledge Recording

0.20% of MKT value using previous
day closing price with a minimum of
Dirham 100

Pledge Release

Dirham100 per form
(non-refundable)

Pledge Report

Dirham 5 / shareholder as a soft copy with a
minimum of Dirham 300 and a maximum of Dirham 5,000 And/Or Dirham 200 for the first 20 pages
and another Dirham 20 for each additional page
if a hard copy is requested

Investors' Reports and Letters

Issuing Holdings Letters

• Ownership letter
• To whom it may concern letter
• Audit confirmation letter

Dirham 100

Printing Investors Reports (Hard copy)

• Investor Balance Report
• Trading Report
• Investor Portfolio Report

Dirham 10 for the first 10 pages, an addition of Dirham 5 on each extra page

Printing Investors Reports (Soft copy)

• Investor Balance Report
• Trading Report
• Investor Portfolio Report

Dirham 100

Report with different specifications
(Hard Copy)

Dirham 400 for the first 10 pages, an addition of Dirham 20 on each extra page. Maximum of Dirham 15,000

Report with different specifications
(Soft Copy)

0.5 for each line, minimum of Dirham 400, Maximum of Dirham 15,000

Listed Companies' Reports and Letters

Issuing Holdings Letters

• Ownership letter
• To whom it may concern letter
• Audit confirmation letter

Dirham 100

Sharebook Report

Dirham 0.3 / shareholder as a soft copy with a minimum of Dirham 500 and a maximum of Dirham 5,000
And / Or
Dirham 0.5 / shareholder with a minimum of Dirham 1,000 and a maximum of Dirham 10,000 if a hard copy is requested

Pledge Report

Dirham 5 / shareholder as a soft copy with a
minimum of Dirham 300 and a maximum of Dirham 5,000
And/Or
Dirham 200 for the first 20 pages
and another Dirham 20 for each additional page
if a hard copy is requested

Other Reports
(Hard Copy)

Dirham 200 for the first 20 pages, Dirham 20 each additional page. With maximum of Dirham 5,000

Other Reports
(Soft Copy)

Dirham 0.5 / record as a soft copy with a minimum of Dirham 300 and a maximum of Dirham 15,000

Printing Investors Reports
Report with different specifications
(Soft Copy)

0.5 for each line, minimum of Dirham 400, Maximum of Dirham 15,000

Printing Investors Reports (Hard copy)

• Investor Balance Report
• Trading Report
• Investor Portfolio Report

Dirham 10 for the first 10 pages, an addition of Dirham 5 on each extra page

Printing Investors Reports (Soft copy)

• Investor Balance Report
• Trading Report
• Investor Portfolio Report

Dirham 100

Brokers' Reports and Letters

Issuing Holdings Letters

• Ownership letter
• To whom it may concern letter
• Audit confirmation letter

Dirham 100

Clients’ positions report

Dirham 0.3 / shareholder as a soft copy with a minimum of Dirham 500 and a maximum of Dirham 5,000
And / Or
Dirham 0.5 / shareholder with a minimum of Dirham 1,000 and a maximum of Dirham 10,000 if a hard copy is requested

Other Reports
(Soft Copy)

Dirham 0.5 / record as a soft copy with a minimum of Dirham 300 and a maximum of Dirham 15,000

Other Reports
(Hard Copy)

Dirham 200 for the first 20 pages, Dirham 20 each additional page. With maximum of Dirham 5,000

Printing Investors Reports
Report with different specifications
(Soft Copy)

0.5 for each line, minimum of Dirham 400, Maximum of Dirham 15,000

Custodians' Letters and Reports

Preparing electronic reports upon request.
Service charge is billed annually.

50 Fils per row in the report. The minimum fee is Dirham 200 and the maximum is Dirham 3,000

Safekeeping of company register fee - Company paid up capital in Dirham - Million (1-10)

5,000

Safekeeping of company register fee - Company paid up capital in Dirham - Million (10-50)

10,000

Safekeeping of company register fee - Company paid up capital in Dirham - Million (50-100)

15,000

Safekeeping of company register fee - Company paid up capital in Dirham - Million (100-250)

20,000

Safekeeping of company register fee - Company paid up capital in Dirham - Million (250-500)

25,000

Safekeeping of company register fee - Company paid up capital in Dirham - (500 Million -1 Billion)

30,000

Safekeeping of company register fee - Company paid up capital in Dirham - (More than 1 Billion)

40,000

Registration of Transfer of Ownership

0.275% of securities’ face value minimum of Dirham 200 from both sides