Abu Dhabi Depository (AD CSD) Services and Fees

Brokerage firm - Direct Clearing Member.

ê 25,000 yearly

Brokerage firm - Indirect Clearing Member.

ê 25,000 yearly

Custodian.

ê 50,000 yearly (Deductible from Custody fee)

GCM.

ê 50,000 yearly

Access to NCSD System.

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

Change a password.

ê 50

Change the Brokerage or Custodian company name.

ê 10,000

Daily Share Book
Daily Trade Log (Report)

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

Monthly Share Book
Daily Trade Log (Report)

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

Quarterly Share Book
Daily Trade Log (Report)

ê 50,000

Monthly Share Book
Weekly Trade Log (Report)

ê 20,000

Quarterly Share Book
Weekly Trade Log (Report)

ê 15,000

Merge two Brokers in the System

ê 100,000 / brokerage firm

Securities transfer from Trading account to Depository account

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

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

ê 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.

ê 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 ê 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 (ê 2,000) and Maximum (ê 30,000) .

Transfer between markets

FoP Settlement instructions of dual listed securities - UK.

Outward transaction - ê 100 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - USA.

Outward transaction - ê 100 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - Japan.

Outward transaction - ê 120 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - Canada.

Outward transaction - ê 120 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - France.

Outward transaction - ê 120 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - Germany.

Outward transaction - ê 120 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - Hong Kong.

Outward transaction - ê 150 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - India.

Outward transaction - ê 160 per transaction
Inward Transaction - Free

FoP Settlement instructions of dual listed securities - China.

Outward transaction - ê 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

ê 50

Inheritance Transfers

Inheritance Distribution

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

Inheritance Transfer

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

Family Transfer

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

Founders Transfer

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

Open Deed Transfer

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

Court Order Transfer

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

Joint Certificate Transfer

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

Financial Settlement Transfer

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

Transfer securities from REPO Buyer to REPO Seller

ê 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 ê 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 ê 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 ê 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 ê 50 from one side
(1 Mil. Cap on transaction fees)

Security Freeze

Freeze securities in Registry Account based on investor request

ê 100 per Security

Registry Transfer

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

ê 10 Per Security

Pledge Release

ê 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

ê 500 to each request / per
investor

Other Securities Transfers

Securities transfer between multiple NIN, belonging to same investor

ê 200 per security.

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

ê 200 per security.

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

ê 10,000 per transaction

Securities transfers between market making NIN and prop NIN

ê 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 ê 25,000 and a maximum of ê 500,000

Stock Split

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

Distribution of Treasury shares to the shareholders of the company

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

Merge two Listed Companies in the System

ê 150,000 from each company

Pledgee Membership registration (one off on-boarding charge)

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

Pledge Recording

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

Pledge Release

ê 100 per form
(non-refundable)

Pledge Report

ê 5 / shareholder as a soft copy with a
minimum of ê 300 and a maximum of ê 5,000 And/Or ê 200 for the first 20 pages
and another ê 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

ê 100

Printing Investors Reports (Hard copy)

• Investor Balance Report
• Trading Report
• Investor Portfolio Report

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

Printing Investors Reports (Soft copy)

• Investor Balance Report
• Trading Report
• Investor Portfolio Report

ê 100

Report with different specifications
(Hard Copy)

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

Report with different specifications
(Soft Copy)

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

Listed Companies' Reports and Letters

Issuing Holdings Letters

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

ê 100

Sharebook Report

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

Pledge Report

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

Other Reports
(Hard Copy)

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

Other Reports
(Soft Copy)

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

Printing Investors Reports
Report with different specifications
(Soft Copy)

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

Printing Investors Reports (Hard copy)

• Investor Balance Report
• Trading Report
• Investor Portfolio Report

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

Printing Investors Reports (Soft copy)

• Investor Balance Report
• Trading Report
• Investor Portfolio Report

ê 100

Brokers' Reports and Letters

Issuing Holdings Letters

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

ê 100

Clients’ positions report

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

Other Reports
(Soft Copy)

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

Other Reports
(Hard Copy)

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

Printing Investors Reports
Report with different specifications
(Soft Copy)

0.5 for each line, minimum of ê 400, Maximum of ê 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 ê 200 and the maximum is ê 3,000

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

ê 5,000

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

ê 10,000

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

ê 15,000

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

ê 20,000

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

ê 25,000

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

ê 30,000

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

ê 40,000

Registration of Transfer of Ownership

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