How To Trade In Koromand
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1 LIQUIDITY PROVIDER FEE LIST Table of Contents FEE LIST MEMBER S PROPRIETARY TRADING - LIQUIDITY PROVIDER EQUITY DERIVATIVES DANISH DERIVATIVES NORWEGIAN DERIVATIVES SWEDISH DERIVATIVES FEE LIST CUSTOMER TRADING - LIQUIDITY PROVIDER EQUITY DERIVATIVES SWEDISH DERIVATIVES DKax = derivatives based on Danish shares NNOax = derivatives based on Norwegian shares SEax = derivatives based on Swedish shares SEetf = derivatives based on Exchange Traded Funds SDB = derivatives based on Swedish depository receipts 1 O C T O B E R A P P E N D I X 3 C L I Q U I D I T Y P R O V I D E R F E E L I S T P A G E 1 ( 8 )
2 FEE LIST MEMBER S PROPRIETARY TRADING - LIQUIDITY PROVIDERS DKax = derivatives based on Danish shares NNOax = derivatives based on Norwegian shares SEax = derivatives based on Swedish shares SEetf = derivatives based on Exchange Traded Funds SDB = derivatives based on Swedish depository receipts The fees below are charged Exchange Members, trading on their own behalf on specified account, who fulfill a liquidity provider status. To reach this status the Exchange Member needs to provide liquidity in accordance with the below. To be eligible, the Exchange Member shall inform the Exchange of their intention to act as liquidity provider in accordance with and on a by the Exchange provided form and agree with the Exchange which instruments that are to be measured. For the months that the Exchange Member reaches liquidity provider status fees are charged in accordance with the below. s are always debited in accordance with Appendix 3B Proprietary List in force from time to time and decision whether the Exchange Member has qualified as liquidity provider is taken retroactively on a monthly basis. When an Exchange Member qualifies as liquidity provider, the member is credited the difference between fees for member s proprietary trading and member s liquidity provider fees. For other months, the member is debited fees in accordance with Appendix 3B Proprietary List. Liquidity provider fees are available for products mentioned below. Danish derivatives Options and futures on Danish shares (DKax) traded in DKK Transaction DKK 1.00 per contract No fee is required for stock with a premium of DKK 0.05 or less (For transactions part of an Average Price Trade, no fee is required if average premium is DKK 0.05 or less) Close-out transactions on futures are free of charge Maximum fee is DKK per transaction Maximum fee is DKK per transaction futures and forwards Exercise and 0.03% of the exercise amount*) but not more than DKK per position exercised Assignment Danish stock index and stock index futures (OMXC20CAP) traded in DKK Transaction Stock index and Stock index futures are traded according to different fee levels based on monthly and closing accumulated volume (calendar month) Liquidity provider level 1: contracts DKK 1.00 per contract Liquidity provider level 2: contracts No fee required for stock index with a premium of SEK 0.10 or less (For transactions part of an Average Price Trade, no fee is required if average premium is SEK 0.10 or less) Flexible Contracts (DKax, OMXC20CAP) traded in DKK The fees specified above are also applicable for Flexible contracts 1 O C T O B E R A P P E N D I X 3 C L I Q U I D I T Y P R O V I D E R F E E L I S T P A G E 2 ( 8 )
3 Norwegian derivatives Norwegian derivatives Revenue NASDAQ OMX monthly revenues from Norwegian derivatives shall be shared with the members trading Sharing Norwegian derivatives in accordance with appendix 9 of the Exchange Rules. Options (incl. Weekly Options), futures and forwards on Norwegian shares (NNOax and weekly ) traded in NOK Transaction Options, futures and forwards are traded according to different fee levels based on monthly accumulated volume (calendar month) Liquidity provider level 1: contracts NOK 1.00 per contract Advanced liquidity provider level 1: contracts NOK 0.75 per contract regarding contracts traded electronically or via MPS (the Exchange s manual exchange NOK 1.00 per contract regarding other transactions Transaction, LP in weekly futures and forwards Exercise and Assignment Liquidity provider and advanced liquidity provider level 2: contracts NOK 0.25 per contract No fee is required for stock with a premium of NOK 0.05 or less (For transactions part of an Average Price Trade, no fee is required if average premium is NOK 0.05 or less) Close-out transactions on futures are free of charge Maximum contracts per transaction will be accumulated to monthly volume. Option contracts traded at no fee will not be accumulated to monthly volume. Liquidity Providers in Norwegian Single Stock Weekly : according to the above for all types of transactions in Weekly, including transactions part of an Average Price Trade (APT), except for contracts traded electronically. SEK 0 for Weekly option contracts traded electronically Maximum fee is NOK per transaction Maximum fee is NOK per transaction 0.03% of the exercise amount*) but not more than NOK per position exercised Norwegian stock index and stock index futures (OMXO20) traded in NOK Transaction Liquidity provider: and closing NOK 0.60 per contract Advanced liquidity provider: (contracts not traded at discount fees) NOK 0.45 per contract regarding contracts traded electronically or via MPS (the Exchange s manual exchange NOK 0.60 per contract regarding other transactions No fee required for stock index with a premium of SEK 0.10 or less (For transactions part of an Average Price Trade, no fee is required if average premium is SEK 0.10 or less) 1 O C T O B E R A P P E N D I X 3 C L I Q U I D I T Y P R O V I D E R F E E L I S T P A G E 3 ( 8 )
4 holiday: No fee for index and futures until December 31, 2015 Flexible Contracts (NNOax, OMXO20) traded in NOK The fees specified above are also applicable for Flexible contracts holiday: No fee for index and futures until December 31, 2015 Swedish derivatives Options (incl. Weekly Options), futures and forwards on Swedish shares and Exchange Traded Funds (SEax, SDB, SEetf and weekly ) traded in SEK Transaction Options, futures and forwards are traded according to different fee levels based on monthly accumulated volume (calendar month) Liquidity provider level 1: contracts SEK 1.00 per contract Advanced liquidity provider level 1a: contracts SEK 0.75 per contract regarding contracts traded electronically or via MPS (the Exchange s manual exchange SEK 1.00 per contract regarding other transactions Advanced liquidity provider level 1b: contracts SEK 0.50 per contract regarding contracts traded electronically or via MPS (the Exchange s manual exchange SEK 0.75 per contract regarding other transactions Transaction, LP in weekly futures and forwards Exercise and Assignment Liquidity provider and advanced liquidity provider level 2: contracts No fee is required for stock with a premium of SEK 0.05 or less (For transactions part of an Average Price Trade, no fee is required if average premium is SEK 0.05 or less) Close-out transactions on futures are free of charge Maximum contracts per transaction will be accumulated to monthly volume. Option contracts traded at no fee will not be accumulated to monthly volume. Liquidity Providers in Swedish Single Stock Weekly : according to the above for all types of transactions in Weekly, including transactions part of an Average Price Trade (APT), except for contracts traded electronically. SEK 0 for Weekly option contracts traded electronically Maximum fee is SEK per transaction Maximum fee is SEK per transaction 0.03% of the exercise amount*) but not more than SEK per position exercised 1 O C T O B E R A P P E N D I X 3 C L I Q U I D I T Y P R O V I D E R F E E L I S T P A G E 4 ( 8 )
5 Swedish stock index Monthly and Weekly and stock index futures (OMXS30, OMXSB) traded in SEK Transaction Stock index and Stock index futures are traded according to different fee levels based on monthly and closing accumulated volume (calendar month) Liquidity provider level 1: contracts SEK 2.00 per contract Advanced liquidity provider level 1: contracts (contracts not traded at discount fees) SEK 1.50 per contract regarding contracts traded electronically or via MPS (the Exchange s manual exchange SEK 2.00 per contract regarding other transactions Specific volume requirements for Swedish stock index and Swedish stock index futures Liquidity provider and advanced liquidity provider level 2: contracts No fee required for stock index with a premium of SEK 0.10 or less (For transactions part of an Average Price Trade, no fee is required if average premium is SEK 0.10 or less) Stock index option fee is capped at contracts per transaction. In addition to any Liquidity Provider list qualification criteria set out in the Description of Liquidity Provider Programme in Swedish Instruments, a liquidity provider must meet at least one of the two below volume thresholds in each calendar quarter to be entitled to the fees listed above in this appendix (Swedish stock index (monthly and weekly) and stock index futures (OMXS30, OMXSB) traded in SEK). A liquidity provider that does not fulfill this requirement in a specific calendar quarter will be charged the proprietary fees for Swedish stock index and Swedish stock index futures set out in Appendix 3B (Proprietary list) during the two subsequent calendar quarters. The fees in the Proprietary list will apply for the two subsequent calendar quarters regardless of the liquidity provider during these two calendar quarters fulfills the requirement. However, after such two calendar quarters and provided that the liquidity provider meets the requirement the liquidity provider shall be entitled to the fees listed above in this appendix. Minimum required volumes for liquidity providers: Threshold 1: A liquidity provider must trade a minimum of Swedish stock index option contracts on proprietary accounts during a calendar quarter. Threshold 2: A liquidity provider s number of Swedish stock index option contracts traded on proprietary accounts during a calendar quarter must exceed 10% of the liquidity provider s total number of traded Swedish stock index futures contracts during the same quarter. Stock index traded at no fee will not be included in traded volumes Swedish stock index dividend futures (OMXS30DVP) traded in SEK Transaction and closing SEK 1.50 per contract Maximum is SEK per transaction Flexible Contracts (SEax, SDB, OMXS30, OMXSB) traded in SEK 1 O C T O B E R A P P E N D I X 3 C L I Q U I D I T Y P R O V I D E R F E E L I S T P A G E 5 ( 8 )
6 The fees specified above are also applicable for Flexible contracts *) is calculated per contract and is rounded off to three (3) decimals 1 O C T O B E R A P P E N D I X 3 C L I Q U I D I T Y P R O V I D E R F E E L I S T P A G E 6 ( 8 )
7 FEE LIST CUSTOMER TRADING - LIQUIDITY PROVIDERS SEax = derivatives based on Swedish shares SEetf = derivatives based on Exchange Traded Funds SDB = derivatives based on Swedish depository receipts The fees below are charged for customer trading on a specified account, which fulfill a liquidity provider status. Such specified account may only be used in respect of one customer. To reach this status the trading via such account shall provide liquidity in accordance with the below. To be eligible, the customer shall have the right to use Sponsored Access in accordance with section 2.9 of the Exchange Rules and that the Exchange Member that has permitted the customer to use Sponsored Access has informed the Exchange of the intention to act as liquidity provider in accordance with and on a by the Exchange provided form and agreed with the Exchange which instruments that are to be measured. For the months the trading on such account reaches liquidity provider status, fees are charged in accordance with the below. s are always debited in accordance with Appendix 3 List in force from time to time and decision whether the trading has qualified as liquidity provider is taken retroactively on a monthly basis. When the trading qualifies as liquidity provider, a payment is made equal to the difference between the fees for client trading and fees for customer trading - liquidity provider. For other months, fees are debited in accordance with Appendix 3 List. Liquidity provider fees are available for the products mentioned below. Options (incl. Weekly ), futures and forwards on Swedish shares and Exchange Traded Funds (SEax, SDB, SEetf, and weekly ) traded in SEK Transaction Options, futures and forwards are traded according to different fee levels based on monthly accumulated volume (calendar month) Liquidity provider level 1: contracts SEK 1.00 per contract Transaction, LP in weekly futures and forwards Exercise and Assignment Liquidity provider level 2: contracts No fee is required for stock with a premium of SEK 0.05 or less (For transactions part of an Average Price Trade, no fee is required if average premium is SEK 0.05 or less) Close-out transactions on futures are free of charge Maximum contracts per transaction will be accumulated to monthly volume. Option contracts traded at no fee will not be accumulated to monthly volume. Liquidity Providers in Swedish Single Stock Weekly : according to the above for all types of transactions in Weekly, including transactions part of an Average Price Trade (APT), except for contracts traded electronically. SEK 0 for Weekly option contracts traded electronically Maximum fee is SEK per transaction Maximum fee is SEK per transaction 0.03% of the exercise amount*) but not more than SEK per position exercised 1 O C T O B E R A P P E N D I X 3 C L I Q U I D I T Y P R O V I D E R F E E L I S T P A G E 7 ( 8 )
8 Swedish stock index Monthly and Weekly and stock index futures (OMXS30, OMXSB) traded in SEK Transaction Stock index and Stock index futures are traded according to different fee levels based on monthly and closing accumulated volume (calendar month) Liquidity provider level 1: contracts SEK 2.00 per contract Specific volume requirements for Swedish stock index and Swedish stock index futures Liquidity provider level 2: contracts No fee required for stock index with a premium of SEK 0.10 or less (For transactions part of an Average Price Trade, no fee is required if average premium is SEK 0.10 or less) Stock index option fee is capped at contracts per transaction. In addition to any Liquidity Provider list qualification criteria set out in the Description of Liquidity Provider Programme in Swedish Instruments, a liquidity provider must meet at least one of the two below volume thresholds in each calendar quarter to be entitled to the fees listed above in this appendix (Swedish stock index (monthly and weekly) and stock index futures (OMXS30, OMXSB) traded in SEK). A liquidity provider that does not fulfill this requirement in a specific calendar quarter will be charged the fees for Swedish stock index and Swedish stock index futures set out in Appendix 3 ( list) during the two subsequent calendar quarters. The fees will apply for the two subsequent calendar quarters regardless of the liquidity provider during these two calendar quarters fulfills the requirement. However, after such two calendar quarters and provided that the liquidity provider meets the requirement the liquidity provider shall be entitled to the fees listed above in this appendix. Minimum required volumes for liquidity providers: Threshold 1: A liquidity provider must trade a minimum of Swedish stock index option contracts on LP accounts during a calendar quarter. Threshold 2: A liquidity provider s number of Swedish stock index option contracts traded on LP accounts during a calendar quarter must exceed 10% of the liquidity provider s total number of traded Swedish stock index futures contracts during the same quarter. Stock index traded at no fee will not be included in traded volumes Flexible Contracts (SEax, SDB, OMXS30, OMXSB) traded in SEK The fees specified above are also applicable for Flexible contracts *) is calculated per contract and is rounded off to three (3) decimals 1 O C T O B E R A P P E N D I X 3 C L I Q U I D I T Y P R O V I D E R F E E L I S T P A G E 8 ( 8 )
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