2. Aplicación
2.5. Diseño del sistema
2.5.3. Estructura de clases
Rate plans are posted on the Company’s website in the Internet at: http://www.ricom.ru/ishop/doc/Appbrok8.doc
Valid from November 02, 2009
Commission rates for brokerage services on MICEX Stock Exchange and in RTS System of Guaranteed Quotations
for transactions with stocks, bonds and investment shares
Rates are specified EXCLUSIVE of VAT. Rates including VAT can be found here
Rate plan No 1 “Active Trader New”* Daily New
Trading turnover per day (rub.) Rate, % from 100, 000 inclusive 0.045
from 100,000 up to 1,000,000 inclusive 0.03 over 100,000 rub. from 1,000,000 up to 5,000,000 inclusive 0.024 over 1,000,000 rub. from 5,000,000 up to 15,000,000 inclusive 0.02 over 5,000,000 rub.
over 15,000,000 0.015 over 15,000,000 rub.
Monthly New
Trading turnover for previous month (rub.) Rate, % up to 1,000,000 inclusive 0.045 from 1,000,000 up to 5,000,000 inclusive 0.034 from 5,000,000 up to 20,000,000 inclusive 0.030 from 20,000,000 up to 100,000,000 inclusive 0.025 from 100,000,000 up to 250,000,000 inclusive 0.020 over 250,000,000 0.015
* For this rate plan discounts may be provided (see Section “Discount commission fees for brokerage services”)
Rate Plan No 2 “Investor”
Trading turnover per month (rub.) Rate up to 1,000,000 inclusive 43 rub. per trade*
over 1,000,000 “Active Trader New” daily
*One trade means one execution of the Customer’s order for one issuer, even if it has been executed partially or
in several approaches
. (see Section “Procedure for and conditions of levying rates on brokerage
services”)
Rate Plan No 3 “Platinum”
Trading turnover per month (rub.) Rate up to 100,000,000 inclusive 12,300 rub.
over 100,000,000 12,300 rub. + 0.005% of the amount exceeding 100,000,000 rub.
Rate Plan No 4 “Active trader”*
At the moment this rate plan is not available however Customers selected this rate plan before 01.07.2008 may find all necessary information on the plan here
Daily**
Trading turnover per day (rub.) Rate, % up to 250,000 inclusive 0.045
from 250,000 up to 1,000,000 inclusive 0.04 over 250,000 rub. from 1,000,000 up to 5,000,000 inclusive 0.034 over 1,000,000 rub. from 5,000,000 up to 10,000,000 inclusive 0.026 over 5,000,000 rub. over 10,000,000 0.021 over 10,000,000 rub.
Monthly**
Trading turnover for previous month (rub.) Rate, % up to 3,000,000 inclusive 0.045 from 3,000,000 up to 5,000,000 inclusive 0.040 from 5,000,000 up to 10,000,000 inclusive 0.035 from 10,000,000 up to 20,000,000 inclusive 0.033 from 20,000,000 up to 50,000,000 inclusive 0.030 from 50,000,000 up to 100,000,000 inclusive 0.026 from 100,000,000 up to 300,000,000 inclusive 0.020 over 300,000,000 0.015
* For this rate plan discounts may be provided (see Section “Discount commission fees for brokerage services”) ** Customers subscribed to the Regulations on provision of brokerage services before 01.07.2008 are serviced in accordance with this Rate Plan, unless the Customer later selected any other Rate Plan
Commission fee for transactions on the over-the-counter market is 0.26% of the amount of the transaction but not less
than 423.73 rubles (VAT exclusive) and no more than 8,474.58 rubles (VAT exclusive).
Commission fee for sale and purchase transactions in the over-the-counter market of shares of unit investment fund managed by Limited Liability Company (OOO) “Holding Company “Ricom-Trust” is 8.5 rubles (VAT exclusive).
Customer’s registration and opening of a brokerage account under a commission agreement through the Internet and
in the Company’s office – commission-free.
Minimum amount for opening the account 10,000 rubles.
The Customer may give a voice, fax or personal order in a form of Annex 5 to “The Regulations on provision of brokerage services in the securities market of ZAO “IC “RICOM-TRUST”. The amount of brokerage
commission for this transaction shall be calculated by multiplying a 1.5 coefficient by the rate in accordance with the Customer’s effective Rate Plan. On order may be sent by fax: (499) 241-81-60 and confirmed over the phone: (499) 241-52-85. For giving an oral order the following phone number may be used: (499) 241-76-50.
Procedure for setting and changing rates for brokerage services
1. Number and name of the Rate Plan selected by the Customer (N 1 "Active Trader - дневной New" или N 1 "Active Trader - месячный New", N 2 "Investor", N 3 "Platinum") as well as the Customer’s wish to change the Rate Plan shall be specified in a letter sent by the Customer to the Company or via the Internet Shop.
2. The letter shall be made in any form and shall specify the number (name) of the Rate Plan and the Customer’s full name and account number. The letter may be sent by fax: (499) 241-81-60 or by mail. 3. The Rate Plan may not be changed more often than once a month and in case of such change the new Rate Plan selected by the Customer shall come into force on the first business day of the month but not earlier than the date of receipt by the Company of the Customer’s letter.
Procedure for and conditions of levying rates on brokerage services
1. When applying Rate Plan No 2 "Investor" the commission in the amount of 43 rubles per trade (VAT exclusive) shall be withheld at the moment of performance of each transaction. When turnover exceeds 1,000,000 rubles per month the commission shall be charged at the rates of Rate Plan No 1 "Active Trader - Daily New" of the amount of each transaction.
2. When applying Rate Plan No 3 "Platinum" a fixed amount of commission 12 300 rubles (VAT exclusive) shall be withheld at the moment of performance of the first transaction of each month. Market value of the Customer’s securities and money in the account as of the date of subscription to the Rate Plan shall be at least 1,000,000 rubles. Commission at the rate of 0.005% (VAT exclusive) of the Customer’s turnover per month exceeding 100,000,000 rubles shall be charged on the last business day of the month. Application of this Rate Plan will allow the Customer to obtain free consultations and use analytical materials of the
Company. Rate Plan No 3 "Platinum" may be changed only upon the Customer’s applications and shall not be performed automatically due to reduction of the value of the Customer’s securities and money portfolio.
Discount commission fees for brokerage services
1. A “Success Discount” shall be provided to Customers applying Rate Plan No 1 "Active Trader New" and Rate Plan No 4 "Active Trader" at the rate of 30 % of the Company’s commission amount during one calendar month, in case the profit on their accounts is at least 500,000 rubles during two consecutive months.
2. An “Acquaintance Discount” is provided for all Rate Plans at the rate of 10 % of the amount of the
Company’s commission fees. The discount shall be provided to a new Customer referring, when opening an account, to the last name of any existing Customer of the Company who recommended services of IC “RICOM-TRUST” to this Customer. A discount at the same rate shall be provided to the customer given the recommendation. The discount shall be valid during one calendar month of the date of opening the Account by the new Customer.
Interest on loans provided for performance of margin and unsecured transaction and
“OVERNIGHT” loans*
For Customers subscribed to the “OVERNIGHT” service Rate, % per annum Interest for the use of borrowed funds 16 REPO rate for transactions in accordance with paragraph 4.2.8 of the Regulations 12
For Customers subscribed to the “OVERNIGHT” service Rate, % per annum Interest for the use of borrowed funds 20 REPO rate for transactions in accordance with paragraph 4.2.8 of the Regulations 15
Rate, % per annum
“OVERNIGHT” loan interest 3.75%
*
not subject to VAT.Rates for brokerage services on the RTS Derivatives Market FORTS
Description
Rate
Opening an account in the RTS Derivatives Market
FORTS
120 rub.
For performance of one derivative transaction
(conclusion of one futures contract, purchase or sale
of one option)
0.75 of the rate of the exchange duty levied by
the Trading System
For performance of one non-address derivative
transaction (conclusion of one futures contract,
purchase or sale of one option) when performing
scalper* transactions
0.75 of the rate of the exchange duty levied by
the Trading System when performing standard
non-address transaction with this futures
contract or option
For close-out of one position due to performance of a
futures contract/option
1.0 of the rate of the exchange duty levied by
the Trading System
Procedure for calculation of exchange duties levied by the Trading System RTS FORTS can be founded at: http://www.rts.ru/s186
* For futures contracts – non-address transactions leading to opening and closing positions in the futures contract during one trading day. For options scalper transactions shall mean non-address transactions resulting in opening reverse positions for the underlying in case of exercise of options during one trading day. Purchase of a CALL option and sale of a PUT option may result in opening of a long position in a futures contract. Sale of a CALL option and purchase of a PUT option may result in opening of a short position in a futures contract. Scalping pairs for options (purchase of the underlying – sale of the underlying):
CALL sale CALL purchase
CALL sale PUT sale
PUT purchase PUT sale
PUT purchase CALL purchase
Rates for "Trade Advisor" service
Rates are specified exclusive of VAT
Service
Rate
Trade Advisor
Investor
1.5 of the brokerage commission fee in accordance with the Rate Plan selected by
the Customer but minimum 847.46 rubles per month
Trade Advisor
Trader
1.25 of the brokerage commission fee in accordance with the Rate Plan selected by
the Customer but minimum 847.46 rubles per month
Procedure for and conditions of setting rates for "Trade Advisor" service
1. Subscription to the "Trade Advisor" service shall be carried out via the Company’s Internet Shop. The "Trade Advisor" service will be connected on the next business day.
2. Termination of the "Trade Advisor" service shall be carried out via the Company’s Internet Shop. "Trade Advisor" service will be terminated from the first business day of the month but not earlier than the date of submission by the Customer of an application for termination.
Procedure for and conditions of levying rates on brokerage services
1. When the Customer applies Rate Plans No 1 "Active Trader NEW" and No 4 "Active Trader" and subscribes to the "Trade Advisor Investor" service, the brokerage commission shall be debited in a regular manner in the amount calculated in accordance with the above Rate Plans for each trade transaction. On the last business day of the month a fee for the use of the "Trade Advisor Investor" service at the rate of 50% of the amount of the broker’s commission amount paid by the Customer in the current month shall be debited from the Customer’s account. If the amount of brokerage commission payable by the Customer subscribed to the “Trade Advisor Investor” service together with the fee for the use of the "Trade Advisor Investor" service in the current month is less than 847.46 rubles (VAT exclusive), the deficient amount shall be debited from the Customer’s brokerage account on the last business day of the month.
2. When the Customer applies Rate Plans No 1 "Active Trader NEW" and No 4 "Active Trader" and subscribes to the "Trade Advisor Trader" service, the brokerage commission shall be debited in a regular manner in the amount calculated in accordance with the above Rate Plans when performing each trade transaction. On the last business day of the month a fee for the use of the "Trade Advisor Trader" service at the rate of 25% of the amount of the broker’s commission amount paid by the Customer in the current month shall be debited from the Customer’s account. If the amount of brokerage commission payable by the Customer subscribed to the “Trade Advisor Trader” service together with the fee for the use of the "Trade Advisor Trader" service in the current month is less than 847.46 rubles (VAT exclusive), the deficient amount shall be debited from the Customer’s brokerage account on the last business day of the month.
3. When the Customer applies Rate Plan No 2 "Investor" and subscribes to the "Trade Advisor Investor" service, the commission in the amount of 43 rubles per trade (VAT exclusive) shall be withheld at the moment of performance of each transaction. On the last business day of the month a fee for the use of the “Trade Advisor Investor ” service in the amount of 21.5 rubles (VAT exclusive) per each trade performed by the Customer in the current month shall be debited from the Customer’s brokerage account. If the amount of
brokerage commission payable by the Customer subscribed to the “Trade Advisor Investor” service together with the fee for the use of the "Trade Advisor Investor" service in the current month is less than 847.46 rubles (VAT exclusive), the deficient amount shall be debited from the Customer’s brokerage account on the last business day of the month. When the turnover exceeds 1,000,000 rubles per month, the commission shall be charged at the rates of Rate Plan No 1 "Active Trader - Daily New" in accordance with item 1 of these Rules. 4. When the Customer applies Rate Plan No 2 "Investor" and subscribes to the "Trade Advisor Trader" service, the commission in the amount of 43 rubles per trade (VAT exclusive) shall be withheld at the moment of performance of each transaction. On the last business day of the month a fee for the use of the “Trade Advisor Trader” service in the amount of 10.75 rubles (VAT exclusive) per each trade performed by the Customer in the current month shall be debited from the Customer’s brokerage account. If the amount of brokerage commission payable by the Customer subscribed to the “Trade Advisor Trader” service together with the fee for the use of the "Trade Advisor Trader" service in the current month is less than 847.46 rubles (VAT exclusive), the deficient amount shall be debited from the Customer’s brokerage account on the last business day of the month. When the turnover exceeds 1,000,000 rubles per month, the commission shall be charged at the rates of Rate Plan No 1 "Active Trader - Daily New" in accordance with item 1 of these Rules. 5. When the Customer applies Rate Plan No 3 "Platinum" and subscribes to the "Trade Advisor" service, a fee for the use of the "Trade Advisor Investor" service in the amount of 6,150 rubles (VAT exclusive) plus 0.0025% (VAT exclusive) of the Customer’s turnover per month exceeding 100,000,000 rubles shall be withheld on the last business day of the month.
6. When the Customer applies Rate Plan No 3 "Platinum" and subscribes to the "Trade Advisor" service, a fee for the use of the "Trade Advisor Trader" service in the amount of 3,075 rubles (VAT exclusive) plus 0.0025% (VAT exclusive) of the Customer’s turnover per month exceeding 100,000,000 rubles shall be withheld on the last business day of the month.
7. When subscribing to the "Trade Advisor" service the “Acquaintance Discount”, “Success Discount” and individual discounts shall be provided on the total amount of brokerage commission and the fee of the use of the "Trade Advisor" service.
Rates for “Trade Robot” service
Rates are specified exclusive of VAT
Service Rate
“Trade Robot” 15%, inclusive of VAT at the rate of 18%, of increase of the value of property (before tax) as of the last day of the reporting period on accrual basis from the date of commencement of the use of services and 1% per annum of the average value of the property for the reporting period held in a separate brokerage account of the Customer connected the “Trade Robot” service*
* Notes:
1. A reporting period shall be a quarter or a period from the date of subscription to the service “Trade Robot” computer program to the last business day of the current quarter.
2. A date of subscription to the service is the next business day following the date of opening of a separate brokerage account and obtaining by the Customer of the trading organizer’s permission to trade.
3. Increase in the value of property shall be determined as a difference between the cost of property as of the last business day of the reporting period and the value of the property at the date of subscription to the “Trade Robot” service decreased by the amount of funds deposited by the Customer during the reporting period and increased by the amount of funds withdrawn by the Customer during the reporting period, including tax payments and the broker’s remuneration for provision of the “Trade Robot” service withheld for the reporting period.
4. The initial value of property shall be determined as of the moment of connection of the “Trade Robot” service to a separate brokerage account created for the purpose of provision of the service. Confirmation of the value of property shall be a report on the Customer’s portfolio made in accordance with paragraph 7.3 of the Regulations. The value of property shall be determined as the amount of funds and the amount of the cost of securities of the Customer evaluated at closing price of the MICEX Stock Exchange and in case the MICEX Stock Exchange
closing price is not available at purchase quote and in case purchase quote is not available the purchase price for these securities shall be applied for calculation of the property value.
5. The value of property as of the last business day of the reporting period shall be determined in accordance with the report on the Customer’s portfolio created pursuant to paragraph 7.3 of the Regulations.
6. The Broker shall provide the Customer with a certificate of calculation of the amount of payment for services once a quarter within 10 business days of the quarter following the reporting quarter. The relevant certificate shall be provided via e-mail or in writing to the Customer or the Customer’s authorized representative in the Broker’s office located at: 121099, Moscow, Protochnyi pereulok, 6.
7. Payment for services shall be made for the account of property held in the Customer’s brokerage account during the first month of the quarter following the reporting quarter. Payment for consulting services shall be made in
monetary form.
Software Rates
Rates are specified EXCLUSIVE of VAT Rates including VAT can be found here
Rate
Use of the Company’s Internet System
Commission-free
Setting of “RT-Customer” program
Commission-free
Use of “RT-Customer” program for current calendar month
(*see Item 1 of Section “Procedure for and conditions of levying rates”)
170 rub. per month*
Use of software complex “Dixi+”
(**see Item 1 of Section “Procedure for and conditions of levying rates”)
450 rub. per month **
Procedure for and conditions of levying software rates
1. In case the amount of the Company’s commission fee for a calendar month is less than 200 rubles 60 kopeks (VAT inclusive), the payment for the use of the “RT Customer ” program shall be reduced by the amount of the commission fee paid to the Company. If the amount of the Company’s commission fee equals to or is over 200 rubles 60 kopeks, no payment for the use of the “RT Customer” program shall be required. 2. Payment for the use of the “Dixi+” software complex shall be required if you ran the software using your login once or several times during the calendar month. In the event you never ran “Dixi+” program during this calendar month, no payment for this period shall be made.
Development of trade robots under individual requests
The cost shall be determined in each individual case.
Rates for “SMS-notification” service
Rates are specified EXCLUSIVE of VAT