Source: https://www.handbook.fca.org.uk/handbook?related-provisions-for-provision=FEES%203.1.6A&date=2016-02-03
Timestamp: 2020-04-06 09:13:28
Document Index: 61892746

Matched Legal Cases: ['art 11', 'art 1', 'art 1', 'art 4', 'art 4', 'art 4', 'art 3', 'art 4', 'art 2']

Related provisions for FEES 3.1.6A - FCA Handbook
Related provisions for FEES 3.1.6A
FEES 3.2.7R 09/12/2015 RP
(1) Unless (2) or (3) 59applies, in1 respect of a particular application, the highest of the tariffs set out in FEES 3 Annex 1 part 11 which apply to that application.
134343434
On or before the date that relevant documentation is first submitted to the FCA
(i) a firm applying to the
for permission to use one of the internal approaches listed in FEES 3 Annex 6A (or guidance on its availability), including any future proposed amendments to those approaches or (in the case of any application being made for such permission to the
(ii) in the case of an application to the consolidating supervisor other than the
for the use of the IRB approach and the consolidating supervisor requesting the
appropriate regulator's
assistance in accordance with the EU CRR, any firm to which the
except in the cases specified in FEES 3 Annex 6A
Where the firm has made an application directly to the appropriate regulator, on or before the date the application is made, otherwise within 30 days after the appropriate regulator notifies the firm that its EEA parent's consolidating supervisor has requested assistance.
(1) Unless (2), (2A), (3), (3A), (3B) or 3(C) 59 applies, if the proposed new1 business of the firm would1 fall within one or more activity groups specified in Part 1 of FEES 4 Annex 1A or Part 1 of 57FEES 4 Annex 1BR 59 not applicable before the application1, the fee is 50% of the highest of the tariffs set out in which apply to that application.
(2) Subject to (2A) below, if the firm's application includes an application for a Part 4A permission to carry on a new credit-related regulated activity, the fee is 50% of the highest of the tariffs set out in
FEES 3 Annex 1
that would be payable under (1) above or, if higher, 50% of the highest of the tariffs set out in
that would be payable in relation to the new credit-related regulated activity30
(2A) If an applicant which already has a Part 4A permission to carry on a credit-related regulated activity exclusively applies for a Part 4A permission to carry on a new credit-related regulated activity, that is specified in Part 3 of
in the straightforward category (or if it exclusively applies for a number of such permissions), the fee is £25030
(3A) If the applicant had a limited permission prior to the application to vary its Part 4A permission, 100% of the highest of the tariffs set out in
which apply to that application30
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(i) the issuer has a market capitalisation in excess of 1.5 billion and it is a new applicant for a premium listing1358 under the listing rules, or involved in a reverse or hostile takeover or a significant restructuring; or
(ii) the issuer has a market capitalisation in excess of 5 billion and is involved in a class 1 transaction,7 a transaction requiring vetting of an equity prospectus or equivalent document or a transaction requiring vetting of a prospectus or listing particulars in relation to a Depositary Receipt.22
713587227
On or before the date that the relevant documentation is first submitted to the FCA.3
(1) In the case of an insurance business transfer scheme involving long term insurance business, 9,250 to the PRA and 9,250 to the FCA56; or
(2) in the case of an insurance business transfer scheme not involving long term insurance business, 5,000. to the PRA and 5,000 is payable to the FCA.56
56The amount payable to the PRA above is collected by the FCA as agent of the PRA.
On or before any application is made to the PRA for the appointment of a person as an independent expert.
(i) the issuer has a market capitalisation in excess of 500 million and is producing an equity prospectus or equivalent document, a prospectus or listing particulars22 in relation to a Depository Receipt or a document in relation to a class 1 transaction; or
On or before the date that the relevant documentation is first submitted to the FCA.
(2) requests the FCA's approval or vetting of a document that includes a mineral expert's report.
On or before the date the relevant documentation is first submitted to the FCA.8
(1) Unless (2) applies, 45,000.
57(zp) A person in respect of which the appropriate regulator has given notice of its intention to itself appoint a skilled person to provide it with a report pursuant to section 166(3)(b) of the Act and SUP 5.2.
Any amount invoiced to the appropriate regulator by a skilled person in relation to any work carried out by that skilled person in connection with its appointment by the appropriate regulator pursuant to section 166(3)(b) of the Act.
57(zq) A person in respect of which the appropriate regulator has given notice of its intention to itself appoint a skilled person to collect or update information pursuant to section 166A(2)(b) of the Act.
Any amount invoiced to the appropriate regulator by a skilled person in relation to any work carried out by that skilled person in connection with its appointment by the appropriate regulator pursuant to section 166A(2)(b) of the Act.
33(zr) An applicant for approval as a primary information provider.
On or before the application for approval is made.
32Part 2: Other fees
(i) Where the issuer has not made public its annual financial report before the latest time specified in DTR 4.1.3 R, £250 in respect of that annual financial report.
(ii) Where the issuer has not made public its half-yearly financial report before the latest time specified in DTR 4.2.2 R (2), £250 in respect of that half-yearly financial report.