FEES 1.1 Application and Purpose

This manual applies in the following way:

1. (1)

   FEES 1, 2 and 3 apply to the fee payers listed in column 1 of the Table of application, notification and vetting fees in FEES 3.2.7 R29.

   1048
   1. (a)

      [deleted]10

      10
   2. (b)

      [deleted]10

      10
   3. (c)

      [deleted]10

      10
   4. (d)

      [deleted]10

      10
   5. (e)

      [deleted]10

   6. (f)

      [deleted]10

      10
   7. (g)

      [deleted]10

      10
   8. (h)

      [deleted]10

      10
   9. (i)

      [deleted]10

      10
   10. (j)

       [deleted]10

       10
   11. (k)

       [deleted]10

       10
   12. (l)

       [deleted]10

       10
   13. (m)

       [deleted]10

       10
   14. (n)

       [deleted]10

       4
   15. (o) 3345410

       [deleted]10

   16. (p) 55410

       [deleted]10

   17. (q) 6510

       [deleted]10

   18. (r) 66510

       [deleted]10

   19. (s)

       [deleted]10

       10
2. (2)

   FEES 1, 2 and 4 apply to:

   1. (a)

      every firm (except an AIFM qualifier,18ICVC or UCITS qualifier);

   2. (b)

      every authorised fund manager17 of an authorised unit trust or authorised contractual scheme;

      171717
   3. (c)

      every ACD of an ICVC;

   4. (d)

      every person who, under the constitution or founding arrangements of a recognised scheme19, is responsible for the management of the property held for or within the scheme;

      19
   5. (da)

      every AIFM of a UK ELTIF;28

   6. (e)

      every designated professional body;

   7. (f)

      every recognised body;

   8. (g)

      under the Listing Rules every issuer of shares, depositary receipts and securitised derivatives;

   9. (h)

      under the Listing Rules (LR) 7every sponsor;

      7
   10. (i)

       under the Disclosure Rules and Transparency Rules (DTR)7 every issuer of shares, depositary receipts and securitised derivatives;7

       14
   11. (j)

       every fee-paying payment service provider;12

   12. (k)

       every fee-paying electronic money issuer;1412

       1420
   13. (l)

       14every issuer of a regulated covered bond;20

   14. (m)

       20every AIFM applying to become a small registered UK AIFM and every small registered UK AIFM;22

   15. (n)

       21every AIFM notifying the FCA under regulation 57, 58 and 59 of the AIFMD UK regulation and every AIFM which has made such a notification; and22

   16. (o)

       each of the following that makes transactions reports directly to the FCA under SUP 17 (Transaction reporting):22

       1. (i)

          a firm;

       2. (ii)

          a third party acting on a firm's behalf;

       3. (iii)

          an approved reporting mechanism;

       4. (iv)

          an operator of a regulated market; and

       5. (v)

          an operator of an MTF.

3. (3)

   FEES 1, 2 and 5 apply to:

   1. (a)

      every firm (except to the extent it is bidding in emissions auctions),16fee-paying payment service provider and fee-paying electronic money issuer12 which is subject to the Compulsory Jurisdiction of the Financial Ombudsman Service; and

   2. (b)

      every other person who is subject to the Compulsory Jurisdiction in relation to relevant complaints.

4. (4)

   FEES 1, 2 and 6 apply to:

   1. (a)

      every participant firm;11

      8
   2. (b)

      the FSCS; and

   3. (c)

      the Society.

5. (5)

   FEES 1, 2 and 7 apply to:

   1. (a)

      every person having a Part 4A permission;

   2. (b)

      an incoming EEA firm;

   3. (c)

      an incoming Treaty firm;

   4. (d)

      the Society;12

   5. (e)

      every fee-paying payment service provider except the Bank of England, government departments and local authorities;12

   6. (f)

      every fee-paying electronic money issuer except the Bank of England, government departments, local authorities, municipal banks and the National Savings Bank.12

6. (6)

   15FEES App 1 Annex 1 applies to every:

   1. (a)

      registered society; or

   2. (b)

      sponsoring body; or

   3. (c)

      person who submits a proposal for the registration of a registered society;

      each as defined in FEES Appendix 1.

FEES 1 , 2 and 7 do not apply to an incoming EEA firm or an incoming Treaty firm that has not established a branch in the United Kingdom.9

The application statement at FEES 1.1.2R (3) does not apply to

FEES 5.5A , FEES 5 Annex 2R or FEES 5 Annex 3R.1350

23 FEES 1 and FEES 9 apply

to operators27 of regulated payment systems and direct payment service providers27.

29 FEES 1 and 11 apply to a designated guidance provider.

29 FEES 1 and 12 apply to FOS Ltd.