Status: Please note you should read all Brexit changes to the FCA Handbook and BTS alongside the main FCA transitional directions. Where these directions apply the 'standstill', firms have the choice between complying with the pre-IP completion day rules, or the post-IP completion day rules. To see a full list of Handbook modules affected, please see Annex B to the main FCA transitional directions.

FEES 3 Annex 12 UKLA transaction fees

R

1

Category

Fee payable (£)

A1

0

A2

2,000

A3

5,000

A4

15,000

A5

20,000

A6

50,000

For the purposes of FEES 3 Annex 12R:

Category A1 includes:

  1. (a) applying for eligibility for listing of securities under LR 17; or

  2. (b) applying for eligibility for listing of miscellaneous securities under LR 20; or

  3. (c) applying for eligibility for listing of equity shares where LR 6.1.1R(1) or (2)3 applies; or

  4. (ca) applying for eligibility for listing of equity shares where LR 21.2.5R(1) or (2) applies; or4

  5. (cb) applying for eligibility for listing of certificates representing shares where LR 21.6.13R(1) or (2) applies; or4

  6. (d) applying for approval as a primary information provider; or

  7. (e) applying for the approval of a material change to the published investment policy of a closed-ended investment fund under LR 15.4.8R; or

  8. (f) [deleted]5; or

  9. (g) applying for the approval of:

    1. (i) a supplementary prospectus; or

    2. (ii) supplementary listing particulars; or

    3. (iii) a securities note; or

    4. (iv) a summary;

Category A2 includes:

  1. (a) applying for the approval of:

    1. (i) a prospectus in relation to non-equity transferable securities; or

    2. (ii) a registration document in relation to non-equity transferable securities; or

    3. (iii) listing particulars in relation to non-equity transferable securities;

  2. (b) where an issuer has a market capitalisation of less than £500 million:

    1. (i) applying for the approval of a prospectus in relation to equity securities; or

    2. (ii) applying for the approval of a registration document in relation to equity securities; or

    3. (iii) applying for the approval of listing particulars in relation to equity securities; or

    4. (iv) [deleted]5;

    5. (v) applying for the approval of a universal registration document;5 or 6

    6. (vi) applying for the approval of a specified exempted document; 6

  3. (c) submitting a circular for approval; or

  4. (d) where an issuer is a closed-ended investment fund:

    1. (i) applying for the approval of a prospectus in relation to equity securities; or

    2. (ii) applying for the approval of a registration document in relation to equity securities; or

    3. (iii) applying for the approval of listing particulars in relation to equity securities; or

    4. (iv) [deleted]5; or

    5. (v) applying for the approval of a universal registration document;6

      5
    6. (vi) applying for the approval of a specified exempted document; or6

  5. (e) where an issuer is an open-ended investment company2, applying for the approval of listing particulars;

Category A3 includes:

  1. (a) applying for eligibility for listing of equity shares under LR 15; or

  2. (b) applying for eligibility for listing of equity shares under LR 16; or

  3. (c) applying for approval as a sponsor following a change in legal status;

Category A4 includes:

  1. (a) applying for eligibility for listing of equity shares under LR 6; or

  2. (b) applying for eligibility for listing of shares under LR 14; or

  3. (c) applying for eligibility for listing of securities representing certain securities under LR 18; or

  4. (d) applying for eligibility for listing of securities under LR 19; or

  5. (da) applying for eligibility for listing of equity shares under LR 21; or4

  6. (db) applying for eligibility for listing of certificates representing shares under LR 21; or4

  7. (e) applying for the approval of:

    1. (i) a prospectus in relation to equity securities; or

    2. (ii) a registration document in relation to equity securities; or

    3. (iii) listing particulars in relation to equity securities;

  8. (f) ) applying for the approval of a universal registration document5; or

  9. (g) applying for the approval of a document that includes a mineral expert’s report; or

  10. (h) applying for approval as a sponsor; or6

  11. (i) applying for the approval of a specified exempted document;6

Category A5 includes applying for the approval or review of a document in relation to a significant transaction; and

Category A6 includes applying for the approval or review of a document in relation to a super transaction.