FEES 3 Annex 2 Application and notification fees payable in relation to collective investment schemes, ELTIFs 5 and AIFs marketed in the UK4

R

Legislative provision

Nature and purpose of fee

Payable by

Amount of fee (£)4

4

Umbrella factor (note 1)1

1

Part 1 [deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

[deleted]1

1

Part 2 Application fees payable for firms to be subject to COLL

Regulation 12 of the OEIC Regulations1

1

On application for an order declaring a scheme to be an ICVC, where the scheme is:

An applicant

2

UCITS scheme

1,200

Non-UCITS retail scheme

1,500

Qualified investor scheme

2,400

Section 242 of the Act

On application for an order declaring a scheme to be an AUT, where the scheme is:

An applicant

22

UCITS scheme

1,200

Non-UCITS retail scheme

1,500

Qualified investor scheme

2,400

2Section 261C of the Act

On application for an order declaring a scheme to be an ACS, whether it is established as a co-ownership scheme or a limited partnership scheme, where the scheme is a:

An applicant

2

UCITS scheme

£1,200

non-UCITS retail scheme

£1,500

qualified investor scheme

£2,400

Section 272 of the Act

On application for an order declaring a scheme to be recognised where the scheme is:3

3

An applicant

3 3

3an EEA AIF equivalent to a non-UCITS retail scheme

1,5003

23

3an EEA AIF equivalent to a qualified investor scheme

2,4003

23

3a non-EEA AIF equivalent to a non-UCITS retail scheme or a qualified investor scheme

8,0003

23

Part 2A Application fees payable for firms applying for a UK AIF to be authorised under the ELTIF regulation 5

Article 5 of the ELTIF regulation5

On application for an AIF to be authorised under the ELTIF regulation5

An applicant5

2,4005

25

Part 3 (notifications)

Section 264 of the Act

On giving notice under section 264 of the Act

The operator

600

23

4Part 4 (Alternative Investment Funds: fees payable for making a notification to the FCA to market an AIF)

4Regulation 57 of the AIFMD UK regulation

On giving notice under regulation 57 of the AIFMD UK regulation

the AIFM

250 per AIF

N/A

4Regulation 58 of the AIFMD UK regulation

On giving notice under regulation 58 of the AIFMD UK regulation

the AIFM

125 per AIF

N/A

4Regulation 59 of the AIFMD UK regulation

On giving notice under regulation 59 of the AIFMD UK regulation

the AIFM

250 per AIF

N/A

Notes:

1.

For an umbrella1 the fee is multiplied by the factor shown in the final column of the table.

1