FEES 3 Annex 2 Application and notification fees payable in relation to collective investment schemes
Legislative provision |
Nature and purpose of fee |
Payable by |
Amount of fee |
Umbrella scheme factor (note 1) |
Part 1 Application fees payable for firms to be subject to CIS |
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Regulation 12 of the OEIC Regulations |
On application for an order declaring a scheme to be an ICVC |
An applicant |
1,200 |
2 |
Section 242 of the Act |
An applicant |
1,200 |
2 |
|
Section 272 of the Act |
On application for an order declaring a scheme to be an individually recognised overseas scheme |
An application |
14,000 |
2 |
Part 2 Application fees payable for firms to be subject to COLL |
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Regulation 12 of the Act |
On application for an order declaring a scheme to be an ICVC, where the scheme is: |
An applicant |
2 |
|
1,200 |
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1,500 |
||||
2,400 |
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Section 242 of the Act |
On application for an order declaring a scheme to be an AUT, where the scheme is: |
An applicant |
2 |
|
1,200 |
||||
1,500 |
||||
2,400 |
||||
Section 272 of the Act |
On application for an order declaring a scheme to be an individually recognised overseas scheme |
An applicant |
14,000 |
2 |
Section 264 of the Act |
On giving notice under section 264 of the Act |
The operator |
600 |
2 |
Section 270 of the Act |
On giving notice under section 270 of the Act |
The operator |
600 |
2 |
Part 4 (Alternative Investment Funds: fees payable for making a notification to the FCA to market an AIF) |
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Notes: |
|
1. |
For an umbrella scheme the fee is multiplied by the factor shown in the final column of the table. |