FEES 3 Annex 2 Application and notification fees payable in relation to collective investment schemes, ELTIFs 5 and AIFs marketed in the UK4
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 |
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[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 |
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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 |
|
1,200 |
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1,500 |
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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 |
22 |
|
1,200 |
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1,500 |
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2,400 |
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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 |
|
£1,200 |
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£1,500 |
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£2,400 |
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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 |
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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) |
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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) |
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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 |