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Status: You are viewing the version of the handbook as on 2009-03-31.

FEES 3 Annex 5 Document vetting and approval fees in relation to listing and prospectus rules

R

Part 1

Fee type

Fee amount

Transaction vetting fees

Transaction vetting fees relate to specific events or transactions that an issuer might be involved in during the year.

2

Eligibility

New applicants

1,300

Category 1

Class 1 transactions

Listing particulars for Depositary Receipts4

5,700

Category 2

Listing particulars for issuers of specialist securities4

4

2,500

Category 3

All other vetting only transactions

2,500

Category 4

Supplementary listing particulars

500

Part 2

These fees relate to approval or vetting of the documents referred to in the second column of this table arising in relation to specific events or transactions that an issuer, offeror or person requesting admission might be involved in during the year.

2

Category 1

Equity prospectus

Equivalent document referred to in PR 1.2.2R(2) or (3) or PR 1.2.3R(3) or (4)

Depositary Receipt prospectus4

5,700

Category 2

Equity registration document

4,000

Category 3

Equity securities note and summary

Summary document referred to in PR 1.2.3R(8)

2,500

Category 4

Non-equity prospectus or base prospectus (excluding drawdown prospectus or base prospectus)4

Equivalent document referred to in PR 1.2.2R(2) or (3) or PR 1.2.3R(3) or (4)

2,5006

Category 5

Non-equity registration document

1,750

Category 6

Non-equity securities note and summary

Summary document referred to in PR 1.2.3R(8)

6004

4

Category 7

Supplementary prospectus

5003

4Category 8

Drawdown prospectus or base prospectus

600

For the purposes of categories 1-3 of this fee schedule, equity does not include convertible securities or depositary receipts. These are treated as non-equity.

Where a fee in category 6 or5 8 of this fee schedule is payable, the listing application fee under FEES 3 Annex 4 Part 1 does not apply.4

Fees from other fee schedules contained in other sections of the sourcebook may be applicable to a single submission.

Certain transactions may come within the category of significant transactions and thus attract a higher fee, as set out in 3.2.7(q) R.4

1