Content Options

View Options

Status: You are viewing the version of the handbook as on 2012-01-07.

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

1,4306

6

Category 1

Class 1 transactions

Listing particulars for Depositary Receipts4

6,2706

6

Category 2

Listing particulars for issuers of specialist securities4

4

2,7506

6

Category 3

All other vetting only transactions

2,7506

6

Category 4

Supplementary listing particulars

5506

6

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

6,2706

6

Category 2

Equity registration document

3,5208

68

Category 3

Equity securities note and summary

Summary document referred to in PR 1.2.3R(8)

2,7506

6

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)

2,7506

6

Category 5

Non-equity registration document

1,9256

6

Category 6

Non-equity securities note and summary

Summary document referred to in PR 1.2.3R(8)

6606

46

Category 7

Supplementary prospectus and any details produced in a document in relation to LR 16.3.6 R.6

5506

4Category 8

Drawdown prospectus or base prospectus

6606

6

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 super or 7significant transactions and thus attract a higher fee, as set out in 7FEES 3.2.7 R(q) and FEES 3.2.7 R(v)7.4

1