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

R

Part 1

Fee type

Fee amount £10

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 for:10

standard listings and, in respect of companies which satisfy the requirements of LR 6.1.1A R, premium listings;

101,100

premium listings in respect of companies which do not meet the requirements of LR 6.1.1A R

102,450

Category 1

Class 1 transactions

10

6,2706

6

Category 2

Listing particulars for issuers of specialist securities4 (excluding Depository Receipts)10

4

2,750612

6

12Category 2A

Approval of a material change to the published investment policy of a closed-ended investment fund under LR 15.4.8 R

650

Category 3

All other vetting only transactions

2,7506

6

Category 4

Supplementary listing particulars

5506

6

10Note: The standard listing eligibility fee applies to all standard listings including Depositary Receipts and new issuers of debt securities as well as shares.

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 or listing particulars10

Equivalent document10 referred to in PR 1.2.2R(2) or (3) or PR 1.2.3R(3) or (4)

Depositary Receipt prospectus4 or listing particulars, or

convertible securities or asset backed security prospectus or listing particulars

10

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

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

49

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)

82596

469

Category 7

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

55069

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.

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

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