Related provisions for FEES 5.3.5

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FEES 12.4.1GRP
The FCA may reduce or remit all or part of the FOS ADR levy applicable to FOS Ltd if it appears to the FCA that in the exceptional circumstances of a particular case paying all or part of it would be inequitable.
FEES 12.4.2GRP
The FCA may refund all or part of the FOS ADR levy applicable to FOS Ltd if it appears to the FCA that in the exceptional circumstances of a particular case retaining all or part of the FOS ADR levy applicable to FOS Ltd would be inequitable.
SUP 16.12.22ARRP
2The applicable data items referred to in SUP 16.12.4 R are set out according to type of firm in the table below:45Description ofData itemFirms' prudential category and applicable data item (note 1)IFPRUBIPRU firmExempt CAD firmssubject toIPRU(INV)Chapter 13Firms(other thanexempt CAD firms) subject toIPRU(INV)Chapter 13Firmsthat are also in one or more ofRAGs1 to 6 and not subject toIPRU(INV)Chapter 13Solvency statementNo standard format (note 11)Balance SheetFSA001/FINREP (Notes
SUP 16.12.28ARRP
2The applicable data items, reporting frequencies and submission deadlines referred to in SUP 16.12.4 R are set out in the table below. Reporting frequencies are calculated from a firm'saccounting reference date, unless indicated otherwise. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period.Description of data item11Data item11 (note 1)FrequencySubmission deadlineAnnual regulated business revenue up to and including
(1) 1This rule deals with the calculation of:(a) a firm'sgeneral levy in the 12 months ending on the 31 March in which it obtains permission, or was authorised under the Payment Services Regulations or the Electronic Money Regulations4or had its permission and/or payment services activities extended (relevant permissions)3 and the following 12 months ending on the 31 March;3 and33(b) the tariff base for the industry blocks that relate to each of the relevant permissions3.3(2)
1The table below sets out the period within which a firm's tariff base is calculated (the data period) for second year levies calculated under FEES 5.8.2R. The example is based on a firm that acquires permission on 1 November 20146and has a financial year ending 31 March. Where valuation dates fall before the firm receives permission it should use projected valuations in calculating its levies.References in this table to dates or months are references to the latest one occurring
FEES 12.3.2GRP
(1) The FCA may recover the FOS ADR levy as a debt owed to the FCA under paragraphs 23(8) of Schedule 1ZA of the Act.(2) The FCA will consider taking action for recovery (including interest) through the civil courts.
The following rules in FEES apply to VJ participants as part of the standard terms, but substituting 'VJ participant' for 'firm':(1) FEES 2.2.1 R (late payment) but substituting 'FOS Ltd' for 'the FCA';1515(2) FEES 2.3.1 R and 2.3.2 R (remission of fees);(3) [deleted]18(4) FEES 5.3.6 R (general levy) but substituting:(a) 'Voluntary Jurisdiction' for 'Compulsory Jurisdiction'; and(b) 'FOS Ltd' for 'the FCA';1515(5) FEES 5.3.8 R (calculation of general levy) but substituting:18(a)
FEES 10.1.7GRP
The total amount raised by the pensions guidance levy may vary from year to year depending on the amount notified to the FCA by the Secretary of State2.
(1) 3Except as set out in (3), a participant firm which does not conduct business in respect of which the FSCS may pay compensation4 and has no reasonable likelihood of doing so is exempt from a specific costs levy, or a compensation costs levy, or both, provided that:(a) it has notified the FSCS in writing that those conditions apply; and(b) the conditions in fact continue to apply.(2) The exemption takes effect from the date on which the notice was received by the FSCS, subject
A firm must pay annually to the FCA the general levy on or before the later of 1 April and 30 calendar days after the date when the invoice is issued by the FCA.1
(1) A firm must provide the FCA by the end of February each year (or, if the firm has become subject to the Financial Ombudsman Service part way through the financial year, by the date requested by the FCA) with a statement of:(a) the total amount of relevant business (measured in accordance with the appropriate tariff base(s)) which it conducted; or8(b) in the case of firms in industry blocks 2 and 4, the gross written premium for fees purposes as defined in FEES 4 Annex 1AR