FEES 1.1 Application and Purpose

This manual applies in the following way:

1. (1)

   FEES 1, 2 and 3 apply to the fee payers listed in column 1 of the Table of application, notification and vetting fees in FEES 3.2.7 R. .10

   1. (a)

      [deleted]10

      10
   2. (b)

      [deleted]10

      10
   3. (c)

      [deleted]10

      10
   4. (d)

      [deleted]10

      10
   5. (e)

      [deleted]10

   6. (f)

      [deleted]10

      10
   7. (g)

      [deleted]10

      10
   8. (h)

      [deleted]10

      10
   9. (i)

      [deleted]10

      10
   10. (j)

       [deleted]10

       10
   11. (k)

       [deleted]10

       10
   12. (l)

       [deleted]10

       10
   13. (m)

       [deleted]10

       10
   14. (n)

       [deleted]10

       4
   15. (o) 3345410

       [deleted]10

   16. (p) 55410

       [deleted]10

   17. (q) 6510

       [deleted]10

   18. (r) 66510

       [deleted]10

   19. (s)

       [deleted]10

       10
2. (2)

   FEES 1, 2 and 4 apply to:

   1. (a)

      every firm (except ICVC or UCITS qualifier);

   2. (b)

      every manager of an authorised unit trust;

   3. (c)

      every ACD of an ICVC;

   4. (d)

      every person who, under the constitution or founding arrangements of a recognised scheme, is responsible for the management of the property held for or within the scheme;

   5. (e)

      every designated professional body;

   6. (f)

      every recognised body;

   7. (g)

      under the Listing Rules every issuer of shares, depositary receipts and securitised derivatives;

   8. (h)

      under the Listing Rules (LR) 7every sponsor;

      7
   9. (i)

      under the Disclosure Rules and Transparency Rules (DTR)7 every issuer of shares, depositary receipts and securitised derivatives; and7

   10. (j)

       every fee-paying payment service provider;12

   11. (k)

       every fee-paying electronic money issuer.12

3. (3)

   FEES 1, 2 and 5 apply to:

   1. (a)

      every firm , fee-paying payment service provider and fee-paying electronic money issuer12 which is subject to the Compulsory Jurisdiction of the Financial Ombudsman Service; and

   2. (b)

      every other person who is subject to the Compulsory Jurisdiction in relation to relevant complaints.

4. (4)

   FEES 1, 2 and 6 apply to:

   1. (a)

      every participant firm;11

      8
   2. (b)

      the FSCS; and

   3. (c)

      the Society.

5. (5)

   FEES 1, 2 and 7 apply to:

   1. (a)

      every person having a Part IV permission;

   2. (b)

      an incoming EEA firm;

   3. (c)

      an incoming Treaty firm;

   4. (d)

      the Society;12

   5. (e)

      every fee-paying payment service provider except the Bank of England, government departments and local authorities;12

   6. (f)

      every fee-paying electronic money issuer except the Bank of England, government departments, local authorities, municipal banks and the National Savings Bank.12

FEES 1, 2 and 7 do not apply to an incoming EEA firm or an incoming Treaty firm that has not established a branch in the United Kingdom.9

The application statement at FEES 1.1.2R (3) does not apply to

FEES 5.5A, FEES 5 Annex 2R or FEES 5 Annex 3R.1352