FEES 3 Annex 5 Document vetting and approval fees in relation to listing and prospectus rules
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 |
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 |
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.
2Category 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