FEES 3 Annex 6 Fees payable for1 a waiver (or concession)2 or guidance on the availability of either1 in connection with rules implementing Basel Capital Accord
32Part 1Fees payable other than for3 applications for a waiver (or concession) or guidance on the availability of either1 to allow a firm to use the counterparty credit risk internal model method.1
11For firms falling into a group (Group 1) in which five or more significant overseas entities are applying for guidance on the availability of a waiver or concession in connection with future rules implementing the revised Basel Capital Accord (including any amendments), the fees in Table 1 are applicable. Where a request for assistance regarding an Advanced or Foundation IRB application under the Capital Requirements Regulations 2006 has been made to the FSA as detailed in FEES 3.2.7 R (o), the fees in Table 1 and Table 2 are applicable if: (i) the firm is a subsidiary of the applicant in the United Kingdom and has permission to accept deposits; and |
Table 1 |
Application group |
Description of group |
23 | ||
Advanced IRB ('000) |
Foundation IRB ('000) |
AMA ('000) |
||
Group 1 |
Five or more significant overseas entities applying for guidance on the availability of a waiver or concession in connection with future rules implementing the revised Basel Capital Accord (including any amendments) |
2573 33 |
2223 23 |
1743 23 |
For all other firms the fees in Table 2 are applicable |
Table 2 |
Application group |
Description of group |
23 | |||
Modified eligible liabilities (m) |
Number of traders as at 31 December 20063 23 |
Advanced IRB ('000) |
Foundation IRB ('000) |
AMA ('000) |
|
Group 2 |
>40,000 |
>200 |
2223 23 |
1903 23 |
1403 23 |
Group 3 |
>5,000 - 40,000 |
26 - 200 |
903 23 |
693 23 |
493 23 |
Group 4 |
0 - 5,000 |
0 - 25 |
403 23 |
293 23 |
233 23 |
(1) |
Advanced and Foundation IRB applications are applications for guidance regarding the Internal Ratings Based approach for credit risk. AMA applications are applications for guidance regarding the Advanced Measurement Approach for operational risk. |
(2) |
For the purposes of Table 2, a firm's A.1 or A10 tariff data for the relevant period will be used to provide the value of modified eligible liabilities or number of traders. |
2Part 2
Fees payable for applications for a waiver (or concession) or guidance on the availability of either1 to allow a firm to use the counterparty credit risk internal model method.1
52,0003
113