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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

R

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

11

For 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

(ii) the firm does not fall within Group 4 ofTable 2.3

Table 1

Application group

Description of group

Application fee 2007/0832

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

Application fee 2007/0832

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