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

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.

(4)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

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

2223

1743

For all other firms the fees in Table 2 are applicable

Table 2

Group 2

>40,000

>200

2223

1903

1403

Group 3

>5,000 - 40,000

26 - 200

903

693

493

Group 4

0 - 5,000

0 - 25

403

293

233

(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.