FEES 4 Annex 8 124Periodic fees in relation to the disclosure rules and transparency rules for the period 1 April 2011 to 31 March 2012654
Annual fees for the period 1 April 2011 to 31 March 201265 236 |
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All non-listed issuers of shares, depositary receipts and securitised derivatives. Annual fees for listed issuers in respect of Disclosure Rules and Transparency Rules obligations are incorporated in the annual fee for listed issuers under the Listing Rules. |
(1) For all non-listed issuers of securitised derivatives, depositary receipts and global depositary receipts the fees payable are set out in Table 1. |
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(2) For all other non-listed issuers, fees to be determined according to market capitalisation as set out in Table 2. The fee is calculated as follows: |
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(a) |
the relevant minimum fee; plus |
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(b) |
the cumulative total of the sums payable for each of the bands calculated by multiplying each relevant tranche of the firm's market capitalisation by the rate indicated for that tranche. |
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Fees from other fee schedules contained in other sections of the sourcebook may be applicable to a single submission. |
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Table 1
Annual fees for non-listed issuers of securitised derivatives, depositary receipts and global depositary receipts
Issuer |
Fee amount |
| 235 | |
Issuers of depositary receipts and global depositary receipts |
235 |
Table 2
Fee payable |
|
Minimum fee (£) |
235 |
£ million of Market Capitalisation |
Fee (£/£m or part £m of Market Capitalisation) |
0 - 100 |
0 |
>100 - 250 |
2345 |
>250 - 1,000 |
2345 |
>1,000 - 5,000 |
2345 |
>5,000 - 25,000 |
2345 |
>25,000 |
2345 |
There is deducted from the fee specified in this Annex 4.7% of the fee payable to take into account financial penalties received by the FSA under section 91 of the Act in the previous financial year.6