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FEES 4 Annex 8 124Periodic fees in relation to the disclosure rules and transparency rules for the period 1 April 72012 to 31 March 20137654

R

Annual fees for the period 1 April 2012 to 31 March 2013765

2367

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.

(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:

(a)

the relevant minimum fee; plus

(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.

Fees from other fee schedules contained in other sections of the sourcebook may be applicable to a single submission.

Table 1

Annual fees for non-listed issuers of securitised derivatives, depositary receipts and global depositary receipts

Issuer

Fee amount

Issuers of securitised derivatives

£3,360753

237

Issuers of depositary receipts and global depositary receipts

£2,688753

2357

Table 2

Fee payable

Minimum fee (£)

3,360753

2357

£ million of Market Capitalisation as at the last business day of the November prior to the FSA financial year in which the fee is payable7

Fee (£/£m or part £m of Market Capitalisation) as at the last business day of the November prior to the FSA financial year in which the fee is payable)7

0 - 100

0

>100 - 250

21.422767754

23457

>250 - 1,000

8.568538754

23457

>1,000 - 5,000

5.274287754

23457

>5,000 - 25,000

0.128656754

23457

>25,000

0.041565754

23457

There is deducted from the fee specified in this Annex 1.87% 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

7