FEES 5 Annex 1R Annual Fees Payable in Relation to 2006/0747

R01/04/2007

Introduction: annual budget

1. The annual budget for 2006/07 approved by the FSA is 59.2m.1

Part 1: General levy and supplementary levy

2. The total amount expected to be raised through the general levy in 2006/07 will be 15.8m.1

Part 2: Fee tariffs for general levy and supplementary levy

3. No establishment costs will be raised in 2006/071 by the supplementary levy.

Industry block	Tariff base	General levy payable by firm
1-Deposit acceptors, mortgage lenders and administrators (excluding firms in block 14)	Number of accounts relevant to the activities in DISP 2.6.1 R	0.0059 per relevant account, subject to a minimum levy of 1001
2-Insurers - general (excluding firms in blocks 13 & 15)	Relevant annual gross premium income	0.055 per 1,000 of relevant annual gross premium income, subject to a minimum levy of 100 1
3-The Society (of Lloyd's)	Not applicable	28,0001 to be allocated by the Society
4. Insurers - life (excluding firms in block 15)	Relevant adjusted annual gross premium income	0.124 per 1,000 of relevant adjusted annual gross premium income, subject to a minimum levy of 1001
5-Fund managers (including those holding client money/assets and not holding client money/assets)	Relevant funds under management	0.00071 per 1,000 of relevant funds under management, subject to a minimum levy of 100
6-Operators, trustees and depositaries of collective investment schemes and operators of personal pension schemes or stakeholder pension schemes 2	Flat fee	Levy of 75
7-Dealers as principal	Flat fee	Levy of 50
8-Advisory arrangers, dealers or brokers holding and controlling client money and/or assets	Number of relevant approved persons (controlled functions 21, 22, 24, 25, 26)	160 per relevant approved person(controlled functions 21, 22, 24, 25, 26), subject to a minimum levy of 1601
9-Advisory arrangers, dealers or brokers not holding and controlling client money and/or assets	Number of relevant approved persons (controlled functions 21, 22, 24, 25, 26)	451 per relevant approved person (controlled functions 21, 22, 24, 25, 26), subject to a minimum levy of 50
10-Corporate finance advisers	Flat fee	Levy of 50
11-	N/A for 2006/071
11-
12-	N/A for 2006/071
13-Cash plan health providers	Flat fee	Levy of 50
14-Credit unions	Flat fee	Levy of 50
15-Friendly societies whose tax-exempt business represents 95% or more of their total relevant business	Flat fee	Levy of 50
16-Mortgage lenders, advisersand arrangers (excluding firms in blocks 13, 14 & 15)	Flat fee	Levy of 50
17 - General insurance mediation (excluding firms in blocks 13, 14 & 15)	Flat fee	Levy of 50

4	[not used]
5	The industry blocks in the table are based on the equivalent activity groups set out in Part 1 of FEES 4 Annex 1.
6	Where the tariff base in the table is defined in similar terms as that for the equivalent activity group in Part 2 of FEES 4 Annex 1, it must be calculated in the same way as that tariff base - taking into account only the firm's relevant business.

Part 3: Case fees

Table: Standard case fees and special case fees47

47Compulsory jurisdiction - case fee table
case fee
standard case fee	40049 49	(for the third chargeable complaint and any subsequent chargeable complaint in this49 financial year 2007/0849) 49
special case fee	40049 49	(for the third chargeable complaint and any subsequent chargeable complaint in this49 financial year 2007/0849) 49
The definitions of standard case fee49 and special case fee49 are in FEES 5.5 in the FSA Handbook. 49 49 49
The definition of a chargeable case is in the Glossary to the FSA Handbook.

Part 4: VJ participants47

Table: Fee tariffs and case fees for VJ participants47

47Voluntary jurisdiction - general levy tariff and case fee table
industry block and business activity		tariff basis	tariff rate	minimum levy	case fee*
1V	deposit acceptors, mortgage lenders and administrators, including debit/charge card issuers	number of relevant accounts	0.00949 5	100	40049 5
2V	VJ participants 49undertaking insurance activities subject only to prudential regulation 7	per 1,000 of relevant annual gross premium income	0.0655 5	100	40049 5
3V	VJ participants 49undertaking insurance activities subject to prudential and conduct of business regulation 49	Per 1,000 of relevant adjusted annual gross premium income	0.1425 5	100	4005 5
6V	intermediaries	n/a	n/a	50	4005 5
8V	National Savings & Investments49	n/a	n/a	10,000	4005
499V	Persons not covered by 1V to 8V undertaking activities which would be consumer credit activities if they were carried on from an establishment in the United Kingdom	n/a	n/a	100	400
*note on case fees As for the compulsory jurisdiction, VJ participants 49will only be charged for the third and subsequent chargeable case in this 49financial year 2007/0849. 49 49

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FEES 5 Annex 1R Annual Fees Payable in Relation to 2006/0747