FEES 5 Annex 1R Annual Fees Payable in Relation to 472007/086

R01/11/2007

Introduction: annual budget

1. The annual budget for 2007/08 approved by the FSA is 57.3m.6

Part 1: General levy and supplementary levy

2. The total amount expected to be raised through the general levy in 2007/08 will be 18.3m (net of 1.2m to be raised from consumer credit firms.6

Part 2: Fee tariffs for general levy and supplementary levy

3. No establishment costs will be raised in 2007/086 1 by the supplementary levy.

6 6 6

Industry block	Tariff base	General levy payable by firm
1-Deposit acceptors, mortgage lenders 6and administrators (excluding firms in block 14) 3 6	Number of accounts relevant to the activities in DISP 2.6.1 R	0.0096 per relevant account, subject to a minimum levy of 1001 6
2-Insurers - general (excluding firms in blocks 13 & 15)	Relevant annual gross premium income	0.0656 per 1,000 of relevant annual gross premium income, subject to a minimum levy of 100 6 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	0.126 per 1,000 of relevant adjusted annual gross premium income, subject to a minimum levy of 1001 6
5-Fund managers (including those holding client money/assets and not holding client money/assets)	Relevant funds under management	0.00056 1 per 1,000 of relevant funds under management, subject to a minimum levy of 100 6
6-Operators, trustees and depositaries of collective investment schemes and operators of personal pension schemes or stakeholder pension schemes 2	Flat fee	Levy of 506 6
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 persons approved to perform the customer function (CF30), but excluding those persons solely acting in the capacity of an investment manager or solely advising clients in connection with corporate finance business or performing functions relating to these.	1506 per relevant approved person subject to a minimum levy of 1506 1 6 6
9-Advisory arrangers, dealers or brokers not holding and controlling client money and/or assets	Number of relevant persons approved to perform the customer function (CF30), but excluding those persons solely acting in the capacity of an investment manager or solely advising clients in connection with corporate finance business or performing functions relating to these.	451 per relevant approved person subject to a minimum levy of 50
10-Corporate finance advisers	Flat fee	Levy of 50
11-	N/A for 2007/086 1 6
11-
12-	N/A for 2007/086 1 6
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, advisers6 3and arrangers (excluding firms in blocks 13, 14 & 15) 3 6	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 firms 4

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 3A: Case fees licensees 48

Table: Standard case fees and special case fees48

48Consumer Credit jurisdiction case fee table
case fee
standard case fee	400	(for the third chargeable complaint and any subsequent chargeable complaint in any financial year)
special case fee	400	(for the third chargeable complaint and any subsequent chargeable complaint in any financial year)
Consumer Credit jurisdiction case fee table
The definitions of standard case fee and special case fee are in FEES 5.5, replacing DISP 5.6 (case fees), in the FSA Handbook.
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 472007/086