Related provisions for SUP 16.18.10

MAR 10.5.3G03/01/2018

1The following provisions of the MiFI Regulations regulate the power of the FCA to impose reporting requirements in respect of positions taken in commodity derivatives and emission allowances:(1) Paragraph 8 of Schedule 1 provides that a person must provide the FCA with information in respect of its compliance or non-compliance with position limit requirements, as the FCA may direct; and (2) Paragraph 5 of Schedule 1 provides that the FCA must maintain arrangements designed to

MAR 5.10.7R03/01/2018

An MTF registered as an SME growth market may be deregistered by the FCA in the following cases:(1) the firm operating the market applies for its deregistration; or(2) the requirements in MAR 5.10.2R are (subject to MAR 5.10.3G(1)) no longer complied with.[Note: article 33(5) of MiFID and article 79 of the MiFID Org Regulation]

MAR 5.3A.7R03/01/2018

The firm must report the parameters mentioned in MAR 5.3A.6R to the FCA in writing, by electronic mail to an address for the usual supervisory contact of the firm at the FCA, and obtain an electronic confirmation of receipt.[Note: article 48(5) of MiFID]

SUP 10C.8.3G09/12/2019

Table: Examples of how the other local responsibility function applies

Example	Comments
(1) ‘A’ is allocated local responsibility for one of a branch’s main business lines. A is also appointed to perform a PRA-designated senior management function for the same branch. The firm is a PRA-authorised person 5.	A only needs approval to perform the PRA-designated senior management function.
(2) ‘A’ is outside the branch’s management structure and A’s responsibilities for the branch are limited to setting overall strategy for the branch. A does not have responsibility for implementing that strategy.	A is not performing the other local responsibility function. The reason for this is explained in SYSC 26.8.3G4. SUP 10C.8.1R(2) is irrelevant to this example. 4
(3) A small branch undertakes two business lines (wholesale lending and corporate investments). ‘A’ is head of wholesale lending and is also an executive director of the branch. ‘B’ is head of corporate investments and does not sit on the branch management committee but reports to it on corporate investments. The branch allocates local responsibility for these functions to A and B. Neither A nor B performs any other FCA-designated senior management function or (if the firm is a PRA-authorised person)5 PRA-designated senior management function. 4	A only needs approval to perform the executive director function 4. B needs approval to perform the other local responsibility function. 3
(4) A branch does not have a Head of Internal Audit. ‘P’ is allocated local responsibility for internal audit in relation to that branch.	P needs approval to perform the other local responsibility function. However, if P has already been approved to perform another FCA-designated senior management function or (if the firm is a PRA-authorised person)5 PRA-designated senior management function for that firm 4, then P will not be performing the other local responsibility function.
(5) ‘A’ is appointed to perform the executive director function 4. The same branch also allocates local responsibility for some branch functions to A. 3	A only needs approval to perform the executive director function 4. 3
(6) ‘A’ is approved to perform the other local responsibility function. Later, A is appointed to perform the executive director function 4 for the same firm. 3	A requires approval for the other local responsibility function when A is first appointed. When A is later approved to perform the executive director function 4, A stops performing the other local responsibility function. The firm should use Form E to apply for approval for A to perform the executive director function and to notify the FCA that A is no longer performing the other local responsibility function.4 3 3
(7) ‘A’ is appointed to perform: (a) the compliance oversight function for one firm (Firm X) in a group (which may or may not be an SMCR firm to which the other local responsibility function applies4); and (b) a function coming within the scope of the other local responsibility function for the United Kingdom branch of4 another firm (which is an overseas SMCR firm to which the other local responsibility function applies4) in the same group (Firm Y).	A needs approval to perform the compliance oversight function for Firm X and the other local responsibility function for Firm Y.
(8) ‘A’ is appointed to take on some functions that come within the other local responsibility function. Later, A is appointed as chief risk officer. A is a type of firm for which being chief risk officer is a PRA designated senior management function or an FCA-designated senior management function 5. 4	On A’s first appointment, A will need to be approved to perform the other local responsibility function. On being approved as chief risk officer, A stops performing the other local responsibility function 4.
(9) ‘A’ is appointed as an executive director. A then resigns and takes up a job with the same firm coming within the other local responsibility function 4.	On A’s first appointment, A will need to be approved to perform the executive director function 4. A will need to get approval to perform the other local responsibility function before A takes up their new responsibilities4. 3
Note: Local responsibility is explained in SYSC 26 (Senior managers and certification regime: Overall and local responsibility).4

ICOBS 8.4.9AR01/04/2012

2The requirement referred to in ICOBS 8.4.9R (7)(b) is that the report must include an opinion from the auditor confirming whether, in all material respects, the tracing office maintains a database which accurately and reliably stores information submitted to it by firms for the purpose of complying with relevant requirements in ICOBS 8.4 and that it has systems which can adequately keep it up to date in the light of new information provided by firms.

SUP 16.14.6R01/04/2013

3A CMAR must be submitted by electronic means made available by the FCA10.10

SUP 16.10.2G23/03/2018

Firm details are13 used by the FCA10 :2020(1) to ensure that a firm is presented with the correct regulatory return when it seeks to report electronically;(2) in order to communicate with a firm;(3) as the basis for some sections of the Financial Services Register;20 and 20(4) in order to carry out thematic analysis across sectors and groups of firms.

FIT 2.1.1G07/03/2016

In determining a person's honesty, integrity and reputation, the FCA5 will have regard to all relevant 3matters including, but not limited to, those set out in FIT 2.1.3 G which may have arisen either in the United Kingdom or elsewhere. The FCA5 should be informed of these matters (see SUP 10A.14.17 R and SUP 10C.14.18R5), but will consider the circumstances only where relevant to the requirements and standards of the regulatory system. For example, under FIT 2.1.3 G(1), conviction

COLL 6.12.5R01/01/2021

(1) An authorised fund manager of a UCITS scheme 6 must establish, implement and maintain an adequate and documented risk management policy for identifying the risks to which that scheme is or might be exposed.(2) The risk management policy must comprise such procedures as are necessary to enable the authorised fund manager 6 to assess the exposure of each UCITS it manages to market risk, liquidity risk and counterparty risk, and to all other risks, including operational risk,

LR 13.5.1R01/10/2012

Financial information, as set out in this section, must be included by a listed company in a class 1 circular if:(1) the listed company is seeking to acquire an interest in a target which will result in a consolidation of the target's assets and liabilities with those of the listed company; or(2) the listed company is seeking to dispose of an interest in a target which will result in the assets and liabilities which are the subject of the disposal2 no longer being consolidated;

MAR 5A.5.7R03/01/2018

The firm must report the parameters mentioned in MAR 5A.5.6R to the FCA in writing, by electronic mail to an address for the usual supervisory contact of the firm at the FCA, and obtain an electronic confirmation of receipt.[Note: article 48(5) of MiFID]

SYSC 18.4.4R07/03/2016

A firm must allocate to the whistleblowers’ champion the responsibility for ensuring and overseeing the integrity, independence and effectiveness of the firm’s policies and procedures on whistleblowing (see SYSC 18.3 (Internal Arrangements)) including those policies and procedures intended to protect whistleblowers from being victimised because they have disclosed reportable concerns.

SUP 16.2.1G01/01/2022

(1) In order to discharge its functions under the Act, the FCA1 needs timely and accurate information about firms. The provision of this information on a regular basis enables the FCA1 to build up over time a picture of firms' circumstances and behaviour.777(2) Principle 11 requires a firm to deal with its regulators in an open and cooperative way, and to disclose to the FCA1 appropriately anything relating to the firm of which the FCA1 would reasonably expect notice. The reporting

BIPRU 9.11.7G01/01/2007

(1) This provision contains guidance on the requirement in BIPRU 9.11.6 R (1) that the composition of the pool of exposuressecuritised must be known at all times.(2) The composition should be known sufficiently at the time of purchase for the firm to be able accurately to calculate the risk weighted exposure amounts of the pool under the standardised approach.(3) Thereafter, any change to the composition of the pool during the life of the transaction that would lead to an increase

SYSC 6.2.1R09/12/2019

A firm that is a9management company or an operator of an electronic system in relation to lending97management company5 must, where appropriate and proportionate in view of the nature, scale and complexity of its business and the nature and range of its financial services and activities,5 undertaken in the course of that business, establish and maintain an internal audit function which is separate and independent from the other functions and activities of the firm and which has

IPRU-INV 14.1.4R01/01/2022

A firm need not meet the requirements in rules 14.3.1 and 14.3.2 if: (1) there is no credit institution in the group; (2) no firm in the group deals in investments as principal, except where it is dealing solely as a result of its activity of operating a collective investment scheme2(3) [Deleted](4) the firm notifies the FCA of any serious risk that could undermine the financial stability

SUP 4.5.7G07/03/2016

(1) Actuaries appointed under PRA rules made under section 340 of the Act, or for the purposes of PRA Rulebook: Solvency II firms: Conditions Governing Business, 6,6 are subject to regulations5 made by the Treasury under sections 342(5) and 343(5) of the Act (Information given by auditor or actuary to a regulator7). Section 343 and the regulations also apply to an actuary of an authorised person in his capacity as an actuary of a person with close links with the authorised person.47(2)

SUP 10C.10.18G10/12/2018

The6firm should not send a copy of the certificate to the FCA unless required to do so under SUP 10C.10.18AG or SUP 10C.10.28G (requests for additional information)6.5

SYSC 18.6.1R01/01/2021

(1) 1A MiFID investment firm2 (except a collective portfolio management investment firm) must have appropriate procedures in place for its employees to report a potential or actual breach of:(a) any rule which implemented2MiFID; or(b) a requirement imposed by MiFIR or any onshored regulation which was previously an2EU regulation adopted under MiFID or MiFIR.(2) The procedures in (1) must enable employees to report internally through a specific, independent and autonomous channel.(3)

FEES 3.2.7R06/11/2023

Table of application, notification, vetting and other fees payable to the FCA32

31

Part 1A: Application, notification and vetting fees66 31
31(1) Fee payer	(2) Fee payable (£)37 by reference to the pricing category in FEES 3 Annex 1AR.66	Due date
(a) Any applicant for Part 4A permission (including an incoming firm applying for top-up permission) whose fee is not payable pursuant to sub- paragraph (zza)52 of this table 26	(1) Unless (2) or (3)66 applies, in1 respect of a particular application, the highest of the tariffs set out in FEES 3 Annex 1AR66 which apply to that application. 66(2) 50% of the tariff payable under (1) is payable when either (a) or (b) apply: 66(a) the application is one referred to in paragraph p; or 66(b) the application is a limited permission case under FEES 3 Annex 1. (3) If the applicant applies for registration under article 8(1) of the MCD Order at the same time as applying for a Part 4A permission 66, the fee payable is the higher of: 78 (i) the fee 66payable in (1) or (2); and 78 (ii) the fee payable in FEES 3 Annex 10AR. 78 (4) [deleted]66 1 41 78 1 34 34 34 34 34 34 34 41	On or before the application is made
(aa) A person who makes an application under section 24A of the Consumer Credit Act 1974 which meets the conditions of article 31 (Applications for a standard licence where no determination made before 1 April 2014) of the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2013 (the “relevant application”)30	As (a) above less any amount paid to the Office of Fair Trading in relation to the relevant application.	Within 30 days of the date of the invoice.
(b) [deleted]56 4
(c) [deleted]66
(d) [deleted]66 27	27 27
(da) Persons making an application or notification in relation to applications set out in FEES 3 Annex 2R: 66(i) authorisation order for or recognition under section 272 of the Act of a collective investment scheme; 66(ii) application for the authorisation of an AIF as an LTIF; 68 66(v) an AIFM notifying the FCA of its intention to market an AIF in the UK under regulation 58 or 59 of the AIFMD UK regulation; and68 66(vi) an applicant for registration on the register of small registered UK AIFM. 58 36 66 66	Category applicable to the application or notification set out in FEES 3 Annex 2R66 36	On or before the date the application or notification66 is made 36
(e) Any applicant making an application set out in FEES 3 Annex 14R - Other FCA application fees:66 66(i) Any person seeking an order under section 326(1) of the Act to become a designated professional body; 66(ii) applicant to be added to the list of designated investment exchanges; 66(iii) any applicant for recognition as an accredited body; 66(iv) any applicant for registration under regulation 14 of the Risk Transformation Regulations as a protected cell company; 66(v) an application for recognition of an administrator in accordance with article 32 of the benchmarks regulation; 66(vi) an application for endorsement of a benchmark or family of benchmarks in accordance with article 33 of the benchmarks regulation; 66(vii) an application for authorisation under regulation 7 of the DRS Regulations, or the operator of a trading venue seeking verification of their compliance with Title V of MiFID under regulation 8 of the DRS Regulations; 66(viii) an application for variation of an authorisation under regulation 12 of the DRS Regulations; 66(ix) an application for connection to the market data processor system to provide reports directly to the FCA under MiFIR; 66(x) an application to connect to the market data processor system to provide markets data (other than transaction reports) under MAR 10; 66(xi) an application for authorisation as a third party verifier; (xii) an application for, to vary or cancel an approver permission 70. 27 27 27	Pricing category applicable to the application set out in FEES 3 Annex 14R66 27 27	As specified in FEES 3 Annex 14R66 28
28(ea) [deleted]66 56 56
(eb) [deleted]66 28
(f) Persons making an application referred to in FEES 3 Annex 15R – Transaction fees:66 66(i) any applicant for a certificate under article 54 of the Regulated Activities Order; 66(ii) a transferor in the case of an insurance business transfer scheme; 66(iii) an issuer applying for registration of a regulated covered bond; 66(iv) an issuer who proposes to make a material change to the contractual terms of a regulated covered bond under RCB 3.5.4D; 66(v) an applicant for FCA permission for: 66i. an agreement to be enforced under section 28A(3)(a) of the Act; or 66ii. money paid or property transferred under the agreement to be retained under section 28A(3)(b) of the Act. (vi) 67Applications in respect of controlled functions under the Senior Managers and Certification Regime (SMCR), including applications by principal firms in respect of SMCR functions in appointed representatives.	Pricing category applicable to the application or notification set out in FEES 3 Annex 15R.66	As specified in FEES 3 Annex 15R66
(g) Any applicant for recognition as a UK recognised body:62 (i) under section 287 of the Act; or62 (ii) under regulation 2(1) of the RAP regulations 62 56 17 76 17 17	FEES 3 Annex 3, part 1	On or before the date the application is made26
(ga) [deleted]52 26 35 35 35
(h) Any applicant for recognition as an ROIE 76 under section 287 or section 292 of the Act 76 76	FEES 3 Annex 3, part 2	On or before the date the application is made
(i) [deleted]35 35	35	35
(j) [deleted]38	38	38
(k) [deleted]35 35	35	35
(l) [deleted]38	38 7 2	38
(m) [deleted]38	38 7 2	38
(n) [deleted]66
(o) [deleted]65 1 1 2 2 29 5 29 76 29 29 5 56 76 29 29 29 5 5 5 76 29 29 5 76 29 29 29 76 29 29 5	[deleted]65 5 2 5 5 5 1 2 5 1 5 5 5 5 1 5 76 5 76 5 5 2 56	[deleted]65 2 76 29 29 76 29 29 76 2 29
(oa) [deleted]65 29 37 37 37 37 58 56 37 37 37 37 58 37 37	[deleted]65 37	[deleted]65 37 37 37 37
(p) A firm applying for a variation of its Part 4A permission, as referred to in FEES 3 Annex 16R66, whose fee is not payable pursuant to sub- paragraphs 64(zza)52 or (zzh) 64 of this table 26	(1) As specified in FEES 3 Annex 1R-FEES 3 Annex 14R66 (2) Subject to (3) below, if the new business of the firm would fall within more than one pricing category in FEES 3 Annex 1AR, the fee payable is that in the highest pricing category applicable to the application.66 (2A) [deleted]66 (3) [deleted]66 (3A) [deleted]66 (3B) [deleted]66 (3C) If the applicant applies for registration under article 8(1) of the MCD Order at the same time as it applies for a variation of its Part 4A permission, the fee payable is the highest of:66 66(i) the fees set out in FEES 3 Annex 10AR; (ii) the amount payable in accordance with FEES 3 Annex 16R; (3D) [deleted]66 (4) [deleted]66 [deleted]66 30 78 44 41 30 78 78 1 1 1 76 76 37 76 37 78 78 37 1 1 37 37 30 30 23 37 37 37 37 30 37 37 37 30 37 11 11 37 37 30 37 30 78 41 11 76 1 44 44 44	On or before the date the application is made
30(pa) A person who makes an application under section 30(1) of the Consumer Credit Act 1974 which meets the conditions of article 33 (Variations at request of licensee where no determination made before 1 April 2014) of the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No 2) Order 2013 (the “relevant variation application”)	As (a) or 31(p) above, less any amount paid to the Office of Fair Trading in relation to the relevant variation application.	Within 30 days of the date of the invoice.
2(q) [deleted]38 7 7 13 77 13 77 7 7 22 22 7	38	38 3 3 3
2(r) [deleted]46	6 6	5 6 6
(s) [deleted]66 5	75 75 37 59 37 59 75 75 37 75 37	37
6(t) [deleted]46 20
(u) [deleted]34 34	34	34
(v) [deleted]38 22 22	38	38
[deleted]35 35	35	35
(x)[deleted]38	38	38 8
(y) A person who makes an application or notification to the FCA under the Payment Services Regulations, including an application for variation of authorisation or registration.66 8	The fee payable is that in the highest pricing category applicable to the application or notification as set out in FEES 3 Annex 8R66. 47	On or before the date the application is made.
(ya) [deleted]66 47	47	47
(z) [deleted]66 47
(za) [deleted]66 47
(zb) [deleted]66 47	50 50 47 50 50 47 50 47 47 47 47 47 50 50
(zc) [deleted]66 47	47 47 47 47 47 47
(zd) 47	47	[deleted]47
(ze) Any person to which the Special Project Fee for restructuring applies under FEES 3 Annex 9.12 12	Special Project Fee for restructuring in accordance with FEES 3 Annex 9 .	30 days of the date of the invoice.9
(zf) [deleted]76 76	76	9 16 76
(zg) A person who makes an application or notification to the FCA under the Electronic Money Regulations, including an application for variation of authorisation or registration66. 16	The fee payable is that in the highest pricing category applicable to the application or notification as set out in FEES 3 Annex 10R.66	On or before the date the application is made.
(zh) [deleted]66 16
(zi) [deleted]66 16 14
(zj) [deleted]66 16	50 50
(zk) [deleted]66 16
(zl) [deleted]66 15		18
(zm) [deleted]66 18	41 41
(zn) [deleted]66 18	41 41	21
21(zo) In the case of persons in respect of which the FCA has given notice of its intention to take, or appoint a competent person to take, any steps under CONRED 2.5.12R or 4.5.1R69, either: (i) a Firm (as defined in CONRED 2.1.1R(1)) or 4.1.3R69; or (ii) a person falling within CONRED 2.1.2R(1) or 4.1.5R69.	An amount equal to: (1) a sum determined by the number of hours, or part of an hour, taken by the FCA in relation to work conducted in taking steps under CONRED 2.5.12R or 4.5.1R69 recorded on the FCA's systems, multiplied by the rate in FEES 3 Annex 9 (11)R; or (2) any amount invoiced to the FCA by a competent person in relation to any work carried out by that competent person in connection with its appointment by the FCA under CONRED 2.5.12R or 4.5.1R69.	Within 30 days of the date of the invoice.
76(zp) A person in respect of which the FCA 37 has given notice of its intention to itself appoint a skilled person to provide it with a report pursuant to section 166(3)(b) of the Act and SUP 5.2. 37	Any amount invoiced to the FCA 37 by a skilled person in relation to any work carried out by that skilled person in connection with its appointment by the FCA 37 pursuant to section 166(3)(b) of the Act. 37	Within 30 days of the date of the invoice.
76(zq) A person in respect of which the FCA 37 has given notice of its intention to itself appoint a skilled person to collect or update information pursuant to section 166A(2)(b) of the Act. 37	Any amount invoiced to the FCA 37 by a skilled person in relation to any work carried out by that skilled person in connection with its appointment by the FCA 37 pursuant to section 166A(2)(b) of the Act. 37 37	Within 30 days of the date of the invoice.33
33(zr) [deleted]38	38	38
(zs) [deleted]66 30 31	31 30 31 31
(zt) An applicant for registration in the Financial Services Register under article 8(1) of the MCD Order. 78	Unless (1), or (2) applies, the fee as set out in FEES 3 Annex 10A. 78 (1) If the applicant is applying for a Part 4A permission at the same time as it applies for registration under article 8(1) of the MCD Order, the fee payable in row (a), column (2) paragraph (3) of this Table. 78 (2) If the applicant is applying for a variation of a Part 4A permission at the same time as it applies for registration under article 8(1) of the MCD Order, the fee payable in row (p), column 2 paragraph (3)(c) of this Table. 78	On or before the application is made.78
(zu)40 Any person to which the Designated Credit Reference Agencies and Finance Platform42 Fee applies under FEES 3 Annex 10B. 39	Designated Credit Reference Agencies and Finance Platform42 Fee in accordance with FEES 3 Annex 10B.	Within 30 days of the date of the invoice.
43(zv) Any firm that meets the test in FEES 3 Annex 10C(1)R(1) (PPI campaign fees).	The amount set out in FEES 3 Annex 10C(1) R(2).	Within 30 days of the date of the invoice.
(zw) [deleted]66 45 63 63 49 63
(zx) [deleted]66 46	63
(zy) [deleted]66 46 49 56	56 63
(zz) [deleted]66 51
52(zza) An application for authorisation as a regulated benchmark administrator.	The highest of the applicable tariffs set out in FEES 3 Annex 1AR.66 Where an applicant intends to administer benchmarks falling into different complexity groupings, it will pay one fee only, for the highest category applied for. If, once authorised, a regulated benchmark administrator notifies the FCA of its intention to administer other/additional benchmarks no further application fee is payable (even if the other/additional benchmark falls into a higher complexity category).	On the date the application is made.
(zzb) [deleted]66 52
(zzc) [deleted]66 52
54(zzd) applications for claims management companies	The fee applicable to the application as set out in paragraph CMC of Part 2 of FEES 3 Annex 1R.66 Firms which already have Part 4A permissions and are applying to vary their permissions will pay 50% of66 the relevant fee.	On the date the application is made.
(zze) [deleted]66 55
61(zzf) UK-based applicants for registration as a trade repository; a securitisation repository, or a third country applicant seeking recognition as a trade repository.	5,000 Applicants for registration as a trade repository who already hold registration as a securitisation repository, or vice versa, will receive a 50% discount on the relevant application fee. Applicants for registration as a trade repository to carry on activity for the purposes of UK SFTR who already hold registration as a trade repository under EMIR or vice versa, will receive a 50% discount on the relevant application fee.	On the date the application is made.
61(zzg) UK-based applicants for registration as a credit rating agency or a third country applicant seeking certification as a credit rating agency.	The fee set out in FEES 3 Annex 13R.	On the date the application is made.
64(zzh) Permission for (1) carrying on funeral plan distribution; (2) carrying out a funeral plan contract as provider; or (3) carrying out a funeral plan contract as provider and entering as provider into a funeral plan contract.	(1) The highest of the tariffs set out in FEES 3 Annex 1R part 3A which apply to that application, subject to (2) and (3) below. (2) Unless (3) below applies, where an applicant was carrying out any of the activities referred to in (zzh)(1)-(3) on 1 September 2021, and makes an application for permission for any of those activities after 1 November 2021, the application fees shall be: (a) £3,500 for (zzh)(1) or zzh(2); (b) £14,000 for (zzh)(3). (3) If an applicant which already has any of the permissions referred to in (zzh) applies to vary its permission, the application fees shall be: (a) £500 for (zzh)(1); (b) £1,250 for (zzh)(2); and (c) £5,000 for (zzh)(3).	On or before the application is made.
32Part 2: UKLA38 fees
(1) Fee payer	(2) Fee payable	(3) Due date
(a) (i) An issuer which has not made public its annual financial report before the latest time specified in DTR 4.1.3 R. (ii) An issuer which has not made public its half-yearly financial report before the latest time specified in DTR 4.2.2 R (2).	FEES 3 Annex 12R38	Within 30 days of the date of the invoice.
38(b) An applicant for approval as a sponsor.	FEES 3 Annex 12R	On or before the date the application is made.
38(c) For the purposes of48 the listing rules:48 (i)48 an issuer requesting approval of a document arising in relation to a specific event or transaction, which is not a significant transaction or a super transaction; or48 48(ii) an issuer or person applying for eligibility for listing of its securities.	FEES 3 Annex 12R	On or before the date that relevant document is first submitted to the FCA.
38(d) Under the Prospectus Rules or the Prospectus Regulation 60, an issuer or a person requesting approval or review of a document arising in relation to a specific event or transaction, which is not a significant transaction or a super transaction.	FEES 3 Annex 12R	On or before the date that relevant document is first submitted to the FCA.
38(e) An issuer requesting the approval or review of a document in connection with a super transaction.	FEES 3 Annex 12R	On or before the date that relevant document is first submitted to the FCA.
38(f) An issuer requesting the approval or review of a document in connection with a significant transaction.	FEES 3 Annex 12R	On or before the date that relevant document is first submitted to the FCA.
38(g) A person who requests the FCA’s approval of a document that includes a mineral expert’s report and who is a fee payer under one or more of the categories (c), (d), (e), and (f) above must additionally pay a fee under this category.	FEES 3 Annex 12R	On or before the date that relevant document is first submitted to the FCA.
38(h) An applicant for approval as a primary information provider.	FEES 3 Annex 12R	On or before the date the application is made.

[Note:Guidance on how a firm liable to pay a fee under both rows (s) and (ze) of this table for the same transaction should expect to be treated is set out in FEES 3 Annex 11 G.]19

Related provisions for SUP 16.18.10

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

Table of application, notification, vetting and other fees payable to the FCA32