FCA Handbook - FEES 3 Annex 1 Authorisation fees payable

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FEES 3 Annex 1 Authorisation fees payable

Part 1 – Authorisation fees payable in the A, B, C, CC and CMC fee-blocks

For FCA-authorised persons and persons seeking to become FCA-authorised persons, the amount payable to the FCA is the amount payable in the pricing category applicable to the application as set out under:

(a) Part 1(a) below; or

(b) Part 2 below.

The fees applicable to credit unions are set out in Part 1b below.

For PRA-authorised persons and persons seeking to become PRA-authorised persons, the amount payable to the FCA is the amount payable under Part 1(b).

[Note: PRA-authorised persons may also pay regulatory transaction fees for new authorisations to the PRA as set out in Chapter 4 of the Fees Part of the PRA's Rulebook.]

The Tables below set out the following:

(1) fees for applications by credit unions in Part 1(b) and community finance organisations in Part 1(a);

(2) fees for applications in the A, B, C, CC and CMC fee-blocks in Part 2.

(3) [deleted]

Part 1(a) Authorisation Fees payable to the FCA by community finance organisations
Application type		Amount payable (£)
(1) Community finance organisations
(a) [deleted]
(aa) Community finance organisations - where application is for a Part 4A permission limited to permission to carry on credit-related regulated activity		Pricing category 1 in FEES 3 Annex 1AR
(ab) Community finance organisations - where application is for a Part 4A permission as a home finance provider or home finance administrator		Pricing category 1 in FEES 3 Annex 1AR
(ac) [deleted]
(b) [deleted]
(c) [deleted]
[deleted]
(d) [deleted]
(e) [deleted]
(f) [deleted]
(3) [deleted]


(g) [deleted]
	[deleted]

(h) [deleted]
(i) [deleted]
(j) [deleted]
(4) [deleted]
(k) [deleted]
(l) [deleted]
(5) [deleted]
(m) [deleted]

Part 1(b) Authorisation Fees payable to the FCA by PRA-authorised persons
Application type				Amount payable (£)
(1) Credit unions
(a) Credit unions - registration of a common bond				200
(aa) Credit unions where application is for a Part 4A permission limited to permission to carry on credit-related regulated activity				100
(b) Credit unions (other than where (aa) applies)				150
(c) [deleted]
(2) [deleted]
(d) [deleted]
(e) [deleted]
(f) [deleted]
(3) [deleted]


(g) [deleted]


(h) [deleted]
(i) [deleted]
(j) [deleted]

Part 2 – Pricing categories applicable to applications made in the following activity groupings in the A, B, C, CC and CMC fee blocks


Activity grouping	Description	Applicable pricing category in FEES 3 Annex 1AR
A.1	Deposit acceptors (excluding e-money issuers and credit unions) and dormant asset fund operators	7
A.2	Home finance providers and administrators	6
A.3	Friendly societies only	4
	UK ISPVs	6
	Insurers - general (excluding friendly societies and UK ISPVs	7
A.4	Friendly societies only	4
	Insurers - life (excluding friendly societies)	7
A.5	Managing agents at Lloyd’s	5
A.7	Portfolio managers	6
A.9	Managers and depositaries of investment funds, and operators of collective investment schemes or pension schemes	6
A.10	Firms dealing as principal	6
A.13	Advisors, arrangers, dealers or brokers	4
A.14	Corporate finance advisers	4
A.18	Home finance providers, advisers and arrangers (excluding home finance providers).	4
A.19	General insurance distribution	4
A.21	Holding client money or assets or both.	4
A.23	Carrying on funeral plan distribution	4
A.23	Carrying out a funeral plan contract as provider	4
A.23	Carrying out a funeral plan contract as provider and entering as provider into a funeral plan contract	6
A.25	Carrying on regulated pensions dashboard activity	5
B.	Regulated benchmark administrators where the applicant intends to administer a non-significant benchmark	4
B.	Service companies	6
B.	Regulated benchmark administrators where the applicant intends to administer: - a significant benchmark; or - a commodity benchmark or an interest rate benchmark which has not been designated as a critical benchmark; or - a regulated-data benchmark other than one which is a non-significant benchmark.	6
B.	MTF operators and OTF operators	8
B.	Pisces operators	6
B.	Regulated benchmark administrators where the applicant intends to administer a critical benchmark	8
CC1	Credit-related regulated activity – limited permission	2
	Not-for-profit debt advice body	No fee payable
CC2	(1) Credit broking; (2) Providing credit information services; (3) Advising on regulated credit agreements for the acquisition of land; (4) Debt adjusting where limited to: (i) no debt management plans; (ii) settlement sale of goods; or (iii) settlement vehicle finance. (5) Debt counselling where limited to: (i) no debt management plans; (ii) settlement sale of goods; or (iii) settlement vehicle finance.	3
	(1) Debt administration; (2) Debt collecting; (3) Entering into a regulated consumer hire agreement as owner; (4) Entering into a regulated credit agreement as lender (excluding in relation to high-cost short-term credit, bill of sale loan agreements and home credit loan agreements); (5) Exercising, or having the right to exercise, the owner’s rights and duties under a regulated consumer hire agreement; (6) Exercising, or having the right to exercise, the lender’s rights and duties under a regulated credit agreement (excluding in relation to high-cost short-term credit, bill of sale loan agreements and home credit loan agreements); (7) Operating an electronic system in relation to lending.	5
CC.2	(1) Debt adjusting except where limited to: (i) no debt management plans; (ii) settlement sale of goods; or (iii) settlement vehicle finance. (2) Debt counselling except where limited to: (i) no debt management plans; (ii) settlement sale of goods; or (iii) settlement vehicle finance. (3) Entering into a regulated credit agreement as lender in relation to high-cost short-term credit, bill of sale loan agreements and home credit loan agreements; (4) Exercising, or having the right to exercise, the lender’s rights and duties under a regulated credit agreement in relation to high-cost short-term credit, bill of sale loan agreements and home credit loan agreements; (5) Providing credit references.	6
	Where a firm holding a deferred payment credit temporary permission applies for permission for: (1) entering into a regulated credit agreement as lender; or (2) exercising, or having the right to exercise, the lender’s rights and duties under a regulated credit agreement, its application fee for one such application is reduced by the amount (in £) which it paid under FEES 3 Annex 15R Item 7.
CMC	Claims management companies applying only for the permission of seeking out persons who may have a claim.	4
	Claims management companies applying for any other permission	6

[deleted]

Part 5 - Activity Groupings R

The activity group definitions are set out in FEES 4 Annex 1A.

Part 6 - Change of legal status

An application involving only a simple change of legal status for the purposes of FEES 3.2.7 R, FEES 3.2.7R (y), FEES 3.2.7R (za), FEES 3.2.7 R (zg) and FEES 3.2.7 R (zh) is from an applicant:
(1) which is a new legal entity intending to carry on the business, using the same business plan, of an existing firm with no outstanding regulatory obligations cancelling its Part 4A permission or authorisation or registration under the Payment Services Regulations or the Electronic Money Regulations, and
(2) which is to:
	(a) have the same or narrower permission, scope of authorisation or registration under the Payment Services Regulations or Electronic Money Regulations and the same branches (if any), as the firm;
	(b) assume all of the rights and obligations in connection with any of the regulated activities, payment services and electronic money issuance carried on by the firm;
	(c) continue the same compliance arrangements and compliant client asset and client money procedures, as the firm, subject to any changes required only as a result of the change of legal status;
	(d) continue with a risk profile and arrangements for controlling and monitoring risk which will not be materially different from those of the firm; and
	(e) have the individuals within the firm that are responsible for insurance distribution activity perform the same role for the applicant.

Part 7 - Change of legal status - sponsors fees

An application involving only a simple change of legal status for the purposes of FEES 3.2.7R Part 2(1)(b) is from an applicant:
(1) which is a new legal entity intending to carry on the business of an existing sponsor (as defined in the listing rules) in respect of which the FCA does not currently require, and is not proposing to require, remedial action relating to any aspect of its provision of sponsor services); and
(2) which (subject to any changes required only as a result of the change in legal status) is to:
	(a) assume all of the rights and obligations in connection with any of the sponsor activities of the existing sponsor under the listing rules;
	(b) make no changes to the systems and controls of the existing sponsor which ensure that the existing sponsor can carry out its role as sponsor in accordance with UKLR 24 (Sponsors);
	(c) have the individuals within the existing sponsor that are engaged in the provision of sponsor services engaged in the same role for the applicant; and
	(d) otherwise continue to comply in all respects with the criteria for approval as a sponsor set out in UKLR 24.4.5R.