| Legislative provision | Nature and purpose of fee | Payable by | Applicable pricing category in FEES 3 Annex 1AR or amount of fee (£) | Umbrella factor (note 1) |
|---|---|---|---|---|
| Part 1 [deleted] | ||||
| [deleted] | [deleted] | [deleted] | [deleted] | [deleted] |
| [deleted] | [deleted] | [deleted] | [deleted] | [deleted] |
| [deleted] | [deleted] | [deleted] | [deleted] | [deleted] |
| Part 2 (Application fees payable for firms to be subject to COLL) | ||||
| (1) Regulation 12 of the OEIC Regulations, application for order declaring a scheme to be an ICVC | On application for an order, where the scheme is a: | An applicant | 2 | |
| UCITS scheme | Category 4 | |||
| Non-UCITS retail scheme | Category 4 | |||
| Qualified investor scheme | Category 5 | |||
| Long-term asset fund | Category 5 | |||
(2) Section 242 of the Act, application for order declaring a scheme to be an AUT (3) Section 261C of the Act, application for order declaring a scheme to be an ACS, whether it is established as a co-ownership scheme or a limited partnership scheme (1), (2) and (3) also apply to funds where an application is also made to be authorised under the Money Market Funds Regulation | On application for an order declaring a scheme to be an AUT, where the scheme is a: | An applicant | 2 | |
| UCITS scheme | Category 4 | |||
| Non-UCITS retail scheme | Category 4 | |||
| Qualified investor scheme | Category 5 | |||
| Long-term asset fund | Category 5 | |||
Section 261C of the Act This section also applies to funds where an application is also made to be authorised under the Money Market Funds Regulation | On application for an order declaring a scheme to be an ACS, whether it is established as a co-ownership scheme or a limited partnership scheme, where the scheme is a: | An applicant | 2 | |
| UCITS scheme | Category 4 | |||
| non-UCITS retail scheme | Category 4 | |||
| qualified investor scheme | Category 5 | |||
| Long-term asset fund | Category 5 | |||
| Section 271A of the Act | On application for an order declaring a scheme to be recognised, where the scheme was: | An applicant | ||
| recognised under regulation 62 of the Collective Investment Schemes (Amendment etc.) (EU Exit) Regulations 2019 immediately before the application | £2,720 | 2 | ||
| not recognised under regulation 62 of the Collective Investment Schemes (Amendment etc.) (EU Exit) Regulations 2019 immediately before the application | Category 4 | 2 | ||
| Section 272 of the Act | On application for an order declaring a scheme to be recognised where the scheme is: | An applicant | ||
| a non-UK AIF or AIF equivalent to a UK UCITS, non-UCITS retail scheme, a qualified investor scheme or a long-term asset fund | Category 6 | 2 | ||
| Where funds of any kind set out in Part 2 exist prior to 21 July 2018, a flat fee will be payable on an application for authorisation under the Money Market Funds Regulation | Category 1 | |||
| Part 2A [deleted] | ||||
| Part 2B Application fees payable for UK or non-EEA firms applying for authorisation under article 5 of the Money Market Funds Regulation | ||||
| Article 5 of the Money Market Funds Regulation | UK AIF (apart from those authorised as a non-UCITS retail scheme, a qualified investor scheme or a long-term asset fund) | 2 | ||
| Non-UK AIF which is marketed in the UK | 3 | |||
| Non-UK AIF which is not marketed in the UK | 2 | |||
| Non-UK AIF which is not managed by an AIFM but is marketed in the UK | 3 | |||
| Part 3 (notifications) [deleted] | ||||
| Part 4 (Alternative Investment Funds: fees payable for making a notification to the FCA to market an AIF) | ||||
| Regulation 10 of the AIFMD UK regulation | Application for registration on the register of small registered UK AIFMs | the AIFM | 3 | N/A |
| Regulation 57 of the AIFMD UK regulation | On giving notice under regulation 57 of the AIFMD UK regulation – price payable per AIF | the AIFM | 1 | N/A |
| Regulation 58 of the AIFMD UK regulation | On giving notice under regulation 58 of the AIFMD UK regulation – price payable per AIF | the AIFM | 1 | N/A |
| Regulation 59 of the AIFMD UK regulation | On giving notice under regulation 59 of the AIFMD UK regulation – price payable per AIF | the AIFM | 1 | N/A |
| The fees in this Part are payable in addition to any other authorisation application fees. | ||||
| Part 5 (Administration fee for money market funds that exist prior to 21 July 2018 which need to apply for authorisation by the FCA by 21 January 2019) | ||||
| Article 4 of the Money Market Funds Regulation | On application by an existing money market fund which from 21 July 2018 seeks to be authorised under the Money Market Funds Regulation | 21 July 2018 | 1 | 2 |
| Notes: | |
| 1. | For an umbrella the fee is multiplied by the factor shown in the final column of the table. |