FSA Fee Calculator - Fee-Blocks


FCA Fee-Block

Fee-block Name

Corresponding FOS Industry Block

Allocation to fee-block based on Regulated Activities in Scope of Permission

A001

Deposit Acceptors

I001

or

I014 (Credit Unions)

Permission includes one or more of following:

BUT DOES NOT include either;

A002

Home Finance Providers & Administrators

I001

Permission includes a regulated activity within one or more of the following;

A003

Insurers - General

I002

or

I013 (Cash Plan Health Providers)

or

I015 (Friendly Societies whose tax exempt business represents 95% of total)

Permission includes one or more of the following;

in respect of specified investments that are:

A004

Insurers - Life

I004

or

I015 (Friendly Societies whose tax exempt business represents 95% of relevant business)

Permission includes one or more of the following;

in respect of specified investments including life policies; and/or

A005

Managing Agents at Lloyds

N/a

Permission includes;

  • managing the underwriting capacity of a Lloyd's syndicate as a managing agent of Lloyd's

A006

The Society of Lloyds

N/a

The Society of Lloyds - The fee calculator does not include this fee-block as the Society of Lloyds pays a set fee. See FEES 4 Annex 2R for details of this value.

A007

Fund Managers

I005

Permission includes;

  1.  

    2. OR only either or both of

  2.  

    3. OR

  3.  

A009

Operators, Trustees and Depositaries of Collective Investment Schemes ( CIS)

I006

    Permission includes one or more of the following;

  1.  

    2. ANDprovided that:

    OR

  2.  
    • the fee-payer has none of the above regulated activities but ALL its other regulated activities are limited to carrying out trustee activities.

A010

Firms Dealing as Principal

I007

Permission includes;

BUT NOT if one or more of following apply:

A012

Advisers, Arrangers, Dealers or Brokers (holding or controlling client money or assets or both)

I008

its permission includes one or more of the following, in relation to one or more designated investments:

BUT DOES NOT include either;

AND CAN HAVE one or more of the following;

AND provided that the fee-payer is NOT any of the following;

A013

Advisers, Arrangers, Dealers or Brokers (NOT holding or controlling client money or assets or both)

I009
  1. An Authorised Professional Firm with ALL regulated activities limited to non-mainstream regulated activities.

    2. OR

  2. It's permission includes;
    1. one or more of the following, in relation to one or more designated investments:
    2. BUT DOES NOT include either;

      3. AND

    3. MUST EITHER,in connection with its designated investment business;
      • have requirement that prohibits the firm from holding or controlling client money or assets, or both;

        • OR

      • if it does not have such a requirement, only holds or controls client money or assets (or both) arising from an agreement under which the commission is rebated to the client.

      4. AND

    4. provided that the fee-payer is NOT one of the following;

A014

Corporate Finance Advisers

I010

The firm is carrying on corporate finance business

PROVIDED the fee-payer is NOT

A018

Home Finance Providers, Advisers and Arrangers

I016

Permission includes one or more of the following;

A019

General Insurance Mediation

I017

Permission includes one or more of the following in relation to a non-investment insurance contract;

FSCS Sub-Class

FSCS Sub-Class Name

Allocation to fee-block based on Permission

SA01

Deposit Class
  • accepting deposits. and/or operating a dormant account fund.2 BUT does not include any fee payer who either effects or carries out contracts of insurance.

SB01

General Insurance - Provision
  • effecting contracts of insurance; and/or
  • carrying out contracts of insurance;
  • that are general insurance contracts.

SB02

General Insurance - Intermediation

Any of the following in respect of general insurance contracts:

  • dealing in investments as agent;
  • arranging (bringing about) deals in investments;
  • making arrangements with a view to transactions in investments;
  • assisting in the administration and performance of a contract of insurance;
  • advising on investments;
  • agreeing to carry on a regulated activity which is within any of the above.

SC01

Life & Pensions - Provision
  • effecting contracts of insurance; and/or
  • carrying out contracts of insurance;
  • that are long-term insurance contract (including pure protection contracts).

SC02

Life & Pensions - Intermediation
  • dealing in investments as agent;
  • arranging (bringing about) deals in investments;
  • making arrangements with a view to transactions in investments;
  • assisting in the administration and performance of a contract of insurance;
  • advising on investments;
  • advising on pension transfers and pension opt-outs;
  • providing basic advice on a stakeholder product;6 6
  • agreeing to carry on a regulated activity which is within any of the above; in relation to any of the following:
  • 6 long-term insurance contracts6 (including pure protection contracts); rights under a stakeholder pension scheme or a personal pension scheme.

SD01

Fund Management
  • managing investments;
  • establishing, operating or winding up a regulated collective investment scheme;
  • establishing, operating or winding up an unregulated collective investment scheme;
  • acting as trustee of an authorised unit trust scheme;
  • acting as the depositary or sole director of an open-ended investment company;
  • establishing, operating or winding up a stakeholder pension scheme;
  • establishing, operating or winding up a personal pension scheme;
  • agreeing to carry on a regulated activity which is within any of the above.

SE01

Home Finance - Provision

    entering into a home finance transaction; administering a home finance transaction; agreeing to carry on a regulated activity which is within any of the above.

SE02

Home Finance - Intermediation
  • arranging (bringing about) a home finance transaction;
  • making arrangements with a view to a home finance transaction;
  • advising on home finance transactions;
  • the activities of a home finance provider which would be arranging but for article 28A of the Regulated Activities Order (Arranging contracts or plans to which the arranger is party);
  • agreeing to carry on a regulated activity which is within any of the above

MAS Fee-Block

MAS Fee-Block Name

Allocation to fee-block based on Permission

MA01

Unsecured Debt Advice

Deposit Acceptors (FSA fee-block A001) as the firms undertaking this activity also provide unsecured lending.

Therefore, these firms will have a Permission that includes one or more of following:

BUT DOES NOT include either;

MA02

Secured Debt Advice

Home finance providers and administrators (FSA fee-block A002) as these firms provide secured lending.

Therefore, these firms will have a Permission that includes a regulated activity within one or more of the following;

which is within either of the above.