SUP 10B
PRA Approved Persons
SUP 10B.1
Application
- 01/04/2013
General
SUP 10B.1.1
See Notes
- 01/04/2013
SUP 10B.1.2
See Notes
- 01/04/2013
SUP 10B.1.3
See Notes
- 01/04/2013
SUP 10B.1.4
See Notes
- 01/04/2013
Overseas firms: UK services
SUP 10B.1.5
See Notes
- 01/04/2013
Overseas firms: UK establishments
SUP 10B.1.6
See Notes
- 01/04/2013
Incoming EEA firms and incoming Treaty firms
SUP 10B.1.7
See Notes
- 01/04/2013
SUP 10B.1.8
See Notes
- 01/04/2013
SUP 10B.1.9
See Notes
- 01/04/2013
SUP 10B.1.10
See Notes
- 01/04/2013
Incoming EEA firms: passported activities from a branch
SUP 10B.1.11
See Notes
- 01/04/2013
Incoming EEA firms etc with top-up permission activities from a UK branch
SUP 10B.1.12
See Notes
- 01/04/2013
Committees of the Society of Lloyd's
SUP 10B.1.13
See Notes
- 01/04/2013
SUP 10B.1.14
See Notes
- 01/04/2013
Insolvency practitioners
SUP 10B.1.15
See Notes
- 01/04/2013
Appointed representatives
SUP 10B.1.16
See Notes
- 01/04/2013
SUP 10B.2
Purpose
- 01/04/2013
SUP 10B.2.1
See Notes
- 01/04/2013
SUP 10B.3
Basic rules for all PRA controlled functions
- 01/04/2013
The need for an arrangement
SUP 10B.3.1
See Notes
- 01/04/2013
SUP 10B.3.2
See Notes
- 01/04/2013
SUP 10B.3.3
See Notes
- 01/04/2013
SUP 10B.3.4
See Notes
- 01/04/2013
SUP 10B.3.5
See Notes
- 01/04/2013
Significant-influence functions
SUP 10B.3.6
See Notes
- 01/04/2013
SUP 10B.3.7
See Notes
- 01/04/2013
SUP 10B.3.8
See Notes
- 01/04/2013
SUP 10B.3.9
See Notes
- 01/04/2013
SUP 10B.3.10
See Notes
- 01/04/2013
Actions for damages
SUP 10B.3.11
See Notes
- 01/04/2013
SUP 10B.4
Specification of functions
- 01/04/2013
SUP 10B.4.1
See Notes
- 01/04/2013
SUP 10B.4.2
See Notes
- 01/04/2013
SUP 10B.4.3
See Notes
Type | CF | Description of PRA controlled function |
PRA governing functions | 1 | Director function |
2 | Non-executive director function | |
3 | Chief executive function | |
4 | Partner function | |
5 | Director of unincorporated association function | |
6 | Small friendly society function | |
PRA required functions | 12 | Actuarial function |
12A | With-profits actuary function | |
Systems and controls function | 28 | Systems and controls function |
SUP 10B.5
Temporary vacancies
- 01/04/2013
SUP 10B.5.1
See Notes
- 01/04/2013
SUP 10B.5.2
See Notes
- 01/04/2013
SUP 10B.6
PRA governing functions
- 01/04/2013
Director function (CF1)
SUP 10B.6.1
See Notes
- 01/04/2013
SUP 10B.6.2
See Notes
- 01/04/2013
Non-executive director function
SUP 10B.6.3
See Notes
- 01/04/2013
SUP 10B.6.4
See Notes
- 01/04/2013
SUP 10B.6.5
See Notes
- 01/04/2013
SUP 10B.6.6
See Notes
- 01/04/2013
Chief executive function (CF3)
SUP 10B.6.7
See Notes
- 01/04/2013
SUP 10B.6.8
See Notes
- 01/04/2013
SUP 10B.6.9
See Notes
- 01/04/2013
SUP 10B.6.10
See Notes
- 01/04/2013
SUP 10B.6.11
See Notes
- 01/04/2013
Partner function (CF4)
SUP 10B.6.12
See Notes
- 01/04/2013
SUP 10B.6.13
See Notes
- 01/04/2013
SUP 10B.6.14
See Notes
- 01/04/2013
Director of unincorporated association function (CF5)
SUP 10B.6.15
See Notes
- 01/04/2013
Small friendly society function (CF6)
SUP 10B.6.16
See Notes
- 01/04/2013
SUP 10B.6.17
See Notes
- 01/04/2013
SUP 10B.6.18
See Notes
Insurance mediation
SUP 10B.6.19
See Notes
[deleted]
SUP 10B.6.20
See Notes
[deleted]
SUP 10B.7
Other functions included in the governing functions
- 01/04/2013
Systems and controls function
SUP 10B.7.1
See Notes
SUP 10B.7.2
See Notes
- 01/04/2013
The FCA's apportionment and oversight function (CF8)
SUP 10B.7.3
See Notes
- 01/04/2013
SUP 10B.7.4
See Notes
- 01/04/2013
SUP 10B.7.5
See Notes
- 01/04/2013
SUP 10B.7.6
See Notes
- 01/04/2013
SUP 10B.8
PRA required functions
- 01/04/2013
Actuarial function (CF12)
SUP 10B.8.1
See Notes
With-profits actuary function (CF12A)
SUP 10B.8.2
See Notes
Lloyd's actuary function (CF12B)
SUP 10B.8.3
See Notes
- 01/04/2013
SUP 10B.9
Systems and controls function
- 01/04/2013
Systems and controls function (CF28)
SUP 10B.9.1
See Notes
The systems and controls function is the function of acting in the capacity of an employee of the firm with responsibility for reporting to the governing body of a firm, or the audit committee (or its equivalent) in relation to:
SUP 10B.9.2
See Notes
- 01/04/2013
SUP 10B.9.3
See Notes
- 01/04/2013
SUP 10B.10
Procedures relating to PRA-approved persons
- 01/04/2013
Forms
SUP 10B.10.1
See Notes
- 01/04/2013
SUP 10B.10.2
See Notes
Form | Purpose | Handbook requirement | |
the relevant Form A | The relevant online form on the FCA's and PRA's ONA system or the form in SUP 10B Annex 4D (See Note) | Application to perform controlled functions under the approved persons regime | SUP 10B.11.4 D |
Form B | SUP 10B Annex 5R | Notice to withdraw an application to perform controlled functions under the approved persons regime | SUP 10B.11.20 R |
Form C | SUP 10B Annex 6R | Notice of ceasing to perform controlled functions | SUP 10B.12.10 R |
Form D | SUP 10B Annex 7R | Notification of changes in personal information or application details | SUP 10B.12.16 R |
Form E | The relevant online form on the FCA's and PRA's ONA system or the form in SUP 10B Annex 8D (See Note) | Internal transfer of an approved person | SUP 10B.12.4 D |
Note: The form in the SUP annex shown is to be used by credit unions, and by other firms only in the event of a failure of the information technology systems used by the PRA. See the relevant "Handbook requirement". |
- 01/04/2013
SUP 10B.10.3
See Notes
- 01/04/2013
SUP 10B.10.4
See Notes
- 01/04/2013
SUP 10B.10.5
See Notes
- 01/04/2013
SUP 10B.10.6
See Notes
PRA Firm Enquiries
Prudential Regulation Authority
20 Moorgate
London EC2R 6DA; or
- 01/04/2013
SUP 10B.11
Application for approval and withdrawing an application for approval
- 01/04/2013
When to apply for approval
SUP 10B.11.1
See Notes
- 01/04/2013
SUP 10B.11.2
See Notes
- 01/04/2013
Failure to apply for approval
SUP 10B.11.3
See Notes
- 01/04/2013
How to apply for approval
SUP 10B.11.4
See Notes
- 01/04/2013
SUP 10B.11.5
See Notes
- 01/04/2013
Who should make the application?
SUP 10B.11.6
See Notes
SUP 10B.11.7
See Notes
Outsourcing arrangements | Submitting form | |
Firm A to Firm B | The PRA will consider A to have taken reasonable care if it enters into a contract with B under which B is responsible for ensuring that the relevant PRA controlled functions are performed by PRA-approved persons, and that it is reasonable for A to rely on this | Firm B submits PRA-approved persons forms on behalf of Firm A |
Outsourcing by A to B (both being a member of the same United Kingdomgroup and each having its registered office in the United Kingdom) | See SUP 10B.3.4 G | If a firm is a member of a group which includes more than one firm, any one undertaking in the group may notify the PRA on behalf of all firms in the group to which the notification applies. In this way, that undertaking may satisfy the obligation of all relevant firms in the group to notify the PRA. Nevertheless, the obligation to make the notification remains the responsibility of the individual firm itself. |
(i) A to B, where B is a non-authorised person not part of the same group as A (ii) A to B, where A is a branch of an overseas firm in the United Kingdom, and B is an overseasundertaking of the same group (iii) A to B, where A is a UK authorised subsidiary of an overseas firm, and B is an overseas undertaking of the same group |
Responsibility for (as opposed to the performance of) any activity outsourced to B will remain with A. See SYSC 8 and for an insurer see Non-Solvency II Firms – Governance 5.1 and 5.2 and Conditions Governing Business Chapter 7 of the PRA Rulebook (as relevant). | A ensures that an individual approved under one of the PRA controlled functions has responsibility for the outsourced arrangement and A submits a form in relation to that individual |
SUP 10B.11.7A
See Notes
- 02/04/2015
Processing an application
SUP 10B.11.8
See Notes
- 01/04/2013
SUP 10B.11.9
See Notes
- 01/04/2013
SUP 10B.11.10
See Notes
- 01/04/2013
SUP 10B.11.11
See Notes
- 01/04/2013
SUP 10B.11.12
See Notes
- 01/04/2013
SUP 10B.11.13
See Notes
- 01/04/2013
SUP 10B.11.14
See Notes
- 01/04/2013
SUP 10B.11.15
See Notes
- 01/04/2013
SUP 10B.11.16
See Notes
- 01/04/2013
Decisions on applications
SUP 10B.11.17
See Notes
- 01/04/2013
SUP 10B.11.18
See Notes
- 01/04/2013
SUP 10B.11.19
See Notes
- 01/04/2013
Withdrawing an application for approval
SUP 10B.11.20
See Notes
- 01/04/2013
SUP 10B.11.21
See Notes
- 01/04/2013
SUP 10B.11.22
See Notes
- 01/04/2013
SUP 10B.12
Changes to a PRA-approved person's details
- 01/04/2013
Moving within a firm
SUP 10B.12.1
See Notes
- 01/04/2013
SUP 10B.12.2
See Notes
- 01/04/2013
SUP 10B.12.3
See Notes
- 01/04/2013
SUP 10B.12.4
See Notes
- 01/04/2013
SUP 10B.12.5
See Notes
- 01/04/2013
SUP 10B.12.6
See Notes
- 01/04/2013
SUP 10B.12.7
See Notes
- 01/04/2013
Moving between firms
SUP 10B.12.8
See Notes
- 01/04/2013
SUP 10B.12.9
See Notes
- 01/04/2013
Ceasing to perform a PRA controlled function
SUP 10B.12.10
See Notes
- 01/04/2013
SUP 10B.12.11
See Notes
- 01/04/2013
SUP 10B.12.12
See Notes
- 01/04/2013
SUP 10B.12.13
See Notes
- 01/04/2013
SUP 10B.12.14
See Notes
- 01/04/2013
SUP 10B.12.15
See Notes
- 01/04/2013
Changes to a PRA-approved person's personal details
SUP 10B.12.16
See Notes
- 01/04/2013
SUP 10B.12.17
See Notes
- 01/04/2013
SUP 10B.12.18
See Notes
- 01/04/2013
SUP 10B.12.19
See Notes
- 01/04/2013
SUP 10B.12.20
See Notes
- 01/04/2013
SUP 10B.12.21
See Notes
- 01/04/2013
SUP 10B.12.22
See Notes
- 01/04/2013
SUP 10B.13
References and accurate information
- 01/04/2013
References
SUP 10B.13.1
See Notes
- 01/04/2013
SUP 10B.13.2
See Notes
- 01/04/2013
SUP 10B.13.3
See Notes
- 01/04/2013
The need for complete and accurate information
SUP 10B.13.4
See Notes
- 01/04/2013
SUP 10B.13.5
See Notes
- 01/04/2013
SUP 10B.14
How to apply for approval and give notifications
- 01/04/2013
SUP 10B.14.1
See Notes
SUP 10B.14.2
See Notes
- 01/04/2013
SUP 10B.14.3
See Notes
SUP 10B.14.4
See Notes
SUP 10B Annex 1
[Not used]
- 01/04/2013
See Notes
- 01/04/2013
SUP 10B Annex 2
Approved person regime: summary of forms and their use for applications for approval to perform a PRA-controlled function
- 01/04/2013
See Notes
Function | Form | Submission |
person about to perform a PRA controlled function if he has never been approved by the FCA or PRA before. | A | Submitted by the firm making the application before activities requiring approval commence. |
Candidate is to perform a PRA controlled function and either has current approval to perform an FCA significant-influence function or a PRA controlled function or has had such an approval within the previous six months. | Shortened Form A if conditions met |
Submitted by the firm making the application before activities requiring approval commence. |
Candidate ceased to be an approved person more than six months ago. | A | Submitted by the firm making the application before activities requiring approval commence. |
Candidate is seeking to perform a significant-influence function for the first time or ceased to have approval from the FCA or PRA to perform such a function more than six months ago. | A | Submitted by the firm making the application before activities requiring approval commence. |
Firm applying for an outstanding application to perform a PRA controlled function to be withdrawn. | B | Submitted by the firm: signed by all interested parties. |
Person ceasing to perform a PRA controlled function. | C (unless it should be notified under Form E) | Submitted by the firm within seven business days of approved person ceasing to perform controlled function(s). |
If a PRA-approved person's title, name or national insurance number changes, or there is information which may be material to the continuing assessment of an approved person's fitness and propriety. | D | Submitted by firm within seven business days of the firm becoming aware of the matter. |
Person remaining with the same firm but changing PRA controlled functions. | E | Submitted by firm to the PRA before changes take place. |
Person remaining with the same firm but giving up an FCA significant-influence function and taking up a PRA controlled function. | E | Submitted by firm to the PRA before changes take place. |
Person remaining with the same firm in the circumstances described in SUP 10B.7.4 R (giving up a PRA controlled function triggering need for FCA approval). | E | Submitted by firm to the FCA in hard copy in advance of giving up the PRA governing function. |
Person remaining with the same firm but giving up a PRA controlled function and taking up an FCA significant-influence function. | E | Submitted by firm to the FCA before changes take place (see the FCA's Handbook). |
Person being appointed to a PRA governing function role who is about to start a function that would otherwise have come within the apportionment and oversight function. | A or E as appropriate | The form should mention that the person is to perform what would otherwise have been the apportionment and oversight function. See SUP 10A.11.10 G (table in the FCA's Handbook of examples of how the need for dual FCA and PRA approval in relation to PRA-authorised persons is reduced). |
Person moving from one PRA governing function role to another while continuing to perform a function that would otherwise have come within the apportionment and oversight function. | See previous row | See previous row. |
- 01/04/2013
SUP 10B Annex 3
[Not used]
- 01/04/2013
- 01/04/2013
SUP 10B Annex 4
Form A: Application to perform controlled functions under the approved person regime
- 01/04/2013
See Notes
- 01/04/2013
SUP 10B Annex 5
Form B: Notice to withdraw an application to perform controlled functions under the approved persons regime
- 01/04/2013
See Notes
- 01/04/2013
SUP 10B Annex 6
Form C: Notice of ceasing to perform controlled functions
- 01/04/2013
See Notes
The forms are also to be found through the following address: Supervision forms - SUP 10B Annex 6
- 01/04/2013
SUP 10B Annex 7
Form D: Notification of changes in personal information or application details
- 01/04/2013
See Notes
The forms are also to be found through the following address: Supervision forms - SUP 10B Annex 7
- 01/04/2013
SUP 10B Annex 8
Form E: Internal transfer of an approved person
- 01/04/2013
See Notes
- 01/04/2013
SUP 16
Reporting requirements
SUP 16.1
Application
- 01/12/2004
SUP 16.1.1
See Notes
- 19/01/2015
- Past version of SUP 16.1.1 before 19/01/2015
SUP 16.1.2
See Notes
[deleted]
- 01/01/2016
- Past version of SUP 16.1.2 before 01/01/2016
SUP 16.1.2A
The only categories of firm to which no section of this chapter applies are:
- 01/01/2016
SUP 16.1.3
See Notes
Application of different sections of SUP 16 (excluding SUP 16.13, SUP 16.15, SUP 16.16 and SUP 16.17)
(1) Section(s) | (2) Categories of firm to which section applies | (3) Applicable rules and guidance | |||
SUP 16.1, SUP 16.2 and SUP 16.3 |
All categories of firm except: | Entire sections | |||
(a) | an ICVC; | ||||
(b) | an incoming EEA firm or incoming Treaty firm , which is not: | ||||
(i) | a firm of a type to which SUP 16.6 orSUP 16.12 applies; or | ||||
(ii) | an insurer with permission to effect or carry out life policies; or | ||||
(iii) | a firm with permission to establish, operate or wind up a personal pension scheme or a stakeholder pension scheme; | ||||
(c) | a UCITS qualifier. | ||||
SUP 16.6 | Bank | SUP 16.6.4 R to SUP 16.6.5 R | |||
Depositary of an ICVC | SUP 16.6.6 R to SUP 16.6.9 G | ||||
Trustee of an AUT | SUP 16.6.6 R to SUP 16.6.9 G | ||||
Depositary of an ACS | SUP 16.6.6 R to SUP 16.6.9 G | ||||
SUP 16.7A | A firm subject to the requirement in SUP 16.7A.3 R or SUP 16.7A.5 R | Sections as relevant | |||
SUP 16.8 | Insurer with permission to effect or carry out life policies , unless it is a non-directive friendly society | Entire section | |||
Firm with permission to establish, operate or wind up a personal pension scheme or a stakeholder pension scheme | Entire section | ||||
SUP 16.9 | Firm with permission to advise on investments ; arrange (bring about) deals in investments ; make arrangements with a view to transactions in investments ; or arrange safeguarding and administration of assets | Entire section | |||
SUP 16.11 | (1) | A firm, other than a managing agent, which is: | |||
(a) | a home finance provider; or | Entire section | |||
(b) | an insurer; or | Entire section | |||
(c) | the operator of a regulated collective investment scheme or an investment trust savings scheme; or | Entire section | |||
(d) | a person who issues or manages the relevant assets of the issuer of a structured capital-at-risk product; or | Entire section | |||
(e) | a firm with permission to enter into a regulated credit agreement as lender in respect of high-cost short-term credit or home credit loan agreements; or | Entire section | |||
(2) | a firm in whom the rights and obligations of the lender under a regulated mortgage contract are vested. | The provisions governing performance data reports in SUP 16.11 and SUP 16 Annex 21 | |||
SUP 16.14 | A CASS large firm and a CASS medium firm | Entire section | |||
SUP 16.18 | A full-scope UK AIFM and a small authorised UK AIFM | SUP 16.8.3 R | |||
SUP 16.20 | An IFPRU 730k firm and a qualifying parent undertaking that is required to send a recovery plan, a group recovery plan or information for a resolution plan to the FCA. | Entire Section | |||
Note 1[deleted] | |||||
Note 2 = The application of SUP 16.13 is set out under SUP 16.13.1 G; the application of SUP 16.15 is set out under SUP 16.15.1 G; the application of SUP 16.16 is set out SUP 16.16.1 R and SUP 16.16.2 R and the application of SUP 16.17 is set out in SUP 16.17.3 R and SUP 16.17.4 R. | |||||
Note 3 = The application of SUP 16.18 for the types of AIFMs specified in SUP 16.1.1C G is set out in SUP 16.18.2 G. |
- 01/01/2016
- Past version of SUP 16.1.3 before 01/01/2016
SUP 16.1.3A
See Notes
The reference to SUP 16.12 in the table above in SUP 16.1.3R in respect of Sections SUP 16.1, SUP 16.2 and SUP 16.3, at (1)(b)(i) must be read as “the Regulatory Reporting Part of the PRA Rulebook”.
- 01/01/2016
SUP 16.1.4
See Notes
- 01/04/2013
- Past version of SUP 16.1.4 before 01/04/2013
SUP 16.1.7
See Notes
- 01/04/2013
SUP 16.2
Purpose
- 01/12/2004
SUP 16.2.1A
See Notes
- 19/06/2014
SUP 16.3
General provisions on reporting
- 01/12/2004
Application
SUP 16.3.1
See Notes
- 01/01/2016
- Past version of SUP 16.3.1 before 01/01/2016
SUP 16.3.1A
See Notes
The effect of SUP 16.1.1R is that this section applies to every firm except:
(1) an ICVC;
(2) an incoming EEA firm or incoming Treaty firm, unless it is:
(a) a firm of a type listed in SUP 16.1.3 R as a firm to which SUP 16.6 or the Regulatory Reporting Part of the PRA Rulebook applies;
(b) an insurer with permission to effect or carry out life policies;
(3) a UCITS qualifier.
- 01/01/2016
Structure of the chapter
SUP 16.3.2A
See Notes
SUP 16.3.3
See Notes
- 01/04/2013
- Past version of SUP 16.3.3 before 01/04/2013
SUP 16.3.4
See Notes
- 01/04/2013
- Past version of SUP 16.3.4 before 01/04/2013
SUP 16.3.5
See Notes
- 01/04/2013
- Past version of SUP 16.3.5 before 01/04/2013
How to submit reports
SUP 16.3.6
See Notes
- 01/04/2013
- Past version of SUP 16.3.6 before 01/04/2013
SUP 16.3.7
See Notes
- 01/04/2013
- Past version of SUP 16.3.7 before 01/04/2013
SUP 16.3.8
See Notes
- 01/04/2013
- Past version of SUP 16.3.8 before 01/04/2013
SUP 16.3.9
See Notes
Method of submission of reports (see SUP 16.3.8 R)
Method of delivery | |
1. | Post to the published address of the FCA for postal submission of reports |
2. | Leaving the report marked for the attention of "Central Reporting" at the published address of the FCA for hand delivery of reports and obtaining a dated receipt |
3. | Electronic mail or fax to the published e-mail address or fax number of the FCA's Central Reporting team |
4. | Online submission via the appropriate systems accessible from the appropriate regulator's website |
- 01/04/2013
- Past version of SUP 16.3.9 before 01/04/2013
SUP 16.3.10
See Notes
Central Reporting |
The Financial ConductAuthority |
PO BOX 35747 |
London E14 5WP |
Central Reporting |
The Financial ConductAuthority |
25 The North Colonnade |
Canary Wharf |
London E14 5HS |
if the firm's usual supervisory contact at the appropriate regulator is based in London, or:
Complete reporting
SUP 16.3.11
See Notes
SUP 16.3.12
See Notes
Timely reporting
SUP 16.3.13
See Notes
Failure to submit reports
SUP 16.3.14B
See Notes
Failure to submit a report in accordance with the rules in, or referred to in this chapter or the provisions of relevant legislation may lead to the imposition of a financial penalty and other disciplinary sanctions. A firm may be subject to reporting requirements under relevant legislation other than the Act, not referred to in this chapter. An example of this is reporting to the appropriate regulator by building societies under those parts of the Building Societies Act 1986 which have not been repealed (see SUP 16.1.4 G).
- 01/10/2015
SUP 16.3.15
See Notes
SUP 16.3.16
See Notes
Change of accounting reference date
SUP 16.3.17A
See Notes
- 02/04/2015
SUP 16.3.18
See Notes
SUP 16.3.19
See Notes
Notifications regarding financial information reporting under the EU CRR
SUP 16.3.19A
See Notes
- 01/01/2014
SUP 16.3.19B
See Notes
- 01/01/2014
Service of Notices Regulations
SUP 16.3.22
See Notes
Reports from groups
SUP 16.3.25
See Notes
[deleted]
SUP 16.3.25A
If this chapter requires the submission of a report or data item covering a group, a single report or data item may be submitted, and so satisfy the requirements of all firms in the group. Such a report or data item should contain the information required from all of them, meet all relevant due dates and indicate all the firms on whose behalf it is submitted; if necessary a separate covering sheet should list the firms on whose behalf a report or data item is submitted. Nevertheless, the requirement to provide a report or data item, and the responsibility for the report or data item, remains with each firm in the group. However, reporting requirements that apply to a firm, by reason of the firm being a member of a financial conglomerate, are imposed on only one member of the financial conglomerate.
- 01/01/2016
SUP 16.3.26
See Notes
[deleted]
SUP 16.3.26A
See Notes
Examples of reports covering a group are:
(1) the compliance reports required from banks under SUP 16.6.4 R;
(2) [deleted];
(3) [deleted];
(4) [deleted];
(5) [deleted];
(6) [deleted].
SUP 16.6
Compliance reports
- 01/12/2004
Application
SUP 16.6.1
See Notes
- 01/04/2013
- Past version of SUP 16.6.1 before 01/04/2013
SUP 16.6.2
See Notes
Applicable provisions of this section (see SUP 16.6.1 G)
Category of firm | Applicable provisions |
Bank | SUP 16.6.4 R - SUP 16.6.5 R |
Trustee of an AUT Depositary of an ICVC Depositary of an ACS |
SUP 16.6.6 R - SUP 16.6.9 G |
- 31/03/2015
- Past version of SUP 16.6.2 before 31/03/2015
Purpose
SUP 16.6.3B
See Notes
- 01/04/2013
Banks
SUP 16.6.4
See Notes
- 01/04/2013
- Past version of SUP 16.6.4 before 01/04/2013
SUP 16.6.5
See Notes
Compliance reports from a bank (see SUP 16.6.4 R)
Report | Frequency | Due date |
List of all overseas regulators for each legal entity in the firm's group | Annually | 6 months after the firm's accounting reference date |
Organogram showing the authorised entities in the firm's group | Annually | 6 months after the firm's accounting reference date |
- 01/04/2013
- Past version of SUP 16.6.5 before 01/04/2013
SUP 16.12
Integrated Regulatory Reporting
- 01/01/2008
Application
SUP 16.12.1
See Notes
Purpose
SUP 16.12.2
See Notes
Reporting requirement
SUP 16.12.3
See Notes
Regulatory Data Group
Statistics and Regulatory Data Division (HO5 A-B)
Bank of England
Threadneedle Street
London
EC2R 8AH
(CreditUnionReporting@BankofEngland.co.uk) or fax (020 7601 3334) to the Regulatory Data Group of the Bank of England
SUP 16.12.3A
See Notes
A UK designated investment firm that undertakes activities in both RAG3 and RAG 7
Overlaying the requirements of RAG 3 ( data items ) with the requirements of RAG 7 shows the following:
RAG 3 (SUP 16.12.11 R) data items | RAG 7 (SUP 16.12.22A R) data items |
Annual reports and accounts | Annual reports and accounts |
Annual report and accounts of the mixed-activity holding company | Annual report and accounts of the mixed-activity holding company (note 10) |
Solvency statement | Solvency statement |
Balance sheet | Balance Sheet |
Income statement | Income statement |
Market risk | Market risk |
Market risk - supplementary | Market risk - supplementary |
Exposures between core UK group and non-core large exposures group | Exposures between core UK group and non-core large exposures group |
Solo consolidation data | Solo consolidation data |
Pillar 2 questionnaire | Pillar 2 questionnaire |
Professional indemnity insurance | |
Threshold Conditions | |
Training and Competence | |
COBS data | |
Client money and client assets | Client money and client assets |
Fees and levies | |
CFTC | |
IRB portfolio risk | IRB portfolio risk |
Daily Flows (if it is an ILAS BIPRU firm) | |
Enhanced Mismatch Report (if it is an ILAS BIPRU firm) | |
Liquidity Buffer Qualifying Securities (if it is an ILAS BIPRU firm) | |
Funding Concentration (if it is an ILAS BIPRU firm) | |
Pricing data (if it is an ILAS BIPRU firm) | |
Retail and corporate funding (if it is an ILAS BIPRU firm) | |
Currency Analysis (if it is a ILAS BIPRU firm) | |
Systems and Controls Questionnaire (if it is a non-ILAS BIPRU firm) |
A UK bank that is not a FINREP firm in RAG 1 that also carries on activities in RAG 5
Again, overlaying the RAG 1 reporting requirements with the requirements for a RAG 5 firm gives the following :
RAG 1 requirements (SUP 16.12.5 R) | RAG 5 requirements (SUP 16.12.18A R) |
Annual report and accounts | Annual report and accounts |
Annual report and accounts of the mixed-activity holding company (note 9) | |
Solvency statement (note 10) | |
Balance sheet | Balance Sheet |
Income statement | Income statement |
Market risk | |
Market risk -supplementary | |
Exposures between core UK group and non-core large exposures group | |
Liquidity (other than stock) | |
Liquidity - stock | |
Forecast data | |
Solo consolidation data | |
Interest rate gap report | |
[deleted] | |
Sectoral information, including arrears and impairment | |
IRB portfolio risk | |
Daily Flows (if it is an ILAS BIPRU firm) | |
Enhanced Mismatch Report (if it is an ILAS BIPRU firm) | |
Liquidity Buffer Qualifying Securities (if it is an ILAS BIPRU firm) | |
Funding Concentration (if it is an ILAS BIPRU firm) | |
Pricing data (if it is an ILAS BIPRU firm) | |
Retail and corporate funding (if it is an ILAS BIPRU firm) | |
Currency Analysis (if it is an ILAS BIPRU firm) | |
Lending - Business flow and rates | |
Residential Lending to individuals - New business profile | |
Lending - Arrears analysis | |
Mortgage administration - Business profile | |
Mortgage Administration - Arrears analysis | |
Analysis of loans to customers | |
Provisions analysis | |
Fees and levies |
SUP 16.12.3B
See Notes
SUP 16.12.4
See Notes
(1) | (2) | (3) | (4) | |
RAG number | Regulated Activities | Provisions containing: | ||
applicable data items | reporting frequency/ period | due date | ||
RAG 1 | • accepting deposits • meeting of repayment claims • managing dormant account funds (including the investment of such funds) |
SUP 16.12.5 R, except FSA001 and FSA002 on consolidated basis for FINREP firms | SUP 16.12.6 R | SUP 16.12.7 R |
RAG 2.1 | • effecting contracts of insurance • carrying out contracts of insurance • entering as provider into a funeral plan contract |
SUP 16.12.8 R | SUP 16.12.8 R | SUP 16.12.8 R |
RAG 2.2 | • managing the underwriting capacity of a Lloyds syndicate as a managing agent at Lloyds • advising on syndicate participation at Lloyds • arranging deals in contracts of insurance written at Lloyds |
SUP 16.12.9 R | SUP 16.12.9 R | SUP 16.12.9 R |
RAG 3 | • dealing in investment as principal • dealing in investments as agent • advising on investments (excluding retail investment activities) • arranging (bringing about) deals in investments (excluding retail investment activities) |
SUP 16.12.10 R SUP 16.12.11 R or SUP 16.12.11B R for UK designated investment firmsexcept FSA001 and FSA002 on consolidated basis for FINREP firms | SUP 16.12.10 R SUP 16.12.12 R or SUP 16.12.12A R for UK designated investment firms | SUP 16.12.10 R SUP 16.12.13 R |
RAG 4 | • managing investments • establishing, operating or winding up a collective investment scheme • establishing, operating or winding up a stakeholder pension scheme • establishing, operating or winding up a personal pension scheme • managing an AIF • managing a UCITS • operating an electronic system in relation to lending (FCA-authorised persons only) |
SUP 16.12.14 R SUP 16.12.15 R or SUP 16.12.15B RR for UK designated investment firms, except FSA001 and FSA002 on consolidated basis for FINREP firms | SUP 16.12.14 R SUP 16.12.16 R or SUP 16.12.16A R for UK designated investment firm | SUP 16.12.14 R SUP 16.12.17 R |
RAG 5 | • home finance administration or home finance providing activity | SUP 16.12.18A R and SUP 16.12.18BR | SUP 16.12.18A RR and SUP 16.12.18BR | SUP 16.12.18A RR and SUP 16.12.18BR |
RAG 6 | • safeguarding and administration of assets (without arranging) • arranging safeguarding and administration of assets • acting as trustee or depositary of an AIF • acting as trustee or depositary of a UCITS |
SUP 16.12.19 R | SUP 16.12.20 R | SUP 16.12.21 R |
RAG 7 | • retail investment activities • advising on pensions transfers & opt-outs • arranging (bringing about deals) in retail investments |
SUP 16.12.22A R or SUP 16.12.22C R for UK designated investment firms, except FSA001 and FSA002 on consolidated basis for FINREP firms |
SUP 16.12.23A R and SUP 16.12.23 R for UK designated investment firms |
SUP 16.12.24 R |
RAG 8 | • making arrangements with a view to transactions in investments • operating a multilateral trading facility |
SUP 16.12.25A R or SUP 16.12.25C R for UK designated investment firmsexcept FSA001 and FSA002 on consolidated basis for FINREP firm |
SUP 16.12.26 R | SUP 16.12.27 R |
RAG 9 | • home finance mediation activity • insurance mediation activity (non-investment insurance contracts) |
SUP 16.12.28A R | SUP 16.12.28A R | SUP 16.12.28A R |
RAG 10 | • the activities of an RIE | SUP 16.12.29 G | SUP 16.12.29 G | SUP 16.12.29 G |
RAG 11 | bidding in emissions auctions | SUP 16.12.29A R | SUP 16.12.29A R | SUP 16.12.29A R |
SUP 16.12.4A
See Notes
[deleted]
SUP 16.12.4B
See Notes
[deleted]
SUP 16.12.5A
See Notes
The applicable data items and forms or reports referred to in SUP 16.12.4R are set out according to firm type in the table below:
Description of data item | Prudential category of firm, applicable data items and reporting format (Note 1) |
|||||||
UK bank | Building society | Non-EEA bank | EEA bank that has permission to accept deposits, other than one with permission for cross border services only and that has its registered office (or, if it has no registered office, its head office) outside the EU | [deleted] | Credit union | Dormant account fund operator (note 15) |
||
Annual report and accounts | No stand -ard format |
No stand -ard format but in English |
No standard format | |||||
Annual report and accounts of the mixed activity holding company (note 9) | No standard format | |||||||
Solvency statement (note 10) | No standard format | |||||||
Balance sheet | FSA001 (note 2) | FSA001 (note 2) | CQ; CY | |||||
Income statement | FSA002 (note 2) | FSA002 (note 2) | FSA002 | CQ; CY | ||||
Capital adequacy | CQ; CY | |||||||
[deleted] | [deleted] | |||||||
Market risk | FSA005 (notes 2, 4) | FSA005 (notes 2, 4) | ||||||
Market risk -supplementary | FSA006 (note 5) | |||||||
Large exposures | CQ; CY | |||||||
Exposures between core UK group and non-core large exposures group | FSA018 (note 12) | FSA018 (note 12) | ||||||
Liquidity (other than stock) | FSA011 | CQ; CY | ||||||
Forecast data | FSA014 (note 11) | FSA014 (note 11) | ||||||
Solo consolidation data | FSA016 (note 7) | FSA016 (note 7) | ||||||
Interest rate gap report | FSA017 | FSA017 | ||||||
Sectoral information, including arrears and impairment | FSA015 (Note 2) |
FSA015 (Note 2) |
||||||
IRB portfolio risk | FSA045 (note 13) | FSA045 (note 13) | ||||||
Daily Flows | FSA047 (Notes 16, 20 and 22) | FSA047 (Notes 16, 20 and 22) | FSA047 (Notes 16, 18, 20 and 22) | FSA047 (Notes 16, 18, 20 and 22) | ||||
Enhanced Mismatch Report | FSA048 (Notes 16, 20 and 22) | FSA048 (Notes 16, 20 and 22) | FSA048 (Notes 16, 18, 20 and 22) | FSA048 (Notes 16, 18, 20 and 22) | ||||
Liquidity Buffer Qualifying Securities | FSA050 (Notes 17, 21 and 22) | FSA050 (Notes 17, 21 and 22) | ||||||
Funding Concentration | FSA051 (Notes 17, 21 and 22) | FSA051 (Notes 17, 21 and 22) | ||||||
Pricing data | FSA052 (Notes 17, 22 and 24) | FSA052 (Notes 17, 22 and 24) | ||||||
Retail and corporate funding | FSA053 (Notes 17, 21 and 22) | FSA053 (Notes 17, 21 and 22) | ||||||
Note 1 | When submitting the completed data item required, a firm must use the format of the data item set out in SUP 16 Annex 24R, except for credit union reports that are in SUP 16 Annex 14. Guidance notes for completion of the data items are contained in SUP 16 Annex 25G (or Annex 15G for credit unions). | |||||||
Note 2 | Firms that are members of a UK consolidation group are also required to submit this data item on a UK consolidation group basis. Firms' attention is drawn to SUP 16.3.25G regarding a single submission for all firms in the group. | |||||||
Note 3 | [deleted] | |||||||
Note 4 | For PRA-authorised persons lines 62 to 64 only are applicable. These lines apply to a firm that applies add-ons to their market risk capital calculation under the RNIV framework. For further guidance on how to complete the form PRA-authorised persons may refer to SUP 16.12.25A R. | |||||||
Note 5 | Only applicable to firms with a VaR model permission | |||||||
Note 6 | [deleted] | |||||||
Note 7 | Only applicable to a firm that has a solo consolidation waiver. | |||||||
Note 8 | [deleted] | |||||||
Note 9 | [deleted] | |||||||
Note 10 | [deleted] | |||||||
Note 11 | Members of a UK consolidation group should only submit this data item at the UK consolidation group level. | |||||||
Note 12 | Only applicable to a firm that has both a core UK group and a non-core large exposures group. | |||||||
Note 13 | Only applicable to firms that have an IRB permission | |||||||
Note 14 | [deleted] | |||||||
Note 15 | Only applies to a dormant account fund operator that does not fall into any of the other prudential categories in this table. | |||||||
Note 16 | A firm must complete this item separately on each of the following bases that are applicable. (1) It must complete it on a solo basis (including on the basis of the firm's UK branch). Therefore even if it has a solo consolidation waiver it must complete the item on an unconsolidated basis by reference to the firm alone. (2) If it is a group liquidity reporting firm in a DLG by default and is a UK lead regulated firm, it must complete the item on the basis of that group. (3) If it is a group liquidity reporting firm in a UK DLG by modification, it must complete the item on the basis of that group and (1) does not apply. (4) If it is a group liquidity reporting firm in a non-UK DLG by modification, it must complete the item on the basis of that group. |
|||||||
Note 17 | A firm must complete this item separately on each of the following bases that are applicable. (1) It must complete it on a solo basis (including on the basis of the firm's UK branch) unless it is a group liquidity reporting firm in a UK DLG by modification. Therefore even if it has a solo consolidation waiver it must complete the item on an unconsolidated basis by reference to the firm alone. (2) If it is a group liquidity reporting firm in a UK DLG by modification, it must complete the item on the basis of that group. |
|||||||
Note 18 | (1) If the firm has a whole-firm liquidity modification it must complete this item on the basis of the whole firm (or at any other reporting level the whole-firm liquidity modification may have required) and not just its UK branch. (2) If the firm does not have a whole-firm liquidity modification there is no obligation to report this requirement. |
|||||||
Note 19 | [deleted] | |||||||
Note 20 | (1) This item must be reported in the reporting currency. (2) If any data element is in a currency or currencies other than the reporting currency, all currencies (including the reporting currency) must be combined into a figure in the reporting currency. (3) In addition, all material currencies (which may include the reporting currency) must each be recorded separately (translated into the reporting currency). However if: (a) the reporting frequency is (whether under a rule or under a waiver) quarterly or less than quarterly; or (b) the only material currency is the reporting currency; (3) does not apply. (4) If there are more than three material currencies for this data item, (3) only applies to the three largest in amount. A firm must identify the largest in amount in accordance with the following procedure. (a) For each currency, take the largest of the asset or liability figure as referred to in the definition of material currency. (b) Take the three largest figures from the resulting list of amounts. (5) The date as at which the calculations for the purposes of the definition of material currency are carried out is the last day of the reporting period in question. (6) The reporting currency for this data item is whichever of the following currencies the firm chooses, namely USD (the United States Dollar), EUR (the euro), GBP (sterling), JPY (the Japanese Yen), CHF (the Swiss Franc), CAD (the Canadian Dollar) or SEK (the Swedish Krona). |
|||||||
Note 21 | Note 20 applies, except that paragraphs (3), (4) and (5) do not apply, meaning that material currencies must not be recorded separately. | |||||||
Note 22 | Any changes to reporting requirements caused by a firm receiving an intra-group liquidity modification or a whole-firm liquidity modification (or a variation to one) do not take effect until the first day of the next reporting period applicable under the changed reporting requirements for the data item in question if the firm receives that intra-group liquidity modification, whole-firm liquidity modification or variation part of the way through such a period. If the change is that the firm does not have to report a particular data item or does not have to report it at a particular reporting level, the firm must nevertheless report that item or at that reporting level for any reporting period that has already begun. This paragraph is subject to anything that the intra-group liquidity modification or a whole-firm liquidity modification says to the contrary. | |||||||
Note 23 | Only applicable to firms that hold securitisation positions in the trading book and/ or are the originator or sponsor of securitisations held in the trading book. | |||||||
Note 24 | This data item must be reported only in the currencies named in FSA052, so that liabilities in GBP are reported in GBP in rows 1 to 4, those in USD are reported in USD in rows 5 to 8, and those in Euro are reported in Euro in rows 9 to 12. Liabilities in other currencies are not to be reported. |
- 01/10/2015
Regulated Activity Group 1
SUP 16.12.6
See Notes
Data item | Unconsolidated UK banks and building societies | Solo consolidated UK banks and building societies | Report on a UK consolidation group or, as applicable, defined liquidity group basis by UK banks and building societies | Other members of RAG 1 |
Annual report and accounts (PRA-authorised persons only) | Annual | Annual | ||
Annual report and accounts of the mixed-activity holding company (PRA-authorised persons only) | Annual | |||
Solvency statement | Annual | |||
CQ | Quarterly | |||
CY | Annually (note 2) | |||
FSA001 | Quarterly | Half yearly | ||
FSA002 | Quarterly | Half yearly | Half yearly | |
FSA005 | Quarterly | Half yearly | ||
FSA006 | Quarterly | |||
FSA011 | Quarterly | |||
FSA014 | Half yearly | |||
FSA015 | Quarterly | Half yearly | ||
FSA016 | Half yearly | |||
FSA017 | Quarterly | Half yearly | ||
FSA018 | Quarterly | |||
FSA045 | Quarterly | Half yearly | ||
FSA047 | Daily, weekly, monthly or quarterly (Notes 4, 6 and 9) | Daily, weekly, monthly or quarterly (Notes 4,5, 6 and 9) | Daily, weekly, monthly or quarterly (Notes 4, 8 and 9) | Daily, weekly, monthly or quarterly (Notes 4,7 and 9) |
FSA048 | Daily, weekly, monthly or quarterly (Notes 4, 6 and 9) | Daily, weekly, monthly or quarterly (Notes 4,5, 6 and 9) | Daily, weekly, monthly or quarterly (Notes 4, 8 and 9) | Daily, weekly, monthly or quarterly (Notes 4,7 and 9) |
FSA050 | Monthly (Note 4) | Monthly (Notes 4 and 5) | Monthly (Note 4) | Monthly (Note 4) |
FSA051 | Monthly (Note 4) | Monthly (Notes 4 and 5) | Monthly (Note 4) | Monthly (Note 4) |
FSA052 | Weekly or monthly (Notes 4 and 10) | Weekly or monthly (Notes 4, 5 and 10) | Weekly or monthly (Notes 4 and 11) | Weekly or monthly (Notes 4 and 10) |
FSA053 | Quarterly (Note 4) | Quarterly (Notes 4 and 5) | Quarterly (Note 4) | Quarterly (Note 4) |
FSA054 | Quarterly (Note 4) | Quarterly (Notes 4 and 5) | Quarterly (Note 4) | Quarterly (Note 4) |
Note 1 | [deleted] | |||
Note 2 | The annual report required from a credit union by SUP 16.12.5 R must be made up for the same period as the audited accounts published by the credit union in accordance with section 3A of the Friendly and Industrial and Provident Societies Act 1968 or provided in accordance with article 49 of the Credit Unions (Northern Ireland) Order 1985 (as appropriate). CREDS 8.2.6 R (2)(a) states that the audited accounts referred to in SUP 16.12.5 R are to be made up for the period beginning with the date of the credit union's registration or with the date to which the credit union's last annual accounts were made up, and ending on the credit union's most recent financial year end. | |||
Note 3 | [deleted] | |||
Note 4 | Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not from a firm's accounting reference date. In particular: (1) A week means the period beginning on Saturday and ending on Friday. (2) A month begins on the first day of the calendar month and ends on the last day of that month. (3) Quarters end on 31 March, 30 June, 30 September and 31 December. (4) Daily means each business day. All periods are calculated by reference to London time. Any changes to reporting requirements caused by a firm receiving an intra-group liquidity modification or a whole-firm liquidity modification (or a variation to one) do not take effect until the first day of the next reporting period applicable under the changed reporting requirements if the firm receives that intra-group liquidity modification, whole-firm liquidity modification or variation part of the way through such a period, unless the whole-firm liquidity modification or intra-group liquidity modification says otherwise. |
|||
Note 5 | As specified in SUP 16.12.5 R, solo consolidation has no application to liquidity reporting. Therefore it does not make any difference to the reporting of this item whether or not the firm is solo consolidated. | |||
Note 6 | If the report is on a solo basis (and the firm is a UK firm) the reporting frequency is as follows: (1) if the firm does not have an intra-group liquidity modification the frequency is: (a) weekly if the firm is a standard frequency liquidity reporting firm; and (b) monthly if the firm is a low frequency liquidity reporting firm; (2) if the firm is a group liquidity reporting firm in a non-UK DLG by modification (firmlevel) the frequency is: (a) weekly if the firm is a standard frequency liquidity reporting firm; and (b) monthly if the firm is a low frequency liquidity reporting firm; (3) the frequency is quarterly if the firm is a group liquidity reporting firm in a UKDLG by modification. |
|||
Note 7 | (1) If the report is on a solo basis (and the firm is not a UK firm) the reporting frequency is as follows: (a) weekly if the firm is a standard frequency liquidity reporting firm; and (b) monthly if the firm is a low frequency liquidity reporting firm. (2) If the firm has a whole-firm liquidity modification (1) does not apply and instead the frequency of solo reporting is quarterly (or whatever other frequency the whole-firm liquidity modification requires). |
|||
Note 8 | (1) If the report is by reference to the firm'sDLG by default the reporting frequency is: (a) weekly if the group liquidity standard frequency reporting conditions are met; (b) monthly if the group liquidity low frequency reporting conditions are met. (2) If the report is by reference to the firm'sUKDLG by modification the reporting frequency is: (a) weekly if the group liquidity standard frequency reporting conditions are met; (b) monthly if the group liquidity low frequency reporting conditions are met. (3) If the report is by reference to the firm'snon-UK DLG by modification the reporting frequency is quarterly. |
|||
Note 9 | (1) If the reporting frequency is otherwise weekly, the item is to be reported on every business day if (and for as long as) there is a firm-specific liquidity stress or market liquidity stress in relation to the firm, branch or group in question. (2) If the reporting frequency is otherwise monthly, the item is to be reported weekly if (and for as long as) there is a firm-specific liquidity stress or market liquidity stress in relation to the firm, branch or group in question. (3) A firm must ensure that it would be able at all times to meet the requirements for daily or weekly reporting under paragraph (1) or (2) even if there is no firm-specific liquidity stress or market liquidity stress and none is expected. |
|||
Note 10 | If the report is on a solo basis (including by reference to the firm's UK branch) the reporting frequency is as follows: (1) weekly if the firm is a standard frequency liquidity reporting firm; and (2) monthly if the firm is a low frequency liquidity reporting firm. |
|||
Note 11 | If the report is by reference to the firm's UK DLG by modification the reporting frequency is: (1) weekly if the group liquidity standard frequency reporting conditions are met; (2) monthly if the group liquidity low frequency reporting conditions are met. |
SUP 16.12.7
See Notes
Data item | Daily | Weekly | Monthly | Quarterly | Half yearly | Annual |
Annual report and accounts (PRA-authorised persons only) | 80 business days (note 1) 7 months (note 2) | |||||
Annual report and accounts of the mixed-activity holding company (PRA-authorised persons only) | 7 months | |||||
Solvency statement | 3 months | |||||
CQ | 1 month | |||||
CY | 6 months | |||||
FSA001 | 20 business days | 45 business days | ||||
FSA002 | 20 business days | 45 business days | ||||
FSA005 | 20 business days | 45 business days | ||||
FSA006 | 20 business days | |||||
[deleted] | [deleted] | |||||
FSA011 | 15 business days | |||||
[deleted] | [deleted] | |||||
[deleted] | [deleted] | |||||
FSA014 | 30 business days (note 3); 45 business days (note 4) |
|||||
FSA015 | 30 business days | 45 business days | ||||
FSA016 | 30 business days | |||||
FSA017 | 20 business days | 45 business days | ||||
FSA018 | 45 business days | |||||
FSA045 | 20 business days | 45 business days | ||||
FSA047 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | 15 business days or one Month (Note 5) | ||
FSA048 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | 15 business days or one Month (Note 5) | ||
FSA050 | 15 business days | |||||
FSA051 | 15 business days | |||||
FSA052 | 22.00 hours (London time) on the second business day immediately following the last day of the reporting period for the item in question | 15 business days | ||||
FSA053 | 15 business days | |||||
FSA054 | 15 business days | |||||
Note 1 | [deleted] | |||||
Note 2 | [deleted] | |||||
Note 3 | Applicable to unconsolidated and solo consolidated reports | |||||
Note 4 | Applicable to UK consolidation group reports | |||||
Note 5 | It is one Month if the report relates to a non-UK DLG by modification or the firm has a whole-firm liquidity modification. |
Regulated Activity Group 2.1
SUP 16.12.8
See Notes
Regulated Activity Group 3
SUP 16.12.10
See Notes
SUP 16.12.11B
See Notes
Description of data item | Applicable data items (Note 1) |
Annual report and accounts | No standard format |
Annual report and accounts of the mixed-activity holding company (note 5) | No standard format |
Solvency statement | No standard format (Note 6) |
Balance sheet | FSA001 (Note 2) |
Income statement | FSA002 (Note2) |
Market risk | FSA005 (notes 2, 19) |
Market risk-supplementary | FSA006 (Note 3) |
Exposures between core UK group and non-core large exposures group | FSA018 (Note 7) |
Solo consolidation data | FSA016 (Note 9) |
Pillar 2 questionnaire | FSA019 (Note 4) |
IRB portfolio risk | FSA045 (Note 18) |
Daily flows | FSA047 (Notes 10, 13, 15 and 16) |
Enhanced Mismatch Report | FSA048 (Notes 10, 13, 15 and 16) |
Liquidity Buffer Qualifying Securities | FSA050 (Notes 11, 14, 15 and 16) |
Funding Concentration | FSA051 (Notes 11, 14, 15 and 16) |
Pricing data | FSA052 (Notes 11, 15, 16 and 17) |
Retail and corporate funding | FSA053 (Notes 11, 14, 15 and 16) |
Systems and Controls Questionnaire | FSA055 (Notes 12 and 16) |
Note 1 | When submitting the completed data item required, a firm must use the format of the data item set out in SUP 16 Annex 24. Guidance notes for completion of the data items are contained in SUP 16 Annex 25AG. |
Note 2 | Firms that are members of a consolidation group are also required to submit this report on a consolidation group basis. |
Note 3 | Only applicable to firms with a VaR model permission. |
Note 4 | Only applicable to UK designated investment firms that: (a) are subject to consolidated supervision under the EU CRR, except those that are either included within the consolidated supervision of a group that includes a UK credit institution, or (b) are not subject to consolidated supervision under the EU CRR. A UK designated investment firm under (a) must complete the report on the basis of its consolidation group. A UK designated investment firm under (b) must complete the report on the basis of its solo position. |
Note 5 | Only applicable to a firm whose ultimate parent is a mixed activity holding company. |
Note 6 | Only applicable to a firm that is a sole trader or a partnership, when the report must be submitted by each partner. |
Note 7 | Only applicable to a firm that has both a core UK group and a non-core large exposures group. |
Note 9 | Only applicable to a firm with an individual consolidation permission |
Note 10 | A firm must complete this item separately on each of the following bases (if applicable). (1) It must complete it on a solo basis. Therefore even if it has an individual consolidation permission it must complete the item on an unconsolidated basis by reference to the firm alone. (2) If it is a group liquidity reporting firm in a DLG by default and is a UK lead regulated firm, it must complete the item on the basis of that group. (3) If it is a group liquidity reporting firm in a UK DLG by modification, it must complete the item on the basis of that group and (1) does not apply. (4) If it is a group liquidity reporting firm in a non-UK DLG by modification, it must complete the item on the basis of that group. |
Note 11 | A firm must complete this item separately on each of the following bases that are applicable. (1) It must complete it on a solo basis unless it is a group liquidity reporting firm in a UK DLG by modification. Therefore even if it has an individual consolidation permission it must complete the item on an unconsolidated basis by reference to the firm alone. (2) If it is a group liquidity reporting firm in a UK DLG by modification, it must complete the item on the basis of that group. |
Note 12 | If it is a non-ILAS BIPRU firm, it must complete it on a solo basis. Therefore even if it has an individual consolidation permission it must complete the item on an unconsolidated basis by reference to the firm alone. |
Note 13 | (1) This item must be reported in the reporting currency. (2) If any data element is in a currency or currencies other than the reporting currency, all currencies (including the reporting currency) must be combined into a figure in the reporting currency. (3) In addition, all material currencies (which may include the reporting currency) must each be recorded separately (translated into the reporting currency). However if: (a) the reporting frequency is (whether under a rule or under a waiver) quarterly or less than quarterly; or (b) the only material currency is the reporting currency; (3) does not apply. (4) If there are more than three material currencies for this data item, (3) only applies to the three largest in amount. A firm must identify the largest in amount in accordance with the following procedure. (a) For each currency, take the largest of the asset or liability figure as referred to in the definition of material currency. (b) Take the three largest figures from the resulting list of amounts. (5) The date as at which the calculations for the purposes of the definition of material currency are carried out is the last day of the reporting period in question. (6) The reporting currency for this data item is whichever of the following currencies the firm chooses, namely USD (the United States Dollar), EUR (the euro), GBP (sterling), JPY (the Japanese Yen), CHF (the Swiss Franc), CAD (the Canadian Dollar) or SEK (the Swedish Krona). |
Note 14 | Note 13 applies, except that paragraphs (3), (4) and (5) do not apply, meaning that material currencies must not be recorded separately. |
Note 15 | Any changes to reporting requirements caused by a firm receiving an intra-group liquidity modification (or a variation to one) do not take effect until the first day of the next reporting period applicable under the changed reporting requirements for the data item in question if the firm receives that intra-group liquidity modification or variation part of the way through such a period. If the change is that the firm does not have to report a particular data item or does not have to report it at a particular reporting level, the firm must nevertheless report that item or at that reporting level for any reporting period that has already begun. This paragraph is subject to anything that the intra-group liquidity modification says to the contrary. |
Note 16 | FSA047, FSA048, FSA050, FSA051, FSA052, FSA053 and FSA054 must be completed by an ILAS BIPRU firm. An ILAS BIPRU firm does not need to complete FSA055. A non-ILAS BIPRU firm must complete FSA055 and does not need to complete FSA047, FSA048, FSA050, FSA051, FSA052, FSA053 and FSA054. |
Note 17 | This data item must be reported only in the currencies named in FSA052, so that liabilities in GBP are reported in GBP in rows 1 to 4, those in USD are reported in USD in rows 5 to 8, and those in Euro are reported in Euro in rows 9 to 12. Liabilities in other currencies are not to be reported. |
Note 18 | Only applicable to firms that have an IRB permission. |
Note 19 | Lines 62 to 64 only are applicable. These lines apply to a firm that applies add-ons to their market risk capital calculation under the RNIV framework. For further guidance on how to complete the form refer to SUP 16 Annex 25A G. |
SUP 16.12.12A
See Notes
Data item | Reporting frequency |
Annual report and accounts | Annually |
Annual report and accounts of the mixed-activity holding company | Annually |
Solvency statement | Annually |
FSA001 | Quarterly |
FSA002 | Quarterly |
FSA005 | Quarterly |
FSA006 | Quarterly |
FSA016 | Half yearly |
FSA018 | Quarterly |
FSA019 | Annually |
FSA045 | Quarterly |
FSA047 | Daily, weekly, monthly or quarterly (Notes 1, 2 and 3) |
FSA048 | Daily, weekly, monthly or quarterly (Notes 1, 2 and 3) |
FSA050 | Monthly (Note 1) |
FSA051 | Monthly (Note 1) |
FSA502 | Weekly or monthly (Notes 1 and 4) |
FSA053 | Quarterly (Note 1) |
FSA054 | Quarterly (Note 1) |
FSA055 | Annually (Note 1) |
Note 1 | Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not from a firm's accounting reference date. In particular: (1) A week means the period beginning on Saturday and ending on Friday. (2) A month begins on the first day of the calendar month and ends on the last day of that month. (3) Quarters end on 31 March, 30 June, 30 September and 31 December. (4) Daily means each business day. All periods are calculated by reference to London time. Any changes to reporting requirements caused by a firm receiving an intra-group liquidity modification (or a variation to one) do not take effect until the first day of the next reporting period applicable under the changed reporting requirements if the firm receives that intra-group liquidity modification or variation part of the way through such a period, unless the intra-group liquidity modification says otherwise. |
Note 2 | If the report is on a solo basis the reporting frequency is as follows: (1) if the firm does not have an intra-group liquidity modification the frequency is: (a) weekly if the firm is a standard frequency liquidity reporting firm; and (b) monthly if the firm is a low frequency liquidity reporting firm; (2) if the firm is a group liquidity reporting firm in a non-UK DLG by modification (firm level) the frequency is: (a) weekly if the firm is a standard frequency liquidity reporting firm; and (b) monthly if the firm is a low frequency liquidity reporting firm; (3) the frequency is quarterly if the firm is a group liquidity reporting firm in a UK DLG by modification. |
Note 3 | (1) If the reporting frequency is otherwise weekly, the item is to be reported on every business day if (and for as long as) there is a firm-specific liquidity stress or market liquidity stress in relation to the firm or group in question. (2) If the reporting frequency is otherwise monthly, the item is to be reported weekly if (and for as long as) there is a firm-specific liquidity stress or market liquidity stress in relation to the firm or group in question. (3) A firm must ensure that it would be able at all times to meet the requirements for daily or weekly reporting under paragraph (1) or (2) even if there is no firm-specific liquidity stress or market liquidity stress and none is expected. |
Note 4 | If the report is on a solo basis the reporting frequency is: (1) Weekly if the firm is a standard frequency liquidity reporting firm; and (2) Monthly if the firm is a low frequency liquidity reporting firm. |
- 01/01/2014
SUP 16.12.13A
See Notes
Data item | Daily | Weekly | Monthly | Quarterly | Half yearly | Annual |
Annual report and accounts | 80 business days | |||||
Annual report and accounts of the mixed-activity holding company | 7 months | |||||
Solvency statement | 3 months | |||||
FSA001 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA002 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA005 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA006 | 20 business days | |||||
FSA016 | 30 business days | |||||
FSA018 | 45 business days | |||||
FSA019 | 2 months | |||||
FSA045 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA047 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | 15 business days or one month (Note 3) | ||
FSA048 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | 15 business days or one month (Note 3) | ||
FSA050 | 15 business days | |||||
FSA051 | 15 business days | |||||
FSA052 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | ||||
FSA053 | 15 business days | |||||
FSA054 | 15 business days | |||||
FSA055 | 15 business days | |||||
Note 1: For unconsolidated and solo-consolidated reports | ||||||
Note 2: For consolidation group reports | ||||||
Note 3: It is one Month if the report relates to a non-UK DLG by modification. |
- 01/01/2014
Regulated Activity Group 4
SUP 16.12.15B
See Notes
Description of data item | Applicable data items (Note 1) |
Annual report and accounts | No standard format |
Annual report and accounts of the mixed-activity holding company (Note 19) | No standard format |
Solvency statement (Note 20) | No standard format |
Balance sheet | FSA001 (Note 2) |
Income statement | FSA002 (Note 2) |
Market risk | FSA005 (notes 2, 18) |
Market risk ? supplementary | FSA006 (Note 3) |
Exposures between core UK group and non-core large exposures group | FSA018 (Note 5) |
Solo consolidation data | FSA016 (Note 6) |
Pillar 2 questionnaire | FSA019 (Note 4) |
Volumes and type of business (Note 15) | FSA038 |
UCITS (Note 16) | FSA042 |
IRB portfolio risk | FSA045 (note 17) |
Daily Flows | FSA047 (Notes 7,10, 12 and 13) |
Enhanced Mismatch Report | FSA048 (Notes 7, 10, 12 and 13) |
Liquidity Buffer Qualifying Securities | FSA050 (Notes 8, 11, 12 and 13) |
Funding Concentration | FSA051 (Notes 8, 11, 12 and 13) |
Pricing data | FSA052 (Notes 8, 12, 13 and 14) |
Retail and corporate funding | FSA053 (Notes 8, 11, 12 and 13) |
Currency Analysis | FSA054 (Notes 8, 11, 12 and 13) |
Systems and Control Questionnaire | FSA055 (Notes 9 and 13) |
Note 1 | When submitting the completed data item required, a firm must use the format of the data item set out in SUP 16 Annex 24. Guidance notes for completion of the data items are contained in SUP 16 Annex 25AG. |
Note 2 | Firms that are members of a consolidation group are also required to submit this report on a consolidation group basis. |
Note 3 | Only applicable to firms with a VaR model permission. |
Note 4 | Only applicable to UK designated investment firms that: (a) are subject to consolidated supervision under the EU CRR, except those that are either included within the consolidated supervision of a group that includes a UK credit institution, or (b) are not subject to consolidated supervision under the EU CRR. A UK designated investment firm under (a) must complete the report on the basis of its consolidation group. A UK designated investment firm under (b) must complete the report on the basis of its solo position. |
Note 5 | Only applicable to a firm that has both a core UK group and a non-core large exposures group. |
Note 6 | Only applicable to a firm that has an individual consolidation permission. |
Note 7 | A firm must complete this item separately on each of the following bases (if applicable). (1) It must complete it on a solo basis. Therefore even if it has an individual consolidation permission it must complete the item on an unconsolidated basis by reference to the firm alone. (2) If it is a group liquidity reporting firm in a DLG by default and is a UK lead regulated firm, it must complete the item on the basis of that group. (3) If it is a group liquidity reporting firm in a UK DLG by modification, it must complete the item on the basis of that group and (1) does not apply. (4) If it is a group liquidity reporting firm in a non-UK DLG by modification, it must complete the item on the basis of that group. |
Note 8 | A firm must complete this item separately on each of the following bases that are applicable. (1) It must complete it on a solo basis unless it is a group liquidity reporting firm in a UK DLG by modification. Therefore even if it has an individual consolidation permission it must complete the item on an unconsolidated basis by reference to the firm alone. (2) If it is a group liquidity reporting firm in a UK DLG by modification, it must complete the item on the basis of that group. |
Note 9 | If it is a non-ILAS BIPRU firm, it must complete it on a solo basis. Therefore even if it has an individual consolidation permission it must complete the item on an unconsolidated basis by reference to the firm alone. |
Note 10 | (1) This item must be reported in the reporting currency. (2) If any data element is in a currency or currencies other than the reporting currency, all currencies (including the reporting currency) must be combined into a figure in the reporting currency. (3) In addition, all material currencies (which may include the reporting currency) must each be recorded separately (translated into the reporting currency). However if: (a) the reporting frequency is (whether under a rule or under a waiver) quarterly or less than quarterly; or (b) the only material currency is the reporting currency; (3) does not apply. (4) If there are more than three material currencies for this data item, (3) only applies to the three largest in amount. A firm must identify the largest in amount in accordance with the following procedure. (a) For each currency, take the largest of the asset or liability figure as referred to in the definition of material currency. (b) Take the three largest figures from the resulting list of amounts. (5) The date as at which the calculations for the purposes of the definition of material currency are carried out is the last day of the reporting period in question. (6) The reporting currency for this data item is whichever of the following currencies the firm chooses, namely USD (the United States Dollar), EUR (the euro), GBP (sterling), JPY (the Japanese Yen), CHF (the Swiss Franc), CAD (the Canadian Dollar) or SEK (the Swedish Krona). |
Note 11 | Note 10 applies, except that paragraphs (3), (4), and (5) do not apply, meaning that material currencies must not be recorded separately. |
Note 12 | Any changes to reporting requirements caused by a firm receiving an intra-group liquidity modification (or a variation to one) do not take effect until the first day of the next reporting period applicable under the changed reporting requirements for the data item in question if the firm receives that intra-group liquidity modification or variation part of the way through such a period. If the change is that the firm does not have to report a particular data item or does not have to report it at a particular reporting level, the firm must nevertheless report that item or at that reporting level for any reporting period that has already begun. This paragraph is subject to anything that the intra-group liquidity modification says to the contrary. |
Note 13 | FSA047, FSA048, FSA050, FSA051, FSA052, FSA053 and FSA054 must be completed by an ILAS BIPRU firm. An ILAS BIPRU firm does not need to complete FSA055. A non-ILAS BIPRU firm must complete FSA055 and does not need to complete FSA047, FSA048, FSA050, FSA051, FSA052, FSA053 and FSA054. |
Note 14 | This data item must be reported only in the currencies named in FSA052, so that liabilities in GBP are reported in GBP in rows 1 to 4, those in USD are reported in USD in rows 5 to 8, and those in Euro are reported in Euro in rows 9 to 12. Liabilities in other currencies are not to be reported. |
Note 15 | Only applicable to firms that have a managing investmentspermission. |
Note 16 | Only applicable to firms that have permission for establishing, operating or winding up a regulated collective investment scheme. |
Note 17 | Only applicable to firms that have an IRB permission. |
Note 18 | Lines 63 to 64 only are applicable. These lines apply to a firm that applies add-ons to their market risk capital calculation under the RNIV framework. |
Note 19 | Only applicable to a firm whose ultimate parent is a mixed activity holding company. |
Note 20 | Only applicable to a firm that is a sole trader or a partnership, when the report must be submitted by each partner. |
SUP 16.12.16A
See Notes
Data item | Reporting frequency |
Annual report and accounts | Annually |
Annual report and accounts of the mixed-activity holding company | Annually |
Solvency statement | Annually |
FSA001 | Quarterly |
FSA002 | Quarterly |
FSA005 | Quarterly |
FSA006 | Quarterly |
FSA016 | Half yearly |
FSA018 | Quarterly |
FSA019 | Annually |
FSA038 | Half yearly |
FSA042 | Quarterly |
FSA045 | Quarterly |
FSA047 | Daily, weekly, monthly or quarterly (Notes 1, 2 and 3) |
FSA048 | Daily, weekly, monthly or quarterly (Notes 1, 2 and 3) |
FSA050 | Monthly (Note 1) |
FSA051 | Monthly (Note 1) |
FSA052 | Weekly or monthly (Notes 1 and 4) |
FSA053 | Quarterly (Note 1) |
FSA054 | Quarterly (Note 1) |
FSA055 | Annually (Note 1) |
Note 1 | Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not from a firm's accounting reference date. In particular: (1) A week means the period beginning on Saturday and ending on Friday. (2) A month begins on the first day of the calendar month and ends on the last day of that month. (3) Quarters end on 31 March, 30 June, 30 September and 31 December. (4) Daily means each business day. All periods are calculated by reference to London time. Any changes to reporting requirements caused by a firm receiving an intra-group liquidity modification (or a variation to one) do not take effect until the first day of the next reporting period applicable under the changed reporting requirements if the firm receives that intra-group liquidity modification or variation part of the way through such a period, unless the intra-group liquidity modification says otherwise. |
Note 2 | If the report is on a solo basis the reporting frequency is as follows: (1) if the firm does not have an intra-group liquidity modification the frequency is: (a) weekly if the firm is a standard frequency liquidity reporting firm; and (b) monthly if the firm is a low frequency liquidity reporting firm; (2) if the firm is a group liquidity reporting firm in a non-UK DLG by modification (firm level) the frequency is: (a) weekly if the firm is a standard frequency liquidity reporting firm; and (b) monthly if the firm is a low frequency liquidity reporting firm; (3) the frequency is quarterly if the firm is a group liquidity reporting firm in a UK DLG by modification. |
Note 3 | (1) If the reporting frequency is otherwise weekly, the item is to be reported on every business day if (and for as long as) there is a firm-specific liquidity stress or market liquidity stress in relation to the firm or group in question. (2) If the reporting frequency is otherwise monthly, the item is to be reported weekly if (and for as long as) there is a firm-specific liquidity stress or market liquidity stress in relation to the firm or group in question. (3) A firm must ensure that it would be able at all times to meet the requirements for daily or weekly reporting under paragraph (1) or (2) even if there is no firm-specific liquidity stress or market liquidity stress and none is expected. |
Note 4 | If the report is on a solo basis the reporting frequency is as follows: (1) weekly if the firm is a standard frequency liquidity reporting firm; and (2) monthly if the firm is a low frequency liquidity reporting firm. |
- 01/01/2014
SUP 16.12.17A
See Notes
Data item | Daily | Weekly | Monthly | Quarterly | Half yearly | Annual |
Annual report and accounts | 80 business days | |||||
Annual report and accounts of the mixed-activity holding company | 7 months | |||||
Solvency statement | 3 months | |||||
FSA001 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA002 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA005 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA006 | 20 business days | |||||
FSA016 | 30 business days | |||||
FSA018 | 45 business days | |||||
FSA019 | 2 months | |||||
FSA042 | 20 business days | |||||
FSA045 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA047 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | 15 business days or one month (Note 3) | ||
FSA048 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | 15 business days or one month (Note 3) | ||
FSA050 | 15 business days | |||||
FSA051 | 15 business days | |||||
FSA052 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | ||||
FSA053 | 15 business days | |||||
FSA054 | 15 business days | |||||
FSA055 | 15 business days | |||||
Note 1: For unconsolidated and solo-consolidated reports | ||||||
Note 2: For consolidation group reports | ||||||
Note 3: It is one Month if the report relates to a non-UK DLG by modification. |
- 01/01/2014
Regulated Activity Group 7
SUP 16.12.22C
See Notes
Description of data item | Applicable data item (Note 1) |
Annual report and accounts | No standard format |
Annual report and accounts of the mixed-activity holding company (note 16) | No standard format |
Solvency statement | No standard format (Note 17) |
Balance sheet | FSA001 (Note 2) |
Income statement | FSA 002 (note 2) |
Market risk | FSA005 (notes 2, 20) |
Market risk - supplementary | FSA006 (note 3) |
Exposures between core UK group and non-core large exposures group | FSA018 (note 18) |
Solo consolidation data | FSA016 |
Pillar 2 questionnaire | FSA019 (note 4) |
IRB portfolio risk | FSA045 (note 19) |
Daily Flows | FSA047 (Notes 6, 9, 11 and 12) |
Enhanced Mismatch Report | FSA048 (Notes 6, 9, 11 and 12) |
Liquidity Buffer Qualifying Securities | FSA050 (Notes 7, 10, 11 and 12) |
Funding Concentration | FSA051 (Notes 7, 10, 11 and 12) |
Pricing Data | FSA052 (Note 7, 10, 12 and 13) |
Retail and corporate funding | FSA053 (Notes 7, 10, 11 and 12) |
Currency Analysis | FSA054 (Notes 7, 10, 11 and 12) |
Systems and Controls Questionnaire | FSA055 (Notes 8 and 12) |
Note 1 | When submitting the completed data item required, a firm must use the format of the data item set out in SUP 16 Annex 24. Guidance notes for completion of the data items are contained in SUP 16 Annex 25A. |
Note 2 | Firms that are members of a consolidation group are also required to submit this report on a consolidation group basis. |
Note 3 | Only applicable to firms with a VaR model permission. |
Note 4 | Only applicable to UK designated investment firms that: (a) are subject to consolidated supervision under the EU CRR, except those that are either included within the consolidated supervision of a group that includes a UK credit institution or (b) are not subject to consolidated supervision under the EU CRR. A UK designated investment firm under (a) must complete the report on the basis of its consolidation group. A UK designated investment firm under (b) or must complete the report on the basis of its solo position. |
Note 6 | A firm must complete this item separately on each of the following bases (if applicable). (1) It must complete it on a solo basis. Therefore even if it has an individual consolidation permission it must complete the item on an unconsolidated basis by reference to the firm alone. (2) If it is a group liquidity reporting firm in a DLG by default and is a UK lead regulated firm, it must complete the item on the basis of that group. (3) If it is a group liquidity reporting firm in a UK DLG by modification, it must complete the item on the basis of that group and (1) does not apply. (4) If it is a group liquidity reporting firm in a non-UK DLG by modification, it must complete the item on the basis of that group |
Note 7 | A firm must complete this item separately on each of the following bases that are applicable. (1) It must complete it on a solo basis unless it is a group liquidity reporting firm in a UK DLG by modification. Therefore even if it has an individual consolidation permission it must complete the item on an unconsolidated basis by reference to the firm alone. (2) If it is a group liquidity reporting firm in a UK DLG by modification, it must complete the item on the basis of that group. |
Note 8 | If it is a non-ILAS BIPRU firm, it must complete it on a solo basis. Therefore even if it has an individual consolidation permission it must complete the item on an unconsolidated basis by reference to the firm alone. |
Note 9 | (1) This item must be reported in the reporting currency. (2) If any data element is in a currency or currencies other than the reporting currency, all currencies (including the reporting currency) must be combined into a figure in the reporting currency. (3) In addition, all material currencies (which may include the reporting currency) must each be recorded separately (translated into the reporting currency). However if: (a) the reporting frequency is (whether under a rule or under a waiver) quarterly or less than quarterly; or (b) the only material currency is the reporting currency; (3) does not apply. (4) If there are more than three material currencies for this data item, (3) only applies to the three largest in amount. A firm must identify the largest in amount in accordance with the following procedure. (a) For each currency, take the largest of the asset or liability figure as referred to in the definition of material currency. (b) Take the three largest figures from the resulting list of amounts. (5) The date as at which the calculations for the purposes of the definition of material currency are carried out is the last day of the reporting period in question. (6) The reporting currency for this data item is whichever of the following currencies the firm chooses, namely USD (the United States Dollar), EUR (the euro), GBP (sterling), JPY (the Japanese Yen), CHF (the Swiss Franc), CAD (the Canadian Dollar) or SEK (the Swedish Krona). |
Note 10 | Note 9 applies, except that paragraphs (3), (4) and (5) do not apply, meaning that material currencies must not be recorded separately. |
Note 11 | Any changes to reporting requirements caused by a firm receiving an intra-group liquidity modification (or a variation to one) do not take effect until the first day of the next reporting period applicable under the changed reporting requirements for the data item in question if the firm receives that intra-group liquidity modification or variation part of the way through such a period. If the change is that the firm does not have to report a particular data item or does not have to report it at a particular reporting level, the firm must nevertheless report that item or at that reporting level for any reporting period that has already begun. This paragraph is subject to anything that the intra-group liquidity modification says to the contrary. |
Note 12 | FSA047, FSA048, FSA050, FSA051, FSA052, FSA053 and FSA054 must be completed by an ILAS BIPRU firm. An ILAS BIPRU firm does not need to complete FSA055. A non-ILAS BIPRU firm must complete FSA055 and does not need to complete FSA047, FSA048, FSA050, FSA051, FSA052, FSA053 and FSA054. |
Note 13 | This data item must be reported only in the currencies named in FSA052, so that liabilities in GBP are reported in GBP in rows 1 to 4, those in USD are reported in USD in rows 5 to 8, and those in Euro are reported in Euro in rows 9 to 12. Liabilities in other currencies are not to be reported. |
Note 15 | This item applies only to firms that provide advice and related services to employers on group personal pension schemes and/or group stakeholder pension schemes. |
Note 16 | Only applicable to a firm whose ultimate parent is a mixed-activity holding company. |
Note 17 | Only applicable to a firm that is a sole trader or a partnership, when the report must be submitted by each partner. |
Note 18 | Only applicable to a firm that has both a core UK group and a non-core large exposures group. |
Note 19 | Only applicable to firms that have an IRB permission. |
Note 20 | Lines 62 to 64 only are applicable. These lines apply to a firm that applies add-ons to their market risk capital calculation under the RNIV framework. For further guidance on how to complete the form refer to SUP 16 Annex 25A. |
SUP 16.12.23
See Notes
Data item | Frequency | ||||
Unconsolidated UK designated investment firm | UK designated investment firm with an individual consolidation permission | Consolidation Group or defined liquidity group | Annual regulated business revenue up to and including £5 million | Annual regulated business revenue over £5 million | |
Annual reports and accounts | Annually | Annually | Annually | ||
Annual accounts of the mixed-activity holding company | Annually | Annually | Annually | ||
Solvency statement | Annually | ||||
FSA001 | Quarterly or half yearly (note 1) | Quarterly or half yearly (note 1) | Half yearly | ||
FSA002 | Quarterly or half yearly (note 1) | Quarterly or half yearly (note 1) | Half yearly | ||
[deleted] | |||||
[deleted] | |||||
FSA005 | Quarterly or half yearly (note 1) | Quarterly or half yearly (note 1) | Half yearly | ||
FSA006 | Quarterly | Quarterly | Quarterly | ||
[deleted] | |||||
[deleted] | |||||
FSA016 | Half yearly | ||||
FSA018 | Quarterly | Quarterly | Quarterly | ||
FSA019 | Annually | Annually | Annually | ||
[deleted] | |||||
FSA032 | Quarterly | Quarterly | |||
FSA045 | Quarterly or half yearly (note 1) | Quarterly or half yearly (note 1) | Half yearly | ||
[deleted] | |||||
FSA047 | Daily, weekly, monthly or quarterly (Notes 4, 5 and 7) | Daily, weekly, monthly or quarterly (Notes 4, 5, 7 and 10) | Daily, weekly, monthly or quarterly (Notes 4, 6 and 7) | ||
FSA048 | Daily, weekly, monthly or quarterly (Notes 4, 5 and 7) | Daily, weekly, monthly or quarterly (Notes 4, 5, 7 and 10) | Daily, weekly, monthly or quarterly (Notes 4, 6 and 7) | ||
FSA050 | Monthly (Note 4) | Monthly (Notes 4 and 10) | Monthly (Note 4) | ||
FSA051 | Monthly (Note 4) | Monthly (Notes 4 and 10) | Monthly (Note 4) | ||
FSA052 | Weekly or monthly (Notes 4 and 8) | Weekly or monthly (Notes 4, 8 and 10) | Weekly or monthly (Notes 4 and 9) | ||
FSA053 | Quarterly (Note 4) | Quarterly (Notes 4 and 10) | Quarterly (Note 4) | ||
FSA054 | Quarterly (Note 4) | Quarterly (Notes 4 and 10) | Quarterly (Note 4) | ||
FSA055 | Annually (Note 4) | Annually (Notes 4 and 10) | Annually (Note 4) | ||
[deleted] | |||||
FIN067 | Quarterly | ||||
Section A RMAR | Half yearly | Quarterly | |||
Section B RMAR | Half yearly | Quarterly | |||
Section C RMAR | Half yearly | Quarterly | |||
Section D6 RMAR | Half yearly | Quarterly | |||
Section E RMAR | Half yearly | Half yearly | Half yearly | Half yearly | Quarterly |
Section F RMAR | Half yearly | Half yearly | Half yearly | Half yearly | Half yearly |
Section G RMAR | Half yearly | Half yearly | Half yearly | Half yearly | Half yearly |
Section H RMAR | Half yearly | Half yearly | Half yearly | Half yearly | Half yearly |
Section J RMAR | Annually | Annually | Annually | Annually | Annually |
Section K RMAR | Half yearly | Half yearly | Half yearly | Half yearly | Half yearly |
Section L RMAR | Half yearly | Half yearly | Half yearly | Half yearly | Half yearly |
Note 1: | UK designated investment firms - quarterly. | ||||
Note 2 | [deleted] | ||||
Note 3 | [deleted] | ||||
Note 4 | Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not from a firm's accounting reference date. In particular: (1) A week means the period beginning on Saturday and ending on Friday. (2) A month begins on the first day of the calendar month and ends on the last day of that month. (3) Quarters end on 31 March, 30 June, 30 September and 31 December. (4) Daily means each business day. All periods are calculated by reference to London time. Any changes to reporting requirements caused by a firm receiving an intra-group liquidity modification (or a variation to one) do not take effect until the first day of the next reporting period applicable under the changed reporting requirements if the firm receives that intra-group liquidity modification or variation part of the way through such a period, unless the intra-group liquidity modification says otherwise. |
||||
Note 5 | If the report is on a solo basis the reporting frequency is as follows: (1) if the firm does not have an intra-group liquidity modification the frequency is: (a) weekly if the firm is a standard frequency liquidity reporting firm; and (b) monthly if the firm is a low frequency liquidity reporting firm; (2) if the firm is a group liquidity reporting firm in a non-UK DLG by modification (firm level) the frequency is: (a) weekly if the firm is a standard frequency liquidity reporting firm; and (b) monthly if the firm is a low frequency liquidity reporting firm; (3) the frequency is quarterly if the firm is a group liquidity reporting firm in a UK DLG by modification. |
||||
Note 6 | (1) If the report is by reference to the firm's DLG by default the reporting frequency is: (a) weekly if the group liquidity standard frequency reporting conditions are met; (b) monthly if the group liquidity low frequency reporting conditions are met. (2) If the report is by reference to the firm's UK DLG by modification the reporting frequency is: (a) weekly if the group liquidity standard frequency reporting conditions are met; (b) monthly if the group liquidity low frequency reporting conditions are met. (3) If the report is by reference to the firm's non-UK DLG by modification the reporting frequency is quarterly. |
||||
Note 7 | (1) If the reporting frequency is otherwise weekly, the item is to be reported on every business day if (and for as long as) there is a firm-specific liquidity stress or market liquidity stress in relation to the firm or group in question. (2) If the reporting frequency is otherwise monthly, the item is to be reported weekly if (and for as long as) there is a firm-specific liquidity stress or market liquidity stress in relation to the firm or group in question. (3) A firm must ensure that it would be able at all times to meet the requirements for daily or weekly reporting under paragraph (1) or (2) even if there is no firm-specific liquidity stress or market liquidity stress and none is expected. |
||||
Note 8 | If the report is on a solo basis the reporting frequency is as follows: (1) weekly if the firm is a standard frequency liquidity reporting firm; and (2) monthly if the firm is a low frequency liquidity reporting firm. |
||||
Note 9 | If the report is by reference to the firm'sUK DLG by modification the reporting frequency is: (1) weekly if the group liquidity standard frequency reporting conditions are met; (2) monthly if the group liquidity low frequency reporting conditions are met. |
||||
Note 10 | As specified in SUP 16.12.22A R, solo consolidation has no application to liquidity reporting. Therefore it does not make any difference to the reporting of this item whether or not the firm is solo consolidated. |
SUP 16.12.24
See Notes
Data Item | Daily | Weekly | Monthly | Quarterly | Half yearly | Annual |
Solvency statement | 3 months | |||||
FSA001 | 20 business days | 30 business days (note 1); 45 business days (note 2) | ||||
FSA002 | 20 business days | 30 business days (note 1); 45 business days (note 2) | ||||
[deleted] | ||||||
[deleted] | ||||||
FSA005 | 20 business days | 30 business days (note 1); 45 business days (note 2) | ||||
FSA006 | 20 business days | |||||
[deleted] | ||||||
[deleted] | ||||||
FSA016 | 30 business days | |||||
FSA018 | 45 business days | |||||
FSA019 | 2 months | |||||
[deleted] | ||||||
FSA032 | 20 business days | |||||
FSA045 | 20 business days | 30 business days (note 1), 45 business days (note 2) | ||||
[deleted] | ||||||
FSA047 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | 15 business days or one Month (Note 3) | ||
FSA048 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | 15 business days or one Month (Note 3) | ||
FSA050 | 15 business days | |||||
FSA051 | 15 business days | |||||
FSA052 | 22.00 hours (London time) on the second business day immediately following the last day of the reporting period for the item in question | 15 business days | ||||
FSA053 | 15 business days | |||||
FSA054 | 15 business days | |||||
FSA055 | 15 business days | |||||
[deleted] | ||||||
FIN067 | 20 business days | |||||
Section A RMAR | 30 business days | 30 business days | ||||
Section B RMAR | 30 business days | 30 business days | ||||
Section C RMAR | 30 business days | 30 business days | ||||
Section D6 RMAR | 30 business days | 30 business days | ||||
Section E RMAR | 30 business days | 30 business days | ||||
Section F RMAR | 30 business days | |||||
Section G RMAR | 30 business days | |||||
Section H RMAR | 30 business days | |||||
Section J RMAR | 30 business days | |||||
Section K RMAR | 30 business days | |||||
Section L RMAR | 30 business days | |||||
Note 1 | For unconsolidated and solo consolidated reports | |||||
Note 2 | For UK consolidation group reports | |||||
Note 3 | It is one Month if the report relates to a non-UK DLG by modification. |
Regulated Activity Group 8
SUP 16.12.25C
See Notes
Description of data item | Applicable data item (Note 1) |
Annual report and accounts | No standard format |
Annual report and accounts of the mixed-activity holding company (Note 5) | No standard format |
Solvency statement (Note 6) | No standard format |
Balance sheet | FSA001 (note 2) |
Income statement | FSA002 (note 2) |
Market risk | FSA005 (notes 2, 18) |
Market risk - supplementary | FSA006 (Note 3) |
Exposures between core UK group and non-core large exposures group | FSA018 (note 7) |
Solo consolidation data | FSA016 (note 8) |
Pillar 2 questionnaire | FSA019 (note 4) |
IRB portfolio risk | FSA045 (note 17) |
Daily flows | FSA047 (Notes 9, 12, 14 and 15) |
Enhanced Mismatch Report | FSA048 (Notes 9, 12, 14 and 15) |
Liquidity Buffer Qualifying Securities | FSA050 (Notes 10, 13, 14 and 15) |
Funding Concentration | FSA051 (Notes 10, 13, 14 and 15) |
Pricing data | FSA052 (Notes 10, 14, 15 and 16) |
Retail and corporate funding | FSA053 (Notes 10, 13, 14 and 15) |
Currency Analysis | FSA054 (Notes 10, 13, 14 and 15) |
Systems and Controls Questionnaire | FSA055 (Notes 11 and 15) |
Note1 | When submitting the completed data item required, a firm must use the format of the data item set out in SUP 16 Annex 24. Guidance notes for completion of the data items are contained in SUP 16 Annex 25A. |
Note 2 | Firms that are members of a consolidation group are also required to submit this report on a consolidation group basis. |
Note 3 | Only applicable to firms with a VaR model permission. |
Note 4 | Only applicable to UK designated investment firms that: (a) are subject to consolidated supervision under the EU CRR, except those that are either included within the consolidated supervision of a group that includes a UK credit institution; or (c) are not subject to consolidated supervision under the EU CRR. A UK designated investment firm under (a) must complete the report on the basis of its consolidation group. A UK designated investment firm under (b) must complete the report on the basis of its solo position. |
Note 5 | Only applicable to a firm whose ultimate parent is a mixed-activity holding company. |
Note 6 | Only applicable to a firm that is a sole trader or a partnership, when the report must be submitted by each partner. |
Note 7 | Only applicable to a firm that has both a core UK group and a non-core large exposures group |
Note 8 | Only applicable to a firm that has an individual consolidation permission. |
Note 9 | A firm must complete this item separately on each of the following bases (if applicable). (1) It must complete it on a solo basis. Therefore even if it has an individual consolidation permission it must complete the item on an unconsolidated basis by reference to the firm alone. (2) If it a group liquidity reporting firm in a DLG by default and is a UK lead regulated firm, it must complete the item on the basis of that group. (3) If it is a group liquidity reporting firm in a UK DLG by modification, it must complete the item on the basis of that group and (1) does not apply. (4) If it is a group liquidity reporting firm in a non-UK DLG by modification, it must complete the item on the basis of that group. |
Note 10 | A firm must complete this item separately on each of the following bases that are applicable. (1) It must complete it on a solo basis unless it is a group liquidity reporting firm in a UK DLG by modification. Therefore even if it has an individual consolidation permission it must complete the item on an unconsolidated basis by reference to the firm alone. (2) If it is a group liquidity reporting firm in a UK DLG by modification, it must complete the item on the basis of that group. |
Note 11 | If it is a non-ILAS BIPRU firm, it must complete it on a solo basis. Therefore even if it has an individual consolidation permission it must complete the item on an unconsolidated basis by reference to the firm alone. |
Note 12 | (1) This item must be reported in the reporting currency. (2) If any data element is in a currency or currencies other than the reporting currency, all currencies (including the reporting currency) must be combined into a figure in the reporting currency. (3) In addition, all material currencies (which may include the reporting currency) must each be recorded separately (translated into the reporting currency). However if: (a) the reporting frequency is (whether under a rule or under a waiver) quarterly or less than quarterly; or (b) the only material currency is the reporting currency; (3) does not apply. (4) If there are more than three material currencies for this data item, (3) only applies to the three largest in amount. A firm must identify the largest in amount in accordance with the following procedure. (a) For each currency, take the largest of the asset or liability figure as referred to in the definition of material currency. (b) Take the three largest figures from the resulting list of amounts. (5) The date as at which the calculations for the purposes of the definition of material currency are carried out is the last day of the reporting period in question. (6) The reporting currency for this data item is whichever of the following currencies the firm chooses, namely USD (the United States Dollar), EUR (the euro), GBP (sterling), JPY (the Japanese Yen), CHF (the Swiss Franc), CAD (the Canadian Dollar) or SEK (the Swedish Krona). |
Note 13 | Note 24 applies, except that paragraphs (3), (4) and (5) do not apply, meaning that material currencies must not be recorded separately. |
Note 14 | Any changes to reporting requirements caused by a firm receiving an intra-group liquidity modification (or a variation to one) do not take effect until the first day of the next reporting period applicable under the changed reporting requirements for the data item in question if the firm receives that intra-group liquidity modification or variation part of the way through such a period. If the change is that the firm does not have to report a particular data item or does not have to report it at a particular reporting level, the firm must nevertheless report that item or at that reporting level for any reporting period that has already begun. This paragraph is subject to anything that the intra-group liquidity modification says to the contrary. |
Note 15 | FSA047, FSA048, FSA050, FSA051, FSA052, FSA053 and FSA054 must be completed by an ILAS BIPRU firm. An ILAS BIPRU firm does not need to complete FSA055. A non-ILAS BIPRU firm must complete FSA055 and does not need to complete FSA047, FSA048, FSA050, FSA051, FSA052, FSA053 and FSA054. |
Note 16 | This data item must be reported only in the currencies named in FSA052, so that liabilities in GBP are reported in GBP in rows 1 to 4, those in USD are reported in USD in rows 5 to 8, and those in Euro are reported in Euro in rows 9 to 12. Liabilities in other currencies are not to be reported. |
Note 17 | Only applicable to firms that have an IRB permission. |
Note 18 | Lines 63 and 64 only are applicable. These lines apply to a firm that applies add-ons to their market risk capital calculation under the RNIV framework. |
SUP 16.12.26A
See Notes
Data item | UK designated investment firm | consolidation group or defined liquidity group |
Annual reports and accounts | Annually | Annually |
Annual report and accounts of the mixed-activity holding company | Annually | Annually |
Solvency statement | Annually | |
FSA001 | Quarterly | Half yearly |
FSA002 | Quarterly | Half yearly |
FSA005 | Quarterly | Quarterly |
FSA006 | Quarterly | |
FSA016 | Half yearly | |
FSA018 | Quarterly | |
FSA019 | Annually | Annually |
FSA045 | Quarterly | Half yearly |
FSA047 | Daily, weekly, monthly or quarterly (Notes 1, 2 and 4) | Daily, weekly, monthly or quarterly (Notes 1, 3 and 4) |
FSA048 | Daily, weekly, monthly or quarterly (Notes 1, 2 and 4) | Daily, weekly, monthly or quarterly (Notes 1, 3 and 4) |
FSA050 | Monthly (Note 1) | Monthly (Note 1) |
FSA051 | Monthly (Note 1) | Monthly (Note 1) |
FSA052 | Weekly or monthly (Notes 1 and 5) | Weekly or monthly (notes 1 and 6) |
FSA053 | Quarterly (Note 1) | Quarterly (Note 1) |
FSA054 | Quarterly (Note 1) | Quarterly (Note 1) |
FSA055 | Annually (Note 1) | Annually (Note 1) |
Note 1 | Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not from a firm's accounting reference date. In particular: (1) A week means the period beginning on Saturday and ending on Friday. (2) A month begins on the first day of the calendar month and ends on the last day of that month. (3) Quarters end on 31 March, 30 June, 30 September and 31 December. (4) Daily means each business day. All periods are calculated by reference to London time. Any changes to reporting requirements caused by a firm receiving an intra-group liquidity modification (or a variation to one) do not take effect until the first day of the next reporting period applicable under the changed reporting requirements if the firm receives that intra-group liquidity modification or variation part of the way through such a period, unless the intra-group liquidity modification says otherwise. |
Note 2 | If the report is on a solo basis the reporting frequency is as follows: (1) if the firm does not have an intra-group liquidity modification the frequency is: (a) weekly if the firm is a standard frequency liquidity reporting firm; and (b) monthly if the firm is a low frequency liquidity reporting firm; (2) if the firm is a group liquidity reporting firm in a non-UK DLG by modification (firm level) the frequency is: (a) weekly if the firm is a standard frequency liquidity reporting firm; and (b) monthly if the firm is a low frequency liquidity reporting firm; (3) the frequency is quarterly if the firm is a group liquidity reporting firm in a UK DLG by modification. |
Note 3 | (1) If the report is by reference to the firm'sDLG by default the reporting frequency is: (a) weekly if the group liquidity standard frequency reporting conditions are met; (b) monthly if the group liquidity low frequency reporting conditions are met. (2) If the report is by reference to the firm'sDLG by modification the reporting frequency is: (a) weekly if the group liquidity standard frequency reporting conditions are met; (b) monthly if the firm is a low frequency liquidity reporting firm; (3) If the report is by reference to the firm's non-UK DLG by modification the reporting frequency is quarterly. |
Note 4 | (1) If the reporting frequency is otherwise weekly, the item is to be reported on every business day if (and for as long as) there is a firm-specific liquidity stress or market liquidity stress in relation to the firm or group in question. (2) If the reporting frequency is otherwise monthly, the item is to be reported weekly if (and for as long as) there is a firm-specific liquidity stress or market liquidity stress in relation to the firm or group in question. (3) A firm must ensure that it would be able at all times to meet the requirements for daily or weekly reporting under paragraph (1) or (2) even if there is no firm-specific liquidity stress or market liquidity stress and none is expected. |
Note 5 | If the report is on a solo basis the reporting frequency is as follows: (1) weekly if the firm is a standard frequency liquidity reporting firm; and (2) monthly if the firm is a low frequency liquidity reporting firm. |
Note 6 | If the report is by reference to the firm'sUK DLG by modification the reporting frequency is: (1) weekly if the group liquidity standard frequency reporting conditions are met; (2) monthly if the group liquidity low frequency reporting conditions are met. |
- 01/01/2014
SUP 16.12.27A
See Notes
Data item | Daily | Weekly | Monthly | Quarterly | Half yearly | Annual |
Annual report and accounts | 80 business days | |||||
Annual reconciliation | 80 business days | |||||
Annual report and accounts of the mixed-activity holding company | 7 months | |||||
Solvency statement | 3 months | |||||
FSA001 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA002 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA005 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA006 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA016 | 30 business days | |||||
FSA 018 | 45 business days | |||||
FSA 019 | 2 months | |||||
FSA045 | 20 business days | 30 business days (Note 1); 45 business days (Note 2) | ||||
FSA047 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | 15 business days or one month (Note 3) | ||
FSA048 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | 15 business days or one month (Note 3) | ||
FSA050 | 15 business days | |||||
FSA051 | 15 business days | |||||
FSA052 | 22.00 hours (London time) on the business day immediately following the last day of the reporting period for the item in question | 15 business days | ||||
FSA053 | 15 business days | |||||
FSA054 | 15 business days | |||||
FSA055 | 15 business days | |||||
Note 1: For unconsolidated and solo-consolidated reports | ||||||
Note 2: For consolidation group reports | ||||||
Note 3: It is one Month if the report relates to a non-UK DLG by modification. |
- 01/01/2014
Financial conglomerates
SUP 16.12.32
See Notes
SUP 16.12.33
See Notes
Content of Report | Form (Note 1) | Frequency | Due Date |
Calculation of supplementary capital adequacy requirements in accordance with one of the three technical calculation methods | Note 2 | Note 5 Yearly |
Note 5 |
Identification of significant risk concentration levels | Note 3 | Yearly | 4 months after year end |
Identification of significant intra-group transactions | Note 4 | Yearly | 4 months after year end |
Report on compliance with GENPRU 3.1.35 R where it applies | Note 6 | Note 5 | Note 5 |
Note 1 | When giving the report required, a firm must use the form indicated, if any. | ||
Note 2 | In respect of FCA-authorised persons, if Part 1 of GENPRU 3 Annex 1(method 1), or Part 2 of GENPRU 3 Annex 1 (method 2), or Part 3 of GENPRU 3 Annex 1 (method 3) applies, there is no specific form. Adequate information must be provided, specifying the calculation method used and each financial conglomerate for which the appropriate regulator is the co-ordinator must discuss with the appropriate regulator the form which this reporting will take and the extent to which verification by an auditor will be required. | ||
For the purposes of the above, where relevant to the agreed reporting arrangements, rules 9.40(1), 9.40(1A), 9.40(3) and 9.40(4) of IPRU(INS) apply as they would if the financial conglomerate were an insurance group. | |||
Note 3 | Rather than specifying a standard format for each financial conglomerate to use, each financial conglomerate for which the appropriate regulator is the co-ordinator must discuss with the appropriate regulator the form of the information to be reported. This should mean that usual information management systems of the financial conglomerate can be used to the extent possible to generate and analyse the information required. When reviewing the risk concentration levels, the appropriate regulator will in particular monitor the possible risk of contagion in the financial conglomerate, the risk of a conflict of interests, the risk of circumvention of sectoral rules, and the level or volume of risks. |
||
Note 4 | For the purposes of this reporting requirement, an intra-group transaction will be presumed to be significant if its amount exceeds 5% of the total amount of capital adequacy requirements at the level of the financial conglomerate. Rather than specifying a standard format for each financial conglomerate to use, each financial conglomerate for which the appropriate regulator is the co-ordinatormust discuss with the appropriate regulator the form of the information to be reported. This should mean that usual information management systems of the financial conglomerate can be used to the extent possible to generate and analyse the information required. When reviewing the intra-group transactions, the appropriate regulator will in particular monitor the possible risk of contagion in the financial conglomerate, the risk of a conflict of interest, the risk of circumvention of sectoral rules, and the level or volume of risks. |
||
Note 5 | The frequency and due date will be as follows: (1) banking and investment services conglomerate: frequency isyearly with due date 45 business days after period end; (2) insurance conglomerate: frequency is yearly with due date four months after period end for the capital adequacy return and three months after period end for the report on compliance with GENPRU 3.1.35 R where it applies. |
||
Note 6 | Adequate information must be added as a separate item to the relevant form for sectoral reporting. |
SUP 16.16
Prudent valuation reporting
- 30/06/2012
Application
SUP 16.16.1
See Notes
SUP 16.16.2
See Notes
Purpose
SUP 16.16.3
See Notes
[Note: articles 24 and 105 of the EU CRR]
Reporting requirement
SUP 16.16.4
See Notes
SUP 16.16.5
See Notes
SUP 16 Annex 13
Return cover sheet
- 01/12/2004
See Notes
Return Cover Sheet - Forms/sup/sup_chapter16_annex13r_20130401.pdf
SUP 16 Annex 14
Quarterly and annual returns for Credit Unions
- 01/12/2004
See Notes
Quarterly return (CQ) for credit unions, including the supplementary analysis of the CQ
Annual return (CY) for credit unions, including the supplementary analysis of the CY
SUP 16 Annex 15
Notes on completing the quarterly and annual returns for Credit Unions
- 01/12/2004
See Notes
This annex consists only of one or more forms.
SUP 16 Annex 16A
Standing data (See SUP 16.10.4 R)
- 01/04/2005
SUP 16 Annex 16A.1
See Notes
1. Name of the firm
2. Trading name(s) of the firm
3.
4. Registered office
5. Principal place of business
6. Website address
7. Complaints contact and complaints officer
8. The name and email address of the primary compliance contact
B: Information about a firm on the Financial Services Register
9.
10.
11.
C: Other information about a firm
12.
13.
14. Name and address of firm's auditor
15.
16. Accounting reference date
17. Locum
SUP 16 Annex 19A
Mortgage Lenders & Administrators Return ('MLAR')
See Notes
Mortgage Lenders and Administrators Return ('MLAR') - Forms/sup/sup_Chapter16_annex19ar_20150101.pdf
SUP 16 Annex 19B
Notes for completion of the Mortgage Lenders & Administrators Return ('MLAR')
See Notes
Notes for Completion of the Mortgage Lenders and Administrators Return ('MLAR') Forms/sup/sup_chapter16_annex19bg_20150101.pdf
SUP 16 Annex 24
Data items for SUP 16.12
See Notes
Data items for SUP 16.12 SUP Chapter 16 Annex 24 R
SUP 16 Annex 25A
Guidance notes for data items in SUP 16 Annex 24R
- 01/01/2014
See Notes
Guidance notes for data items in SUP 16 Annex 24R - Forms/sup/SUP16_Annex25A.pdf
- 01/01/2014
SUP 16 Annex 31A
Prudent Valuation Return
- 30/06/2012
See Notes
Prudent Valuation Return - SUP 16 Annex 31AR
SUP 16 Annex 31B
Guidance notes for data items in SUP 16 Annex 31AR
- 30/06/2012
See Notes
Guidance notes for data items in SUP 16 Annex 31AR - SUP 16 Annex 31BG
SUP 16 Annex 35A
Close Links Monthly Report
See Notes
SUP 16 Annex 35AR
SUP 16 Annex 35B
Guidance notes for completion of the close links monthly report in SUP 16 Annex 35AR
See Notes
SUP 16 Annex 35BG
SUP 16 Annex 36A
Close Links Annual Report
- 31/12/2013
See Notes
SUP 16 Annex 36AR
- 31/12/2013
SUP 16 Annex 36B
Guidance notes for completion of close links annual report in SUP 16 Annex 36AR
- 31/12/2013
See Notes
SUP 16 Annex 36BG
- 31/12/2013
SUP 16 Annex 37A
Controllers Report
- 31/12/2013
See Notes
SUP 16 Annex 37AR
- 31/12/2013
SUP 16 Annex 37B
Guidance notes for completion of controllers report in SUP 16 Annex 37AR
- 31/12/2013
See Notes
SUP 16 Annex 37BG
- 31/12/2013
Transitional Provisions and Schedules
SUP TP 1
Transitional provisions
Transitional provisions applying to the Supervision manual only
Definitions for these transitional provisions, additional to those in the Glossary, are provided at paragraph 16 of the table. |
(1) | (2) Material to which the transitional provision applies | (3) | (4) Transitional provision | (5) Transitional provision: dates in force | (6) Handbook provision: coming into force | |||
1 | SUP 3.3.2 R (1) | R | Auditors A firm will not contravene SUP 3.3.2 R (1), if the office of auditor is filled at commencement. The auditor filling the office at that time will be deemed to be appointed under SUP 3.3.2 R. |
From commencement | Commencement | |||
2 | SUP 3.9 and SUP 3.10 | R | Expired | |||||
3 | SUP 3.9.4 R | R | Expired | |||||
3A | SUP 3.10 | R | Expired | |||||
3B | SUP 3.10.6 R, SUP 3.10.7 R | G | Expired | |||||
3C | SUP 3.10 | R | Expired | |||||
4C | [deleted] | |||||||
4D | [deleted] | |||||||
4E | [deleted] | |||||||
6 | SUP 8.6.1 G | R | Expired | |||||
8 | SUP 10.13.6 R | R | Expired | |||||
8A | SUP 10.4.1 R | R | Deleted | |||||
8B | G | Deleted | ||||||
8C | G | Deleted | ||||||
8D | SUP 10.13.6 R (Ceasing to perform a controlled function) and SUP 10.13.3 D (Moving within a firm) | R | Deleted | |||||
8E | SUP 10.6.4 R (2) | R | Expired | |||||
8F | SUP 10.6.8 R (1)(b) | R | Expired | |||||
8G | SUP 10.9.1 R (2) | R | Expired | |||||
8H | SUP 10.1.7 R (1) | R | Expired | |||||
8I | SUP 10.1.7 R (2) | R | Expired | |||||
8J | SUP 10.1.7 R (5) | R | Expired | |||||
8K | SUP 10.1.13 R to SUP 10.1.14 R | R | Expired | |||||
8L | G | Expired | ||||||
9 | SUP 12.5.5 R SUP 12.5.7 R |
R | Expired | |||||
9A | SUP 15.8.4 G | R | Expired | |||||
9B | SUP 12.5 | R | Expired | |||||
10 | SUP 16.4.5 R SUP 16.5.5 G |
R | Expired | |||||
11 | SUP 16.6 SUP 16.7 SUP 16.8 |
R | Expired | |||||
12 | SUP 16.7.7 R; SUP 16.7.9 R, SUP 16.7.11 R, SUP 16.7.16 R, SUP 16.7.24 R, SUP 16.7.26 R, SUP 16.7.35 R, SUP 16.7.44 R, SUP 16.7.46 R, SUP 16.7.48 R, SUP 16.7.57 R |
R | Expired | |||||
12A | [deleted] | |||||||
12B | SUP 16.7.54 R; SUP 16.7.76 R SUP 16.7.79 R SUP 16.7.80 R |
R | Deleted | |||||
12C | R | Deleted | ||||||
12D | R | Deleted | ||||||
12E | R | Deleted | ||||||
12F | SUP 16.7.77 R | R | Expired | |||||
12G | SUP 16.7.7 R; SUP 16.7.9 R; SUP 16.7.11 R; SUP 16.7.16 R; SUP 16.7.20 R; SUP 16.7.24 R; SUP 16.7.26 R; SUP 16.7.28 R; SUP 16.7.35 R; SUP 16.7.57 R; SUP 16.7.62 R; SUP 16.7.65 R; SUP 16.7.73 R; | R | Expired | |||||
12H | R | Expired | ||||||
12I | SUP 16.7.54 R | R | Expired | |||||
12J | (1) SUP 16.7.24 R, SUP 16.7.25 R and 16.7.25A R, SUP 16.7.27 R and 16.7.27A R |
R | Expired | |||||
(2) SUP 16.7.35 R, SUP 16.7.36 R and SUP 16.7.36A R |
R | Expired | ||||||
(3) SUP 16.7.67 R, SUP 16.7.68 R and SUP 16.7.68A R |
R | Expired | ||||||
(4) SUP 16.7.76 R, SUP 16.7.77 R and SUP 16.7.77A R |
R | Expired | ||||||
(5) SUP 16.7.16 R and SUP 16.7.17 R |
R | Deleted | ||||||
12K | SUP 16.7.7 R, SUP 16.7.8 R, SUP 16.7.9 R, SUP 16.7.10 R, SUP 16.7.11 R, SUP 16.7.12 R, SUP 16.7.16 R, SUP 16.7.17 R, SUP 16.7.24 R, SUP 16.7.25 R, SUP 16.7.26 R, SUP 16.7.27 R, SUP 16.7.28 R, SUP 16.7.29 R, SUP 16.7.35 R, SUP 16.7.36 R, SUP 16.7.54 R, SUP 16.7.54A R, SUP 16.7.57 R, SUP 16.7.58 R, SUP 16.7.62 R, SUP 16.7.63 R, SUP 16.7.65 R, SUP 16.7.66 R. SUP 16.7.73 R, SUP 16.7.74 R, SUP 16.7.75 R, SUP 16.7.76 R and SUP 16.7.77 R, | R | Expired | |||||
12L | (1) SUP 16.7.7 R, SUP 16.7.8 R, SUP 16.7.8A R , SUP 16.7.16 R, SUP 16.7.17 R, SUP 16.7.17A R , SUP 16.7.24 R, SUP 16.7.25 R, SUP 16.7.25A R, SUP 16.7.26 R, SUP 16.7.27 R, SUP 16.7.27A R, SUP 16.7.30 R, SUP 16.7.35 R, SUP 16.7.36 R, SUP 16.7.36AR, SUP 16.7.67R, SUP 16.7.68R, SUP 16.7.68AR, SUP 16.7.76R, SUP 16.7.77R, SUP 16.7.77AR |
R | Expired | |||||
(2) SUP 16.7.9 R , SUP 16.7.10 R |
R | Expired | ||||||
(3) SUP 16.12.11 R , SUP 16.7.12 R |
R | Expired | ||||||
(4) SUP 16.7.62RSUP 16.12.5 R, SUP 16.7.63R |
R | Expired | ||||||
(5) [deleted] | ||||||||
(6) SUP 16.7.82R, SUP 16.7.83R |
R | Expired | ||||||
(7)[deleted] | ||||||||
12M | (1)[deleted] | |||||||
(2)[deleted] | ||||||||
(3)[deleted] | ||||||||
(4)[deleted] | ||||||||
(5)[deleted] | ||||||||
(6)[deleted] | ||||||||
(7)[deleted] | ||||||||
(8)[deleted] | ||||||||
(9)[deleted] | ||||||||
(10)[deleted] | ||||||||
(11)[deleted] | ||||||||
(12)[deleted] | ||||||||
(13)[deleted] | ||||||||
(14)[deleted] | ||||||||
(15)[deleted] | ||||||||
(16)[deleted] | ||||||||
(17)[deleted] | ||||||||
(18)[deleted][deleted] | ||||||||
(19) | ||||||||
(20)[deleted] | ||||||||
(20A) SUP 16.12.22A R | R | Expired | ||||||
(21)[deleted] | ||||||||
12N | (1) SUP 16.7.36 R |
R | Expired | |||||
12O | (1) | [deleted] | ||||||
(2) SUP 16.7.24 R, SUP 16.7.25 R, SUP 16.7.27 R |
R | Expired | ||||||
(3) SUP 16.7.35 R, SUP 16.7.36 R |
R | Expired | ||||||
(4) SUP 16.7.67 R, SUP 16.7.68 R |
R | Expired | ||||||
(5) SUP 16.12.11R, SUP 16.12.12R |
R | Expired | ||||||
12P | (1) SUP 16.7.20R, SUP 16.7.21R, SUP 16.7.21AR, SUP 16.7.21BR, SUP 16.7.26R, SUP 16.7.27R, SUP 16.7.28R, SUP 16.7.29R, SUP 16.7.30R, SUP 16.7.35R, SUP 16.7.36R, SUP 16.7.54R, SUP 16.7.54AR, SUP 16.7.55R, SUP 16.7.56R, SUP 16.7.57R, SUP 16.7.58R, SUP 16.7.67R, SUP 16.7.68R, SUP 16.7.76R, SUP 16.7.77R |
R | Expired | |||||
12Q | (1) SUP 16.12.11R |
R | Expired | |||||
(2) SUP 16.12.14R |
R | Expired | ||||||
(3) SUP 16.12.19R |
R | Expired | ||||||
(4) SUP 16.12.25R |
R | Expired | ||||||
(5) SUP 16.12.11R, SUP 16.12.14R, SUP 16.12.19R, SUP 16.12.25R |
R | Expired | ||||||
12R | (1) | [deleted] | ||||||
(2) SUP 16.12.11R |
R | Expired | ||||||
12S | (1) SUP 16.12.15, SUP 16.12.16, SUP 16.12.17 |
R | Expired | |||||
12T | SUP 16.12.5 R to SUP 16.12.7 R; SUP 16.12.10 R to SUP 16.12.17 R; SUP 16.12.22 R to SUP 16.12.27 R |
R | Deleted | |||||
12U | SUP 16.12.5 R to SUP 16.12.7 R; SUP 16.12.10 R to SUP 16.12.17 R; SUP 16.12.22 R to SUP 16.12.27 R | G | Deleted | |||||
12V | SUP 16.12.5 R to SUP 16.12.7 R; SUP 16.12.10 R to SUP 16.12.17 R; SUP 16.12.22 R to SUP 16.12.27 R | G | Deleted | |||||
12W | [deleted] | [deleted] | [deleted] | [deleted] | [deleted] | |||
12X | SUP 16.12.5 R to SUP 16.12.7 R | R | (1) | This rule deals with the effect of the abolition of data item FSA044 by the Liquidity Standards (Miscellaneous Amendments) Instrument 2010 and of changes to the definition of DLG by default made by that instrument. | See column 4 | See column 4 | ||
(2) | The abolition of that data item does not have effect in relation to a firm's reporting period for that data item that has begun but not ended as at 1 January 2011. | |||||||
(3) | The changes to the definition of DLG by default do not have effect in relation to the reporting period of a firm that has begun but not ended as at 1 November 2010. | |||||||
13 | SUP 16.8 | R | Expired | |||||
13A | (1) SUP 3.1.2 R |
R | Expired | |||||
13B | [deleted] | |||||||
14 | SUP 16.8 | R | Expired | |||||
14A | SUP 16.11.7 R | R | Expired | |||||
14B | R | Deleted | ||||||
14D | 16.11.3 | R | Expired | |||||
15 | [deleted] | |||||||
15A | Rules in SUP 20 | R | Expired | |||||
15B | Transitional ruleSUP 15A | G | Expired | |||||
15C | The Supervision manual (SUP) | Expired | ||||||
15D | SUP 16 | R | Expired | |||||
16 | Paragraphs 1 to 15 | R | Definitions | From commencement | Commencement | |||
In these transitional provisions: | ||||||||
(1) | "pre-commencement provision" means a provision repealed or revoked by or under the Act or a rule or guidance of the firm's previous regulator, including (where the context permits) any relevant provision which it replaced before commencement; and | |||||||
(2) | "substantially similar" means substantially similar in purpose and effect. | |||||||
17 | SUP 20.4.4 R (4) | R | Expired | |||||
SUP | G | GEN contains some technical transitional provisions that apply throughout the Handbook and which are designed to ensure a smooth transition at commencement . These include transitional provisions relevant to record keeping and notification rules. | From commencement of the relevant provision in SUP | Various dates | ||||
Note 1 Deleted | ||||||||
Note 2 Deleted |
||||||||
Note 3 Deleted |
[deleted]
[deleted]
[expired]
[deleted]
- 01/01/2016
- Past version of SUP TP 1 before 01/01/2016
SUP TP 3
Transitional provisions relating to SUP 10A and SUP 10B: Transition from the FSA to the FCA and PRA
FSA controlled function | FCA controlled function into which approved person transitioned | Firms to which transitional relates |
Director function (CF1) | Director function (CF1) | FCA-authorised persons only |
Non-executive director function (CF2) | Non-executive director function (CF2) | FCA-authorised persons only |
Chief executive function (CF3) | Chief executive function (CF3) | FCA-authorised persons only |
Partner function (CF4) | Partner function (CF4) | FCA-authorised persons only |
Director of unincorporated association function (CF5) | Director of unincorporated association function (CF5) | FCA-authorised persons only |
Small friendly society function (CF6) | Small friendly society function (CF6) | FCA-authorised persons only |
Apportionment and oversight function (CF8) | Apportionment and oversight function (CF8) | All firms |
Compliance oversight function (CF10) | Compliance oversight function (CF10) | All firms |
CASS operational oversight function (CF10A) | CASS operational oversight function (CF10A) | All firms |
Money laundering reporting function (CF11) | Money laundering reporting function (CF11) | All firms |
Systems and controls function (CF28) | Systems and controls function (CF28) | FCA-authorised persons only |
Significant management function (CF29) | Significant management function (CF29) | All firms |
Customer function (CF30) | Customer function (CF30) | All firms |
TP 3.2 | Transition to the PRA | |
3.2.1 | R | An approved person who was, as at cutover, approved by the FSA to perform, in relation to a PRA-authorised person, a controlled function specified by the FSA set out in column 1 of the table in SUP TP 3.2.2R is deemed to be approved by the PRA to perform the PRA-controlled function in the same row of column 2 in that table in relation to that firm. |
3.2.2 | R | Table: FSA controlled functions transitioned to the PRA |
FSA controlled function | PRA controlled function |
Director function (CF1) | Director function (CF1) |
Non-executive director function (CF2) | Non-executive director function (CF2) |
Chief executive function (CF3) | Chief executive function (CF3) |
Partner function (CF4) | Partner function (CF4) |
Director of unincorporated association function (CF5) | Director of unincorporated association function (CF5) |
Small friendly society function (CF6) | Small friendly society function (CF6) |
Actuarial function (CF12) | Actuarial function (CF12) |
With-profits actuary function (CF12A) | With-profits actuary function (CF12A) |
Lloyd's actuary function (CF12B) | Lloyd's actuary function (CF12B) |
Systems and controls function (CF28) | Systems and controls function (CF28) |
TP 3.3 | Amalgamation of functions | ||
3.3.2 | G | In the case of a PRA-authorised person, if SUP 10.6.2 R (each of the FSA's governing functions includes the FSA's systems and controls function and significant management function) applied immediately before cutover, SUP 10B.7.1R (the equivalent PRArule) applies following cutover in relation to the systems and controls function. | |
3.3.3 | G | In the case of a PRA-authorised person, if a person was approved by the FSA to perform one of the FSA's governing functions and the FSA's apportionment and oversight function in relation to a firm, the effect of SUP TP 3 is that he will deemed to be approved by the FCA for the apportionment and oversight function and by the PRA for the appropriate governing function in relation to that firm. SUP 10A.11.11 R (disapplication of the apportionment and oversight function if approved for a PRA governing function) and SUP 10B.7.3 R (functions making up the apportionment and oversight function if approved for a PRA governing function) do not apply. |
TP 3.4 | Changes to approved persons details | |
3.4.2 | G | Firms are reminded that an effect of the transitional provisions in SUP TP 2.2 is that SUP 10B.14.16R to SUP 10B.14.22R (notifications relating to changes to the details relating to approved persons and candidates and new information relating to them) apply to changes and new information as compared to the position before cutover. |
TP 3.6 | General | |
3.6.1 | G | References in SUP TP 3 to a person being approved for the purposes of section 59 of the Act (approval for particular arrangements) or being an approved person includes someone being taken to be approved for the purposes of that section by virtue of an order made under the Act relating to transitional matters, such as one relating to the bringing into force of the Act. |
- 01/04/2013
SUP Sch 1
Record keeping requirements
- 31/12/2004
SUP Sch 1.1
See Notes
The aim of the guidance in the following table is to give the reader a quick overall view of the relevant record keeping requirements. |
It is not a complete statement of those requirements and should not be relied on as if it were. |
SUP Sch 1.2
Handbook reference | Subject of record | Contents of record | When record must be made | Retention period |
SUP 4.3.17 R (3) | Data for actuary (or actuaries appointed under SUP 4 (Actuaries) | Such data as the actuary (or actuaries) appointed under SUP 4 (Actuaries) reasonably require | Not specified | Not specified |
SUP 12.9.1 R, SUP 12.9.2 R | Appointed representatives | (1) Appointed representative's name | On appointment, amendment of contract or termination of contract | 3 years from termination or amendment of the contract, other than in respect of tied agents when period is five years. |
SUP 12.9.5 R | EEA tied agents | If a UK MiFID investment firm appoints an EEA tied agent the record keeping requirements in SUP 12.9 applies to that firm as though the EEA tied agent were an appointed representative. | ||
(2) Copy of the original contract with the appointed representative and any subsequent amendments to it (including details of any restrictions placed on the activities which the appointed representative may carry on) | ||||
(3) Date and reason for terminating or amending the contract | ||||
(4) arrangements agreed with other principals under SUP 12.4.5B R | ||||
SUP 16.8.23 R | Persistency reports and data reports | Records to enable the firm to monitor regularly the persistency of life policies and stakeholder pensions effected through each of its representatives and make the required reports to the FCA . | Not specified | Not specified |
SUP Sch 5A
Rights of actions for damages
- 01/04/2013
SUP Sch 5A.1
See Notes
- 01/04/2013
SUP Sch 5A.2
See Notes
- 01/04/2013
SUP Sch 6
Rules that can be waived
- 01/12/2004
SUP Sch 6.1B
See Notes
- 01/04/2013