17
Compliance Reports
17.1
This Chapter applies only to banks.
- 01/01/2016
17.2
A firm other than a ring-fenced body must submit to the PRA the duly completed data items described in and in accordance with the following table, which sets out:
- (1) the applicable data items;
- (2) the applicable reporting frequencies for submission of data items; and
- (3) the applicable due dates for submission. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period.
| Description of data item | Data item | Frequency | Due date |
|---|---|---|---|
| List of all overseas regulators for each legal entity in the firm’s group | No standard format | Annually | 6 months after the firm’s accounting reference date |
| Organogram showing each authorised person in the firm’s group | No standard format | Annually | 6 months after the firm’s accounting reference date |
- 01/01/2019
17.3
A ring-fenced body must submit to the PRA the following data items:
- (1) a list of all overseas regulators for each legal entity in the ring-fenced body’s group; and
- (2) a single organogram which sets out:
- (a) each authorised person in the ring-fenced body’s group;
- (b) each subsidiary of any ring-fenced body within the group that is not an authorised person; and
- (c) each person that is not an authorised person in the ring-fenced body’s sub-consolidation group.
- 01/01/2019
17.4
The data items referred to in 17.3 must be submitted by a ring-fenced body annually within 6 months after its accounting reference date.
- 01/01/2019
17.5
A single ring-fenced body may submit the data items referred to in 17.3 if its group contains more than one ring-fenced body.
- 01/01/2019