SUP 16.30 Baseline Financial Resilience Report

1This section applies to any firm except:

1. (1)

   a firm with limited permission2;

2. (2)

   a MIFIDPRU investment firm;

3. (3)

   a not-for-profit debt advice body;

4. (4)

   a PRA-authorised person;

5. (5)

   a supervised run-off firm; and

6. (6)

   a TP firm.

1This section also applies to:

1. (1)

   an authorised electronic money institution;

2. (2)

   an authorised payment institution;

3. (3)

   a registered account information service provider;

4. (4)

   a small electronic money institution;

5. (5)

   a small payment institution; and

6. (6)

   a UK RIE.

1In this section, a reference to a firm includes the firms listed in SUP 16.30.2.

1A firm to which this section applies must submit FIN 073 (‘the Baseline Financial Resilience Report’):

1. (1)

   in the format set out in SUP 16 Annex 53R;

2. (2)

   in accordance with the instructions in SUP 16 Annex 54G; and

3. (3)

   online, through the appropriate systems accessible from the FCA’s website.

1The information in the Baseline Financial Resilience Report must be denominated in pound sterling.

1A firm must submit the Baseline Financial Resilience Report:

1. (1)

   once every quarter; and

2. (2)

   within 20 business days after the relevant reporting reference date.

1A firm’s reporting reference dates are:

1. (1)

   Its accounting reference date;

2. (2)

   Its accounting reference date plus 3 months;

3. (3)

   Its accounting reference date plus 6 months; and

4. (4)

   Its accounting reference date plus 9 months.

1 The information in the Baseline Financial Resilience Report must show the position at the relevant reporting reference date.