Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  1. Point in time
    2005-04-21

SUP 20.3 Information on which Fees are calculated

SUP 20.3.1R

A firm (other than the Society) must notify to the FSA the value (as at the valuation date specified in Part 3 of SUP 20 Annex 1) of each element of business on which the periodic fee payable by the firm is to be calculated. 1

SUP 20.3.2R

A firm (other than the Society) must send to the FSA in writing the information required under SUP 20.3.1 R as soon as reasonably practicable, and in any event within two months, after the date specified as the valuation date in Part 3 of SUP 20 Annex 1.1

SUP 20.3.3R

To the extent that a firm has provided the information required by this section to the FSA as part of its compliance with another provision of the Handbook, it is deemed to have complied with the provisions of this section.

SUP 20.3.4G

In most cases a firm will provide the information required by this section as part of its compliance with other provisions of SUP. To the extent that the FSA does not obtain sufficient, or sufficiently detailed, information it may seek this by using its general information gathering powers (see SUP 2 (Information gathering by the FSA on its own initiative).

SUP 20.3.5G

These information requirements are modified for incoming EEA firms and for incoming Treaty firms (see SUP 20.4.8 R).