SUP TP 1 Transitional provisions

SUP TP 1.1 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.

SUP TP 1.2

16 16 16 16 16 16 16 16 32 16 16 10

(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	Expired16 16				16	16
3	SUP 3.9.4 R	R	16	Expired16 16			16	16
3A	SUP 3.10	R	16	Expired16 16			16	16
573AA	SUP 3.10.6R	R	(1) This transitional provision applies where an auditor would have been required to produce a report under SUP 3.10.4R for a CASS 7 loan-based crowdfunding firm as a result of CONC 12.1.4R were it not for the firm obtaining Part 4A permission. (2) The period covered by the first report under SUP 3.10.4R produced after 21 August 2017 must end not more than 53 weeks after either: (a) the period covered by the previous report on such matters; (b) the date the firm’s application for Part 4A permission to operate an electronic system in relation to lending is granted; or (c) the date the firm becomes subject to SUP 3.11 and its auditor becomes subject to SUP 3.10.				Indefinitely	21 August 2017
573AB	SUP 3.10.6R	R	(1) This transitional provision applies where an auditor is required to produce a report under SUP 3.10.4R for a CASS 7 loan-based crowdfunding firm that has not had an interim permission. (2) The period covered by the first report required under SUP 3.10.4R must end not more than 53 weeks after either: (a) the period covered by the previous report on such matters provided that period did not end more than 53 weeks before 21 August 2017; (b) the date the firm’s application for Part 4A permission to operate an electronic system in relation to lending is granted; or (c) the date the firm becomes subject to SUP 3.11 and its auditor becomes subject to SUP 3.10.				Indefinitely	21 August 2017
613AC	SUP 3.10.4R to SUP 3.10.6R	R	(1) This transitional provision applies in respect of an auditor which was subject to SUP 3.10 immediately before 1 April 2019 in relation to a firm which becomes subject to the claims management client money rules on 1 April 2019. (2) For the purposes of SUP 3.10.5R(1) in its application to the claims management client money rules, the first report which the auditor submits under SUP 3.10.4R which covers the claims management client money rules must state whether, in the auditor’s opinion, the firm was in compliance with those rules from 1 April 2019 to the end of the period covered by the report.				From 1 April 2019	1 April 2019
3B	SUP 3.10.6 R, SUP 3.10.7 R	G	Expired16 16				16	16
3C	SUP 3.10	R	16	Expired16 16			16	16
4	SUP 4.3.1 R (1) and SUP 4.4.1 R (1)	R	Actuaries A firm will not contravene SUP 4.3.1 R (1) or SUP 4.4.1 R (1) to the extent that the office of actuarial function holder, with-profits actuary or appropriate actuary is filled by an actuary appointed on or before 31 December 2004, provided that that actuary was appointed in accordance with the statutory requirements, or the requirements of the regulatory system, in force at that time.14 14				From commencement	Commencement
4A13	SUP 413	R13	Anything done before 31 December 2004 for the purposes of an amended provision in SUP 4 has effect as if done under that provision.13				From 31 December 200413	31 December 200413
4B13	[deleted]14							14
144BA	SUP 4.3.16AR (3) and SUP 4.3.16AR (4)	R	The rules apply in respect of each financial year commencing on or after 1 January 2005.				From 31 December 2004	31 December 2004
4C13	[deleted]14	14	14				14	14
4D13	[deleted]14	14	14				14	14
4E13	[deleted]14	14	14				14	14
5	SUP 4.3.3 R	R	If a firm's actuary 14 has been appointed by a previous regulator under statutory or contractual powers and remains in office immediately before commencement, that appointment will be deemed to have been made under SUP 4.3.3 R, but on the terms of the actual appointment. 14				From commencement	Commencement
6	SUP 8.6.1 G	R	Expired16 16 16				16	16
6A[FCA]	SUP 9.4	G	Individual guidance				From 19 July 2001	21 June 2001
			(1)	If a person acts in accordance with individual written guidance:
				(a)	given to him by any previous regulator (or body whose functions were assumed by a previous regulator);
				(b)	relating to any pre-commencement provision; and
				(c)	in the circumstances contemplated by that guidance;
				then the FCA 71 will proceed on the footing that the person has complied with the aspects of any provision in or under the Act (including a rule or guidance in the Handbook) to which the guidance relates if: 71
				(d)	that provision is substantially similar to the pre-commencement provision in relation to the matter with which the guidance is concerned;
				(e)	the guidance was current immediately before commencement; and
				(f)	the guidance has not been superseded.
			(2)	SUP 9.4.2 G - SUP 9.4.4 G are relevant for individual guidance in (1) in the same way as for individual written guidance given by the FCA 71. 71
			(3)	References to “individual written guidance” in (1) and (2) include a written concession from a pre-commencement provision which is substantially similar to guidance in the Handbook.
8	SUP 10.13.6 R	R	Expired16 16 16				16	16
288A	SUP 10.4.1 R	R	Deleted51 51				51	51
288B		G	Deleted51 51
288C		G	Deleted51 51
288D	SUP 10.13.6 R (Ceasing to perform a controlled function) and SUP 10.13.3 D (Moving within a firm)	R	Deleted51 51				51	51
338E	SUP 10.6.4 R (2)	R	Expired51 51				51	51
338F	SUP 10.6.8 R (1)(b)	R	Expired51 51				51	51
338G	SUP 10.9.1 R (2)	R	Expired51 51				51	51
348H	SUP 10.1.7 R (1)	R	Expired51 51				51	51
348I	SUP 10.1.7 R (2)	R	Expired51 51				51	51
348J	SUP 10.1.7 R (5)	R	Expired51 51				51	51
408K	SUP 10.1.13 R to SUP 10.1.14 R	R	Expired51 51				51	51
408L		G	Expired51 51
458M[FCA]	SUP 10A.14.24 R71 71	R	This rule applies to complaints upheld on or after 31 December 2012.				From 31/12/2012	31/12/2012
9	SUP 12.5.5 R SUP 12.5.7 R	R	Expired16 16 16				16	16
9A	SUP 15.8.4 G	R	Expired51 51				51	51
569AA	SUP 13	R	(1)	Where a person wishes to obtain a passport for an investment service or financial instrument to which MiFID II will apply, but to which MiFID does not apply, all changes made to SUP 13 by [FCA Handbook Instrument] on 4 December 2017, and any related definitions set out in Part 2 of the Glossary (MiFID 2) Instrument 2017, instead take effect from 31 July 2017.			From 31 July 2017 until 3 December 2017	31 July 2017
			(2)	For the purposes of this transitional provision, SUP 13.5.3R(1) and SUP 13.8.1R(1) do not apply. A person submitting a notice to which SUP 13.5.3R(1) or SUP 13.8.1R(1) would otherwise apply must do so by email to MiFID.passport@fca.org.uk .
			(3)	This transitional provision also applies where a person to whom MiFID does not apply, but to whom MiFID II will apply, wishes to obtain a passport that takes effect from the application date of MiFID II.
569AB	SUP 13	G	(1)	SUP TP 1.2 9AAR is intended to allow a person to apply for a passport for an investment service or financial instrument introduced by MiFID II, prior 4 December 2018. It also allows other persons such as those who will cease to be exempt under MiFID II, to apply for a passport prior to 4 December 2018.			From 31 July 2017 until 3 December 2017	31 July 2017
			(2)	A person who wishes to obtain a passport for an investment service or financial instrument to which MiFID applies, as well as for an investment service or financial instrument to which MiFID does not apply but to which MiFID II will apply, should submit two separate notifications during the transitional period.
			(3)	This transitional provision ceases to be effective on 4 December 2017, at which point the amendments made to SUP 13 in this instrument take effect. From 4 December, all persons should submit passporting notifications in accordance with SUP 13, as amended by this instrument.
569AC	SUP 13	R	Where the person wishing to obtain a passport is not subject to MiFID, but will be subject to MiFID II, SUP 13.5.3R(1) and SUP 13.8.1R(1) do not apply. Such a person must submit the relevant notice by email to MiFID.passport@fca.org.uk .				From 4 December 2017 until 2 January 2018	31 July 2017
9B12	SUP 12.512	R12	Expired51 51				51	51
10	SUP 16.4.5 R SUP 16.5.5 G	R	Expired16 16				16	16
10A9	SUP 16.4 SUP 16.59	R9	Expired51 51				51	51
11	SUP 16.6 SUP 16.7 SUP 16.8	R	Expired16 16				16	16
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	Expired16 16				16	16
12A			[deleted]
12B9	SUP 16.7.54 R;9 SUP 16.7.76 R9 SUP 16.7.79 R9 SUP 16.7.80 R9 9 11 9 11 9 11 9 11 9 11 9 11 9 11 9 11 9 11 9 11 9 11 9 11 9 11	R9		Deleted51 51			51	51
12C9		R 9	Deleted51 51
12D9		R9	9	Deleted51 51
12E9		R9		Deleted51 51
12F9	SUP 16.7.77 R9	R9	Expired51 51				51	51
12G15	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	Expired51 51				51	51
12H15	R	Expired51 51
1712I	SUP 16.7.54 R	R	Expired51 51				51	51
1812J	(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	Expired51 51				51	51
	18(2) SUP 16.7.35 R, SUP 16.7.36 R and SUP 16.7.36A R	R	Expired51 51				51	51
	18(3) SUP 16.7.67 R, SUP 16.7.68 R and SUP 16.7.68A R	R	Expired51 51				51	51
	18(4) SUP 16.7.76 R, SUP 16.7.77 R and SUP 16.7.77A R	R	Expired51 51				51	51
	18(5) SUP 16.7.16 R and SUP 16.7.17 R	R	Deleted51 51				51	51
2012K	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		Expired51 51			51	51
2112L	(1) SUP 16.7.7 R, SUP 16.7.8 R, SUP 16.7.8A R24, SUP 16.7.16 R, SUP 16.7.17 R, SUP 16.7.17A R24, SUP 16.7.24 R, SUP 16.7.25 R, SUP 16.7.25A R, 24SUP 16.7.26 R24, SUP 16.7.27 R, SUP 16.7.27A R24, SUP 16.7.30 R24, SUP 16.7.35 R24, SUP 16.7.36 R, SUP 16.7.36AR24, SUP 16.7.67R24, SUP 16.7.68R, SUP 16.7.68AR24, SUP 16.7.76R24, SUP 16.7.77R, SUP 16.7.77AR24	R	Expired51				51	51
	21(2) SUP 16.7.9 R24, SUP 16.7.10 R24	R	Expired51 51				51	51
	21(3) SUP 16.12.11 R24, SUP 16.7.12 R24	R	Expired51 51				51	51
	21(4) SUP 16.7.62RSUP 16.12.5 R24, SUP 16.7.63R24	R	Expired51 51				51	51
	(5) [deleted]46 46
	21(6) SUP 16.7.82R24, SUP 16.7.83R24	R	Expired51 51				51	51
	(7)[deleted]46 46
2112M[FCA][PRA]	(1)[deleted]71 24 71	71	24 29 29 24 29 71				29 24 71	71
	21(2)[deleted]71	71	27 27 71				71	71
	21(3)[deleted]71	71	27 27 71				71	71
	21(4)[deleted]71	71	71				71	71
	21(5)[deleted]71 24	71	22 24 29 29 24 24 29 71				29 24 71	71
	21(6)[deleted]71 24	71	24 29 29 24 24 29 71				29 24 71	71
	21(7)[deleted]71 24	71	24 29 29 24 29 71				29 24 71	71
	21(8)[deleted]71 24	71	24 29 29 24 24 29 71				29 24 71	71
	22(9)[deleted]71	71	24 24 27 24 71				24 71	71
	22(10)[deleted]71	71	71				71	71
24	(11)[deleted]71	71	71				71	71
24	(12)[deleted]71	71	71				71	71
24	(13)[deleted]71	71	71				71	71
24	(14)[deleted]71	71	71				71	71
24	(15)[deleted]71	71	71				71	71
24	(16)[deleted]71	71	71				71	71
24	(17)[deleted]71	71	71				71	71
	(18)[deleted]46[deleted]71 46	71	71				71	71
24	(19)	71	71				71	71
24	(20)[deleted]71	71	71				71	45 71
	45(20A) SUP 16.12.22A R	R	Expired51 51				51	51
	29(21)[deleted]71	71	71				71	71
2212N	(1) SUP 16.7.36 R	R		Expired51 51			51	51
2212O	(1)	[deleted]24
	22(2) SUP 16.7.24 R, SUP 16.7.25 R, SUP 16.7.27 R	R	Expired51 51				51	51
	22(3) SUP 16.7.35 R, SUP 16.7.36 R	R	Expired51 51				51	51
	22(4) SUP 16.7.67 R, SUP 16.7.68 R	R	Expired51 51				51	51
	22(5) SUP 16.12.11R, SUP 16.12.12R24	R	Expired51 51				51	51
2212P	(1) SUP 16.7.20R24, SUP 16.7.21R, SUP 16.7.21AR, SUP 16.7.21BR24, SUP 16.7.26R24, SUP 16.7.27R24, SUP 16.7.28R24, SUP 16.7.29R24, SUP 16.7.30R24, SUP 16.7.35R24, SUP 16.7.36R24, SUP 16.7.54R24, SUP 16.7.54AR24, SUP 16.7.55R24, SUP 16.7.56R24, SUP 16.7.57R24, SUP 16.7.58R24, SUP 16.7.67R24, SUP 16.7.68R24, SUP 16.7.76R24, SUP 16.7.77R24	R	Expired51 51				51	51
2212Q	(1) SUP 16.12.11R24	R	Expired51 51				51	51
	22(2) SUP 16.12.14R24	R	Expired51 51				51	51
	22(3) SUP 16.12.19R24	R	Expired51 51				51	51
	22(4) SUP 16.12.25R24	R	Expired51 51				51	51
	22(5) SUP 16.12.11R24, SUP 16.12.14R30, SUP 16.12.19R24, SUP 16.12.25R24 24	R		Expired51 51			51	51
2212R	(1)	24	[deleted]24				24	24
	22(2) SUP 16.12.11R24	R	Expired51 51				51	51
2212S	(1) SUP 16.12.15, SUP 16.12.16, SUP 16.12.17	R	Expired51				51	51
3512T	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	51	Deleted51 51			51	51
3512U	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	Deleted51 51
3512V	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	Deleted51 51
3512W [PRA]	[deleted]69
3812X	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 2010.50
5012Y [FCA]	SUP 16.12.15 R 51	R	Expired51 51				51	51
5012Z [FCA]	SUP 16.12.15 R but only in so far as it relates to annual report and accounts, FSA029 (Balance sheet), FSA030 (Income statement) and FIN069 (Capital adequacy)	R	The rule listed in column (2) does not apply to an operator of an electronic system in relation to lending who holds an interim permission.				Indefinitely	1 April 2014
5912ZA	The changes to SUP in Annex B of the Client Assets (Term Deposits) Instrument 2018	G	As a result of CASS TP 1.1.10AAR the changes effected by the provisions in the Annex listed in column (2) would not apply to any firm in respect of which: (1) prior to 22 January 2018 the FCA has directed under s.138A of the Act that CASS 7.13.13R(3) be applied with modifications; and (2) such a direction is in effect on 22 January 2018.				From 22 January 2018 to the date on which the relevant direction referred to in column (4) ceases to have effect	22 January 2018
13	SUP 16.8	R	Expired51 51				51	51
2213A	(1) SUP 3.1.2 R	R	Expired51 51				51	51
3913B	[deleted]42 43
6213C	SUP 16.13.7D	D	Statistical data on fraud covering the period beginning on 13 January 2018 and ending on 31 December 2018 must be submitted using the format of the return that would have been required to be submitted had SUP 16 Annex 27ED remained in the form in which it stood on 31 December 2018 and had SUP 16 not been amended by the Payment Services (Amendment) Instrument 2018. SUP 16 Annex 27ED, as it stood on 31 December 2018, and guidance notes for completion of this return can be accessed by using the timeline on the FCA Handbook website.				1 to 31 January 2019	1 January 2019
6213D	SUP 16.13.8D	D	The return covering the period beginning on 13 January 2018 and ending on 31 December 2018 must be submitted by 31 January 2019.				1 to 31 January 2019	1 January 2019
6213E	SUP 16.13.7D	D	In respect of the reporting period 1 January 2019 to 30 June 2019, the statistical data on fraud must be provided on a best endeavours basis. Payment service providers must provide at least the transaction and fraud totals that would have required to be collected had SUP 16 Annex 27ED remained in the form in which it stood on 31 December 2018 and had SUP 16 not been amended by the Payment Services (Amendment) Instrument 2018. SUP 16 Annex 27ED, as it stood on 31 December 2018, can be accessed by using the timeline on the FCA Handbook website.				1 January 2019 to 29 February 2020	1 January 2019
6213F	SUP 16.13.7D	D	Small payment institutions may provide the statistical data on fraud in respect of 1 January 2019 to 30 June 2019 on a best endeavours basis. They must submit the data in respect of 1 July 2019 to 31 December 2019 in compliance with SUP 16.13.7D.				1 January 2019 to 29 February 2020	1 January 2019
14	SUP 16.8	R	Expired51 51				51	51
14A9	SUP 16.11.7 R9	R9	Expired51 51				51	51
14B		R	Deleted51 51
14C11	16.10.411	R11	Expired51 51				51	51
14D11	16.11.311	R11	Expired51 51				51	51
5314E	SUP 16.14.3R	R	Where, as a result of making the election under CASS 7.10.7AR(1), a firm exceeds the limit in the bottom row of the table in CASS 1A.2.7R (CASS small firm), SUP 16.14.3R (requirement to submit CMAR) does not apply to the firm.				From 21 March 2016 until 1 January 2017	21 March 2016
5314F	SUP 16.14.3R	G	CASS TP 14E means that a CASS small firm which becomes a CASS medium firm or a CASS large firm as a result of making the election under CASS 7.10.7AR(1) does not need to submit a CMAR until January 2017.				From 21 March 2016 until 1 January 2017	21 March 2016
15	25	25	[deleted]25 25				25	25
15A	Rules in SUP 20	R	Expired16 16				16	16
15B	Transitional ruleSUP 1615A	G	Expired16			16	16
3215C	The Supervision manual (SUP)		Expired51 51				51	51
3715D	SUP 16	R	Expired51 51				51	51
5515E	SUP 16.15.5AD	D	In respect of the reporting period for which the electronic money institution’s accounting reference date falls between 31 Dec 2016 and 30 Dec 2017 (inclusive) it must provide the data on a best endeavours basis.				From 31 December 2016 until 30 December 2017	31 December 2016
5515F	SUP 16.23.4R	R	In respect of the reporting period for which the firm’s accounting reference date falls between 31 Dec 2016 and 30 Dec 2017 (inclusive) it must provide the data on a best endeavours basis.				From 31 December 2016 until 30 December 2017	31 December 2016
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.
1710	SUP 20.4.4 R (4)10	R10	Expired51 51				51	51
	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
5418	SUP 16.12.3 R(2) and SUP 16.12.19AR	R	(1) This transitional provision applies to a firm that is required under SUP 16.12.19AR to submit data item FIN072 to the FCA. (2) Until the FCA has made electronic means available for the submission of data item FIN072 available, a firm in (1) must submit data item FIN072 by electronic email to: regulatory.reports@fca.org.uk.				From 18 March 2016 until 18 March 2017	18 March 2016
6119	SUP 16.25.7	R	(1) This transitional provision applies in respect of the first Annual Claims Management Report which a firm is required to submit under SUP 16.25.7R. (2) No report is required under SUP 16.25.7R in respect of a period ending on an accounting reference date of the firm earlier than 1 July 2019. (3) If no report is provided under SUP 16.25.7R in respect of a period ending on an accounting reference date of the firm earlier than 1 July 2019, the first report under SUP 16.25.7R must address the period from 1 April 2019 to the firm’s first accounting reference date which occurs on or after 1 July 2019.				From 1 April 2019 to 1 July 2020	1 April 2019
6620	SUP 16.27	R	This section applies to any activities upon which the value measures data in SUP 16.27.11R is based and which are carried out after 1 July 2021, regardless of the effective date of any particular general insurance contract.				From 1 July 2021	1 July 2021
6621	SUP 16.27.12	R	The first value measures report to be provided on 28 February 2022 will have a reporting period of 1 July 2021 – 31 December 2021 and references to “reporting period” should be read accordingly.				From 1 July 2021 to 1 March 2022	1 July 2021
6822	SUP 16.28.6R and SUP 16.28.7R	R	(1) This transitional provision applies to a firm that is required under SUP 16.28.6R or SUP 16.28.7R to submit a pricing information report to the FCA.				1 January 2022 to 31 December 2023	1 January 2022
			(2) A firm must prepare an interim pricing information report in respect of the period commencing 1 January 2022 and ending on 30 June 2022.
			(3) The interim pricing report under paragraph (2) is to exclude the additional claims-related information on the core product in SUP 16.28.12R.
			(4) The interim pricing report in (2) must be submitted on or before 30 September 2022.
			(5) The interim pricing report in (2) must be submitted in accordance with SUP 16.28.16R to SUP 16.28.18R, subject to the permitted exclusion from the interim report of additional claims-related information as set out in (3).
			(6) The first annual pricing information report must be submitted:
			(i) in respect of the reporting period or claims-related reporting period from 1 January 2022 to 31 December 2022, on or before 31 March 2023; or
			(ii) where a firm’s claims-related reporting period is not the reporting period, in respect of the firm’s claims-related reporting period which commences on or after 1 January 2022, on or before a date 3 months after the end of that claims-related reporting period.
7023	SUP 16.27.12	R	When reporting data on legal expenses, a firm can choose whether the first value measures report to be provided on 28 February 2022 uses the form and format set out in:				From 17 December 2021 to 1 March 2022	1 July 2021
			(1) SUP 16 Annex 48AR where after the event and before the event legal expenses insurance is reported as separate product categories; or
			(2) instrument FCA 2020/40, where both after the event and before the event legal expenses insurance is reported together under the same product category ‘legal expenses’, as defined in instrument FCA 2020/40.
7024	SUP 16.27.12	G	Instrument FCA 2020/40 defines ‘legal expenses’ as contracts of insurance (or cover within a policy) against the risks of loss to the persons insured attributable to their incurring legal expenses including costs of litigation.
9Note 1 Deleted51 51
Note 2 Deleted51 11 51
Note 3 Deleted51 11 51

SUP TP 1.3 [deleted]

SUP TP 1.4 [deleted]

SUP TP 1.5 [expired]51

SUP TP 1.6 [deleted]

SUP TP 1.7 Client assets report

(1)	(2)	(3)	(4)	(5)	(6)
41	Material to which the transitional provision applies		Transitional Provision	Transitional provision: dates in force	Handbook provision: coming into force
1	The rules and guidance in SUP 3.10	R	In relation to an auditor of a firm whose client assets report period ends on or before 29 September 2011, that auditor may comply with SUP 3.10 as it was in force on 31 May 2011.	From 1 June 2011	1 June 2011
2	The rules and guidance in SUP 3.11	R	In relation to a firm whose client assets report period ends on or before 29 September 2011, the rules and guidance to which column (2) refers do not apply.	From 1 June 2011	1 June 2011

SUP TP 1.8 [expired]51

SUP TP 1.9 Credit-related regulated activities

49(1)	(2) Material to which the transitional provision applies	(3)	(4) Transitional provisions	(5) Transitional provision: dates in force	(6) Handbook provision coming into force
1	The changes to SUP 16.11 and SUP 16.12 set out in Annex I of the Consumer Credit (Consequential and Supplementary Amendments) Instrument 2014	R	The changes effected by the Annex listed in column (2) to SUP 16.11 and SUP 16.12 do not apply until 1 October 2014.	1 April 2014 to 1 October 2014	1 April 2014
2	The changes to SUP 16.12 set out in Annex I of the Consumer Credit (Consequential and Supplementary Amendments) Instrument 2014	G	The effect of (1) is that, for a firm with permission to carry on only a credit-related regulated activity, the reporting frequencies and submission deadlines for the data items in SUP 16.12.29C R are calculated from the firm's next accounting reference date that follows 1 October 2014. The first data items should cover the period from 1 October 2014 to the accounting reference date or the end of the first reporting period if the frequency is half-yearly.	1 April 2014 to 1 October 2014	1 April 2014
3	SUP 16.12	G	Firms are reminded that CONC 12.1.4 R further provides that (a) SUP 16 does not apply to a firm with only an interim permission; and (b) SUP 16.11 and SUP 16.12 apply to a firm with an interim permission that is treated as a variation of permission for credit-related regulated activity as if the changes effected by the Consumer Credit (Consequential and Supplementary Amendments) Instrument 2014 had not been made. So, if such a firm is granted permission to carry on (or is granted a variation to add to its permission) credit-related regulated activity (and an interim permission the firm was treated as having ceases to have effect) on a date after 1 October 2014, the reporting frequencies and submission deadlines for the data items in SUP 16.12.29C R are calculated by reference to the firm's accounting reference date that follows the date on which the notice of the grant of permission or the variation of permission under section 55V(5) of the Act takes effect. The first data items should cover the period from that date (not 1 October 2014) to the accounting reference date or the end of the first reporting period if the frequency is half-yearly.	1 April 2014 until interim permission ceases to have effect	1 April 2014

SUP TP 1.10 Mortgage activities52

(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 16.11.5R (3). SUP 16.11.5A R and SUP 16 Annex 21, section 2 (c) (sales data report and performance data report for mortgages)	R	When reporting sales data and performance data on regulated mortgage contracts, a firm should not include sales data and performance data on second charge regulated mortgage contracts		21 March 2016 to 31 March 2017	21 March 2016
652	SUP 16.11.3R, SUP 16.11.5R, SUP 16.11.7R, SUP 16.11.8R and SUP 16 Annex 21R.	R	When submitting a sales data report required by SUP 16.11.7R in relation to a regulated mortgage contract entered into in reliance on the rules in MCOB 11.9, a firm (or its reporting agent appointed under SUP 16.11.11R) may, in relation to that contract, elect to comply with the provisions of SUP 16 Annex 21R as if:		From 28 October 2019 to 31 March 2021.	On 28 October 2019.
			(1)	the amendments to that Annex made by the Mortgages (Responsible Lending) Instrument 2019 had not been made; and
			(2)	the contract were entered into in reliance on the rules in MCOB 11.7.

SUP TP 1.11 Payment services and electronic money returns

58(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 16.3.3D to SUP 16.3.4D and SUP 16.15.8D	D	The changes effected by the Payment Services Instrument 2017 to SUP 16.3.3D to SUP 16.3.4D and SUP 16.15.8D do not apply where a payment institution or electronic money institution is required to submit a return covering a reporting period ending on 12 January 2018 or earlier. SUP 16.3.3D to SUP 16.3.4D and SUP 16.15.8D apply as they stood immediately before 13 January 2018 with respect to periodic reporting of information to the FCA covering a period ending before 12 January 2018.	13 January 2018 to 1 April 2018	13 January 2018
2	SUP 16.3.3D to SUP 16.3.4D and SUP 16.15.8D	G	The effect of (1) is that an authorised payment institution or a small payment institution should submit the annual return FSA056 or FSA057 in the pre-13 January 2018 format in respect of a reporting period that ends on or before 12 January 2018. The due dates for submission after the end of the reporting period are the same before and after 13 January 2018. The effect of (1) is also that an authorised electronic money institution should submit FSA059 to FSA063 in the pre-13 January 2018 formats (rather than the new return FIN060) in respect of a reporting period that ends on or before 12 January 2018. The reporting frequencies for these returns are half-yearly, calculated from the authorised electronic money institution’s accounting reference date, and the due dates for submission are within 30 business days following the end of the reporting period. A small electronic money institution should submit FSA064 in the pre-13 January 2018 format (rather than the new return FIN060) in respect of a reporting period that ends on or before 12 January 2018. The reporting frequency for this return is half-yearly, calculated from the small electronic money institution’s accounting reference date, and the due date for submission is within 30 business days following the end of the reporting period.	13 January 2018 to 1 April 2018	13 January 2018
3	SUP 16.3.3D to SUP 16.13.4D and SUP 16.15.8D	D	(1) This direction applies to an authorised payment institution, registered account information service provider, authorised electronic money institution, or small electronic money institution with an accounting reference date falling between 13 January 2018 and 30 March 2018 (inclusive). (2) A person to whom this direction applies must, in respect of the reporting period that ends on the accounting reference date between 13 January 2018 and 30 March 2018, complete and submit the return specified in the second column of the table in SUP 16.13.4D or SUP 16.15.8D (as applicable) within 30 business days of 31 March 2018.	13 January 2018 to 18 May 2018	13 January 2018
4	SUP 16.3.3D to SUP 16.3.4D and SUP 16.15.8D	G	The effect of (3) is that an authorised payment institution or registered account information service provider should submit the return FSA056 by 11 May 2018 if the return relates to a reporting period that ends between 13 January 2018 and 30 March 2018 (inclusive). The effect of (3) is also that an authorised electronic money institution or small electronic money institution should submit the return FIN060 by 11 May 2018 if the return relates to a reporting period that ends between 13 January 2018 and 30 March 2018 (inclusive).	13 January 2018 to 18 May 2018	13 January 2018
5	SUP 16.13.4D and SUP 16.15.8D	D	An authorised payment institution, registered account information service provider, authorised electronic money institution, or small electronic money institution required to submit a return covering a reporting period beginning before and ending after 13 January 2018 is required to answer the ‘new return questions’ only in respect of the period beginning on the 13 January 2018 and ending on its accounting reference date. ‘New return questions’ means: (a) for an authorised payment institution, questions 68, 76,-80 and 84-86 in FSA056 (Authorised Payment Institution Capital Adequacy Return); (b) for a registered account information service provider, question 68 in FSA056 (Authorised Payment Institution Capital Adequacy Return); (c) for an authorised electronic money institution, questions 2–3, 10-11, 75-76 and 80-82, in FIN060 (Authorised Electronic Money Institution Questionnaire); and (d) for a small electronic money institution, questions 2-3 and questions 10-12 in FIN060 (Small E-Money Institution Questionnaire).	13 January 2018 to 1 April 2019	13 January 2018
6	SUP 16.13.4D and SUP 16.15.8D	G	The effect of (5) is that, even if part of the reporting period to be covered by a return falls earlier than 13 January 2018, the authorised payment institution, registered account information service provider, authorised electronic money institution or small electronic money institution is nonetheless required to submit the return in the new form set out in the Payment Services Instrument 2017, but is only required to answer the new questions added by the Payment Services Instrument 2017 in relation to the part of the reporting period that falls on or after 13 January 2018.	13 January 2018 to 1 April 2019	13 January 2018
7	SUP 16.15.8D	G	Electronic money institutions are reminded that the return FIN060 is to be completed in respect of a reporting period of 12 months. This means that electronic money institutions using FIN060 for the first time should include in that report data from the preceding 12 months, irrespective of whether some of that data has already been reported to the FCA as a result of the previous half yearly reporting frequency.	13 January 2018 to 1 April 2019	13 January 2018

SUP TP 1.12

(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
601	SUP 16.23A.3R(2)	R	If, at the time SUP 16.23A.3R comes into force, the latest director’s certificate and auditor’s report a firm submitted under the rules replaced by SUP 16.23A.3R related to a version of the register dated 31 March 2018 or earlier, the ‘period of production of the register’ to be covered by the first return that firms must submit under SUP 16.23A.3R(1) is from that date to 31 March 2019.	From 28 September 2018 to 31 August 2019	28 September 2018
2	SUP16.23A.3R (2)	R	If, at the time SUP 16.23A.3R comes into force, the latest director’s certificate and auditor’s report a firm submitted under the rules replaced by SUP 16.23A.3R related to a version of the register dated 1 April 2018 or later, the ‘period of production of the register’ to be covered by the first return that firms must submit under SUP 16.23A.3R(1) is from that date to 31 March 2019.	From 28 September 2018 to 31 August 2019	28 September 2018

SUP TP 1.13 Reporting of information about Directory persons

63(1)	(2) Material to which the transitional provision applies	(3)	(4) Transitional provisions	(5) Transitional provision: dates in force	(6) Handbook provision coming into force
1	SUP 16.26	R	(1) This rule applies to:64 64(a) an SMCR banking firm; and 64(b) an SMCR insurance firm. (2) The reporting and timing requirements in SUP 16.26 are modified in accordance with paragraphs (3) to (6) for a firm to which this rule applies. (3) The firm must submit a report about each individual who is or becomes a Directory person on or after 9 September 2019. (4) Where the relevant information is held by the firm, the firm must submit a report about each individual who does not fall within (3), but who would have been a Directory person on or after 10 December 2018. (5) The firm must submit to the FCA all reports about the Directory persons specified in (3) and (4) by 9 March 2020, which is set out in Part 1, SUP 16 Annex 47AR (Directory persons report), submitted online through the appropriate system which is accessible from the FCA website and in the appropriate format. (6) SUP 16.26.13R to SUP 16.26.19R apply only on and from 9 March 2020.	From 9 September 2019 to 9 March 2020	9 September 2019
642	SUP 16.26	R	(1) This rule applies to an SMCR firm which is not: (a) an SMCR banking firm; or (b) an SMCR insurance firm. (2) The reporting and timing requirements in SUP 16.26 are modified in accordance with paragraphs (3) to (5) for a firm to which this rule applies. (3) The firm must submit a report about each individual who is or becomes a Directory person on or after 9 December 2019. (4) The firm must submit to the FCA all reports about the Directory persons specified in (3) by 31 March 202167, which is set out in Part 1, SUP 16 Annex 47AR (Directory persons report), submitted online through the appropriate system which is accessible from the FCA website and in the appropriate format. (5) SUP 16.26.13R to SUP 16.26.19R apply only on and from 31 March 202167. (6) This rule is modified by SUP TP 1.13.3R.	From 9 December 2019 to 31 March 202167	9 December 2019

63(1)

(2) Material to which the transitional provision applies

(3)

(4) Transitional provisions

(5) Transitional provision: dates in force

(6) Handbook provision coming into force

SUP 16.26

(1) This rule applies to:64

64(a) an SMCR banking firm; and

64(b) an SMCR insurance firm.

(2) The reporting and timing requirements in SUP 16.26 are modified in accordance with paragraphs (3) to (6) for a firm to which this rule applies.

(3) The firm must submit a report about each individual who is or becomes a Directory person on or after 9 September 2019.

(4) Where the relevant information is held by the firm, the firm must submit a report about each individual who does not fall within (3), but who would have been a Directory person on or after 10 December 2018.

(5) The firm must submit to the FCA all reports about the Directory persons specified in (3) and (4) by 9 March 2020, which is set out in Part 1, SUP 16 Annex 47AR (Directory persons report), submitted online through the appropriate system which is accessible from the FCA website and in the appropriate format.

(6) SUP 16.26.13R to SUP 16.26.19R apply only on and from 9 March 2020.

From 9 September 2019 to 9 March 2020

9 September 2019

642

SUP 16.26

(1) This rule applies to an SMCR firm which is not:

(a) an SMCR banking firm; or

(b) an SMCR insurance firm.

(2) The reporting and timing requirements in SUP 16.26 are modified in accordance with paragraphs (3) to (5) for a firm to which this rule applies.

(3) The firm must submit a report about each individual who is or becomes a Directory person on or after 9 December 2019.

(4) The firm must submit to the FCA all reports about the Directory persons specified in (3) by 31 March 202167, which is set out in Part 1, SUP 16 Annex 47AR (Directory persons report), submitted online through the appropriate system which is accessible from the FCA website and in the appropriate format.

(5) SUP 16.26.13R to SUP 16.26.19R apply only on and from 31 March 202167.

(6) This rule is modified by SUP TP 1.13.3R.

From 9 December 2019 to 31 March 202167

9 December 2019

63(1)	(2) Material to which the transitional provision applies	(3)	(4) Transitional provisions	(5) Transitional provision: dates in force	(6) Handbook provision coming into force
64 3	SUP 16.26	R	(1) This rule applies to a firm: (a) that comes within SYSC TP 8.1.1R (Application, purpose and definitions); and (b) has an individual transitional period. (2) SUP TP 1.13.2R is adjusted so that a reference to: (a) 9 December 2019 is a reference to the start of a firm’s individual transitional period; and (b) 31 March 202167 is a reference to the end of a firm’s individual transitional period. (3) Individual transitional period has the meaning in SYSC TP 8.1.5R (Table: glossary of bespoke terms used in SYSC TP 8), taking into account the amendment to that definition made by the Individual Accountability (FCA-Authorised Firms) (COVID-19 and Extension of Deadlines) Instrument 202067.	As stated in column (4)	As stated in column (4)

63(1)

(2) Material to which the transitional provision applies

(3)

(4) Transitional provisions

(5) Transitional provision: dates in force

(6) Handbook provision coming into force

64 3

SUP 16.26

(1) This rule applies to a firm:

(a) that comes within SYSC TP 8.1.1R (Application, purpose and definitions); and

(b) has an individual transitional period.

(2) SUP TP 1.13.2R is adjusted so that a reference to:

(a) 9 December 2019 is a reference to the start of a firm’s individual transitional period; and

(b) 31 March 202167 is a reference to the end of a firm’s individual transitional period.

(3) Individual transitional period has the meaning in SYSC TP 8.1.5R (Table: glossary of bespoke terms used in SYSC TP 8), taking into account the amendment to that definition made by the Individual Accountability (FCA-Authorised Firms) (COVID-19 and Extension of Deadlines) Instrument 202067.

As stated in column (4)

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SUP TP 1 Transitional provisions

SUP TP 1.1 Transitional provisions applying to the Supervision manual only

SUP TP 1.2

SUP TP 1.3 [deleted]

SUP TP 1.4 [deleted]

SUP TP 1.5 [expired]51

SUP TP 1.6 [deleted]

SUP TP 1.7 Client assets report

SUP TP 1.8 [expired]51

SUP TP 1.9 Credit-related regulated activities

SUP TP 1.10 Mortgage activities52

SUP TP 1.11 Payment services and electronic money returns

SUP TP 1.12

SUP TP 1.13 Reporting of information about Directory persons