SUP TP 13 Transitional provisions relating to appointed representatives1
(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 |
Contract terms enabling termination |
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1 |
R |
(1) This transitional provision applies to a firm in respect of those contracts with appointed representatives which are in effect on 8 December 2022. (2) SUP 12.5.5R(4) does not apply to a written contract in (1). (3) A firm must amend a contract in (1) to comply with SUP 12.5.5R(4) at the first point at which the contract is subject to renewal or revision following 8 December 2022. |
From 8 December 2022 |
8 December 2022 |
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Annual reviews |
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2 |
R |
(1) This transitional provision applies to a firm with one or more appointed representatives on 8 December 2022. (2) The firm must complete its first review of the appointed representatives in (1) for the purposes of SUP 12.6A.2R on or before 30 November 2023. |
From 8 December 2022 to 30 November 2023 |
8 December 2022 |
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Self-assessments |
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3 |
R |
(1) This transitional provision applies to a firm with one or more appointed representatives on 8 December 2022. (2) The governing body of the firm must approve the firm’s first self-assessment document on or before 30 November 2023. |
From 8 December 2022 to 30 November 2023 |
8 December 2022 |
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Appointed representative reporting |
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4 |
R |
(1) This transitional provision applies to a firm with one or more appointed representatives. (2) A firm is not required to submit the form in SUP 12 Annex 6 in respect of its accounting reference date falling before 1 December 2023. |
From 8 December 2022 to 30 November 2023 |
8 December 2022 |
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Verification of firm details |
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5 |
R |
(1) This transitional provision applies to a firm with one or more appointed representatives on 8 December 2022. (2) A firm must undertake its first check of the accuracy of information about its appointed representatives when complying with SUP 16.10.4R in respect of its first accounting reference date falling on or after 1 December 2023. |
From 8 December 2022 to 30 November 2023 |
1 April 2005 |