Related provisions for SUP 16.11.9

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

SUP 16.3.9RRP

Method of submission of reports (see SUP 16.3.8 R)

78

Method of delivery

1.

Post to the published address of the FSA for postal submission of reports

2.

Leaving the report at the published address of the FSA for hand delivery of reports and obtaining a dated receipt

3.

Electronic mail to an address for the firm's usual supervisory contact at the FSA and obtaining an electronic confirmation of receipt

4.

Hand delivery to the firm's usual supervisory contact at the FSA and obtaining a dated receipt

5.

Fax to the number notified by the firm's usual supervisory contact at the FSA, and receiving a successful transmission report for all pages of the report.72

6.

Online submission via the FSA's website at www.fsa.gov.uk8

137.

Electronic submission via the Early Reporting System available from or through the FSA's website.13
SUP 16.10.2GRP
Standing data is used by the FSA:(1) to ensure that a firm is presented with the correct regulatory return when it seeks to report electronically;(2) in order to communicate with a firm;(3) as the basis for some sections of the FSA Register; and (4) in order to carry out thematic analysis across sectors and groups of firms.
SUP 13A.9.5GRP
(1) The purpose of the precautionary measure rule is to ensure that an incoming EEA firm is subject to the standards of MiFID and the MiFID implementing Directive to the extent that the Home State has not transposed MiFID or the MiFID implementing Directive by 1 November 2007. It is to 'fill a gap'.(2) The rule is made in the light of the duty of the United Kingdom under Article 62 of MiFID to adopt precautionary measures to protect investors. (3) The rule will be effective for