Related provisions for COLL 3.2.8

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COLL 8.1.2GRP
(1) This chapter assists in achieving the regulatory objective of protecting consumers by providing an appropriate degree of protection in respect of authorised funds that are only intended for investors that are, in general, prepared to accept a higher degree of risk in their investments or have a higher degree of experience and expertise than investors in retail schemes.(2) This section ceases to apply where a qualified investor scheme has converted to be authorised as a UCITS
PERG 8.12.38GRP
Article 20B gives effect to the provisions of the E- Commerce Directive by exemptingelectronic commerce communications made from an establishment in an EEA State other than the United Kingdom to an ECA recipient in the United Kingdom2. However, article 20B does not apply to the following communications:2(1) an advertisement by the operator of a UCITS of units in that scheme; or(2) an invitation or inducement to enter into a contract of insurance where:(a) it is made by an undertaking
SUP 16.12.19ARRP

2The applicable data items8referred to in SUP 16.12.4 R are set out according to type of firm8 in the table below:

88

Description of data item

Firm's prudential category and applicable data item (note 1)

IPRU(INV) Chapter 3

IPRU(INV) Chapter 5

IPRU(INV) Chapter 9

IPRU(INV)Chapter 13

UPRU

Annual accounts

No standard format8

Solvency statement (note 6)5

No standard format5

No standard format5

Balance sheet

FSA029 (note 3)

FSA029 (note 3)

FSA029

FSA029 (note 3) or Section A RMAR (note 7)

FSA029 (note 3)

Income statement

FSA030 (note 3)

FSA030 (note 3)

FSA030

FSA030 (note 3) or Section B RMAR (note 7)

FSA030 (note 3)

Capital adequacy

FSA033 (note 3)

FSA034 or FSA035 (note 3 and 4)

FSA031

FSA032 (note 5) or5 Section D1 and D2 RMAR (note 7)5

FSA036 (note 3)

5Threshold conditions

Section F RMAR

Client money and client assets

FSA039

FSA039

FSA039

Section C RMAR (note 7) or 5FSA039

FSA039

CFTC

FSA040

FSA040

FSA040

FSA040

FSA0403

Note 1

When submitting the completed data item required, a firm must use the format of the data item set out in SUP 16 Annex 24. Guidance notes for completion of the data items are contained in SUP 16 Annex 25.

Note 2

This does not apply to a firm subject to IPRU(INV) Chapter 13 which is an exempt CAD firm.

Note 3

The annual data item to be submitted is additional to the fourth quarterly return to be submitted. The information to be submitted in the annual data item must (except for exempt CAD firm or firms subject to the small firms audit exemption) be audited before it is submitted.

Note 4

FSA034 must be completed by a firm not subject to the exemption in IPRU(INV) 5.2.3(2)R.

FSA035 must be completed by a firm subject to the exemption in

IPRU(INV) 5.2.3(2)R.

Note 5

FSA032 must be completed by a firm subject to IPRU(INV) Chapter 13 which is an exempt CAD firm.

5

Note 6

Only applicable to a firm that is a partnership, when the report must be submitted by each partner.

5Note 7

This is only applicable to a firm subject to IPRU(INV) Chapter 13 which is not an exempt CAD firm.