Related provisions for SYSC 7.1.11

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SUP 16.12.15RRP

The applicable data items referred to in SUP 16.12.4 R according to type of firm are set out in the table below:

Description of data item11

Firms prudential category and applicable data items (note 1)

BIPRU

Firmsother than BIPRU firms

730K

125K andUCITS investment firms

50K

IPRU(INV)2Chapter 3

IPRU(INV)2Chapter 5

IPRU(INV)2Chapter 9

IPRU(INV)2Chapter 13

UPRU

Annual report and accounts11

11

No standard format8(note 13)11

Annual report and accounts11 of the mixed-activity holding company (note 10)

11

5

No standard format5

Solvency statement (note 11

5

No standard format2

No standard format5

No standard format5

Balance sheet

FSA001 (note 2)

FSA001 (note 2)

FSA001 (note 2)

FSA029 2

11

FSA029 2

11

FSA0292

FSA029 (note 1511)2 or Section A RMAR (note 1511)5

1111

FSA029 (note 16)2

Income statement

FSA002 (note 2)

FSA002 (note 2)

FSA002 (note 2)

FSA0302

11

FSA0302

11

FSA0302

FSA030 (note 15)2 or Section B RMAR (note 1511)5

1111

FSA030 (note 16)2

Capital adequacy

FSA003 (note 2)

FSA003 (note 2)

FSA003 (note 2)

FSA0332

11

FSA034 or FSA035 (note 14)2

11

FSA0312

Section D1 and D2 RMAR or FSA032 (note 15)11

11

FSA0362

11

Credit risk

FSA004 (notes 2, 3)

FSA004 (notes 2, 3)

FSA004 (notes 2, 3)

Market risk

FSA005 (notes 2, 4)

FSA005 (notes 2, 4)

FSA005 (notes 2, 4)

Market risk - supplementary

FSA006 (note 5)

FSA006 (note 5)

FSA006 (note 5)

Operational risk

FSA007 (notes 2, 6, 7)

FSA007 (notes 2, 6, 7)

FSA007 (notes 2, 6, 7)

Large exposures

FSA008 (note 2)

FSA008 (note 2)

FSA008 (note 2)

UK integrated group large exposures

FSA018 (note 12)

FSA018 (note 12)

FSA018 (note 12)

Solo consolidation data

FSA01611 (note 20)11

FSA01611 (note 20)11

FSA01611 (note 20)11

Pillar 2 questionnaire

FSA019 (note 8)

FSA019 (note 8)

FSA019 (note 8)

Non-EEA sub-group

FSA028 (note 9)

FSA028 (note 9)

FSA028 (note 9)

5Threshold conditions

Section F RMAR (note 1511)

11

2Volumes and type of business (note 21)11

FSA038

FSA038

FSA038

FSA038

FSA038

FSA038

FSA038

FSA038

2Client money and client assets

FSA039

FSA039

FSA039

FSA039

FSA039

FSA039

Section C RMAR (note 1511) or 5FSA039

11

FSA03911

2Asset managers that use hedge fund techniques (note 21)11

FSA041

FSA041

FSA041

FSA041

FSA041

FSA041

FSA041

FSA041

2UCITS (note 22)11

FSA042

FSA042

FSA042

FSA042

FSA042

FSA042

FSA042

FSA042

6IRB portfolio risk

FSA045 (note 18)

FSA045 (note 18)

FSA045 (note 18)

6Securitisation

FSA046 (note 19)

FSA046 (note 19)

FSA046 (note 19)

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 R. Guidance notes for completion of the data items are contained in SUP 16 Annex 25 G.

Note 2

Firms that are members of a UK consolidation group are also required to submit this report on a UK consolidation group basis.

11

Note 3

This applies to a firm that is required to submit data item FSA003 and at anytime within the 12 months up to its latest accounting reference date ("the relevant period"), was reporting data item FSA004 ("Firm A") or not reporting this item ("Firm B").

In the case of Firm A it must report this data item if one or both of its last two submissions in the relevant period show that the threshold was exceeded.

In the case of Firm B it must report this item if both the last two submissions in the relevant period show that the threshold has been exceeded.

The11 threshold is exceeded where data element 77A in data item FSA003 is greater than £10 million, or its currency equivalent, at the relevant reporting datefor the firm.11

11

Note 4

This applies to a firm that is required to submit data item FSA003 and at any time within the 12 months up to its latest accounting reference date ("the relevant period"), was reporting data item FSA005 ("Firm A") or not reporting this item ("Firm B").

In the case of Firm A it must report this data item if one or both of its last two submissions in the relevant period show that the threshold was exceeded.

In the case of Firm B it must report this item if both the last two submissions in the relevant period show that the threshold has been exceeded.

The threshold is exceeded wheredata element 93A in data item FSA003 is greater than £50 million, or its currency equivalent, at the relevant reporting date for the firm.11

11

Note 5

Only applicable to firms with a VaR model permission.11

11

Note 6

This will not be applicable to BIPRU limited activity firms or BIPRU limited licence firms unless they have a waiver under BIPRU 6.1.2 G.

Note 7

This is only applicable to a firm that has adopted, in whole or in part, either the standardised approach, alternative standardised approach, or advanced measurement approach11under BIPRU 63.

11

Note 8

Only applicable to BIPRU investment firms5 that :11

(a) are subject to consolidated supervision under BIPRU 8, except those that are either included within the consolidated supervision of a group that includes a UK credit institution, or that have been granted an investment firm consolidation waiver;or11

(b) have been granted an investment firm consolidation waiver;

or11

(c) are 11not subject to consolidated supervision under BIPRU 8.

A BIPRU investment firm5 under (a) must11 complete the report on the basis of its UK consolidation group. A BIPRU investment firm5 under (b) or (c) must11 complete the report on the basis of its solo position.

1111

Note 9

This will be applicable to firms that are members of a UK consolidation group4 on the reporting date.

11

Note 10

Only applicable to a firm whose ultimate parent is a mixed-activity holding company.

Note 11

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

Note 12

Members of a UK integrated group should only submit this data item at the UK integrated group level.

11

2Note 13

This data item is applicable to all firms in this table except a firm subject to IPRU(INV) Chapter 13 which is not an exempt CAD firm.11

11

2Note 14

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.

2Note 15

FSA029, FSA030 and 11FSA032 must be completed by a firm subject to IPRU(INV) Chapter 13 which is an exempt CAD firm.

5Section A, B, C or F RMAR and Sections D1 and D2 RMAR only apply to a firm subject to IPRU(INV) Chapter 13 which is not an exempt CAD firm.11

2Note 16

[deleted]8

8

5Note 17

[deleted]11

11

6Note 18

Only applicable to firms that have an IRB permission.11

11

6Note 19

Only applicable to firms that undertakesecuritisations.

11Note 20

Only applicable to a firm that has a solo consolidation waiver.

11Note 21

Only applicable to firms that have a managing investments permission.

11Note 22

Only applicable to firms that have permission for establishing, operating or winding up a regulated collective investment scheme.
SYSC 1.4.2RRP
A contravention of a rule in SYSC 11 to SYSC 18 does not give rise to a right of action by a private person under section 150 of the Act (and each of those rules is specified under section 150(2) of the Act as a provision giving rise to no such right of action).