SUP 16.1,SUP 16.2andSUP 16.3 |
All categories of firm except: |
Entire sections |
|
(a) |
an ICVC; |
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|
(b) |
an incoming EEA firm or incoming Treaty firm, which is not: |
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|
|
(i) |
a firm of a type to which SUP 16.6 or 20SUP 16.1220 applies; or |
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|
(ii) |
an insurer with permission to effect or carry outlife policies; or |
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(iii)3 |
a with to establish, operate or wind up a stakeholder pension scheme;14a firm with permission to establish, operate or wind up a personal pension scheme or a stakeholder pension scheme;14 |
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(c) |
a UCITS qualifier. |
|
SUP 16.4 and SUP 16.52 |
All categories of firm except: |
Entire sections |
|
(-a) |
a credit union;2 |
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|
(a) |
an ICVC; |
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(b) |
an incoming EEA firm; |
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|
(c) |
an incoming Treaty firm; |
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(d) |
a non-directive friendly society; |
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(e)4 |
[deleted]4 |
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(f) |
a sole trader; |
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(g) |
a service company; |
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(h) |
a UCITS qualifier;8 8 |
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(i)8 |
a firm with permission to carry on only retail investment activities;8 |
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8
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(j)8 |
a firm with permission to carry on only insurance mediation activity, home finance mediation activity,16 or both;8 16 |
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8
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(k)8 |
a firm falling within both (i) and (j)8 |
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8
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SUP 16.6 |
Bank 27 |
SUP 16.6.4 R to SUP 16.6.5 R |
|
Depositary of an ICVC |
SUP 16.6.6 R to SUP 16.6.9 G |
|
OPS firm |
SUP 16.6.6 R to SUP 16.6.8 R |
|
Trustee of an AUT |
SUP 16.6.6 R to SUP 16.6.9 G |
SUP 16.7 |
Bank, other than an EEA bank with permission for cross border services only.118 |
SUP 16.7.7 R to SUP 16.7.15 R18 |
|
Building society18 |
SUP 16.7.16 R to SUP 16.7.19 R18 |
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Service company |
SUP 16.7.20 R to SUP 16.7.21 R |
|
UK ISPV15 |
SUP 16.7.21A R and SUP 16.7.21B R15 |
|
Securities and futures firm (other than an oil market participant to which IPRU(INV) 3 does not apply) |
SUP 16.7.22 R to SUP 16.7.34 G |
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Investment management firm |
SUP 16.7.35 R to SUP 16.7.41 R |
|
Authorised professional firm (note) |
SUP 16.7.54 Rand SUP 16.7.54A R12 |
|
Society of Lloyd's |
SUP 16.7.55 R to SUP 16.7.56 R and SUP 16.7.59 R (1) and SUP 16.7.59 R (2) |
|
Members' adviser |
SUP 16.7.57 R to SUP 16.7.58 R, SUP 16.7.59 R (3), SUP 16.7.60 G and SUP 16.7.61 G17 |
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Credit Union182 |
SUP 16.7.62 R to SUP 16.7.63 R18227 |
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UCITS management company6 |
6SUP 16.7.67 R to SUP 16.7.72 R17 |
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Member of a financial conglomerate1018 |
SUP 16.7.82 R to SUP 16.7.83 R1018 |
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13Insurer Friendly society |
SUP 16.7.73 RtoSUP 16.7.75 R |
|
A firm not subject to other reporting requirements in SUP 16.7.1 G - SUP 16.7.75 R (nor to reporting requirements in IPRU(INS) or IPRU(FSOC)):81112 |
SUP 16.7.76 R to SUP 16.7.81 G8811 |
|
(1)8 |
with permission to carry on one or more of:8 |
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8
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|
(a)8 |
insurance mediation activity; or8 |
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8
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(b)8 |
home finance mediation activity;16 or8 16 |
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8
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|
(c)8 |
home finance providing activity;16 or8 16 |
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8
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(d)8 |
administering a home finance transaction;16 or8 16 |
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8
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(2)8 |
which is a personal investment firm811 |
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8
11
SUP 16.8 |
Insurer with permission to effect or carry out life policies, unless it is a non-directive friendly society3 |
Entire section |
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3Firm with permission to establish, operate or wind up a personal pension scheme or a stakeholder pension scheme14 14 |
Entire section3 |
SUP 16.95 |
Firm with permission to advise on investments; arrange (bring about) deals in investments; make arrangements with a view to transactions in investments; or arrange safeguarding and administration of assets5 |
Entire section5 |
SUP 16.109 |
All categories of firm except:9 |
Entire section9 |
9
|
(a)9 |
an ICVC;9 |
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9
|
(b)9 |
a UCITS qualifier; 21 |
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9
|
(c)9 |
a credit union; and219 |
|
9
|
21(d) |
a dormant account fund operator. |
|
SUP 16.118 |
A firm, other than a managing agent, which is:8 |
Entire section8 |
8
|
(1)8 |
a home finance provider;16 or8 16 |
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8
|
(2)8 |
an insurer; or8 |
|
8
|
(3)8 |
the operator of a regulated collective investment scheme or an investment trust savings scheme; or8 |
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8
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(4)8 |
a person who issues or manages the relevant assets of the issuer of a structured capital-at-risk product8. |
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8
17SUP 16.12 |
A firm undertaking the regulated activities as listed in SUP 16.12.4 R, unless exempted in SUP 16.12.1 G |
Sections as relevant to regulated activities as listed in SUP 16.12.4 R |
27Note 2 = The application of SUP 16.13 is set out under SUP 16.13.1 G and the application of SUP 16.15 is set out under SUP 16.15.1 G. |
