Related provisions for SUP 16.3.4

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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 16.6.5RRP

Compliance reports from a bank (see SUP 16.6.4 R)4

Report

Frequency

Due date

List of all overseas regulators for each legal entity in the firm's group

Annually

6 months after the firm'saccounting reference date13

13

Organogram showing the authorised entities in the firm's group

Annually

6 months after the firm'saccounting reference date13

13
SUP 16.6.7RRP

Compliance reports from trustees of AUTs, depositaries of ICVCs and ACSs , and OPS firms (see SUP 16.6.6R)6

Report

Frequency

Due date

Report from a trustee of an AUT on manager's failures as set out in SUP 16.6.8 R (1)

Quarterly

1 month after quarter end (Note)6

6Report from adepositaryof anACSon failures by theauthorised contractual scheme manageras set out in SUP 16.6.8 R (2A)

Quarterly

1 month after quarter end (Note)

Report from a depositary of an ICVC on failures by the authorised corporate director as set out inSUP 16.6.8 R (2)

Quarterly

1 month after quarter end (Note)

OPS firms only:

Annual accounts of each occupational pension scheme in respect of which the firm is acting

Annually

7 months after end of the scheme year

OPS firms only:

Audited annual accounts of each OPS collective investment scheme in respect of which the firm is acting

Annually

7 months after end of the scheme year

Note = The quarter ends are 31 March, 30 June, 30 September, 31 December.1
SUP 16.12.33RRP

Financial reports from a member of a financial conglomerate (see SUP 16.12.32 R)

Content of Report

Form (Note 1)

Frequency

Due Date

Calculation of supplementary capital adequacy requirements in accordance with one of the three42 technical calculation methods

42

Note 2

Note 5

Yearly42

Note 5

Identification of significant risk concentration levels

Note 3

Yearly

4 months after year end

Identification of significant intra-group transactions

Note 4

Yearly

4 months after year end

Report on compliance with GENPRU 3.1.35 R where it applies

11

Note 6

Note 5

Note 5

Note 1

When giving the report required, a firm must use the form indicated, if any.

Note 2

If Part 1 of GENPRU 3 Annex 1(method 1), or42 Part 2 of GENPRU 3 Annex 1 (method 2), or Part 3 of GENPRU 3 Annex 1 (method 3) applies, there is no specific form. Adequate information must be provided, specifying the calculation method used42 and each financial conglomerate for which the appropriate regulator96 is the co-ordinator must discuss with the appropriate regulator96 the form which this reporting will take and the extent to which verification by an auditor will be required.42

11969642
42
42

For the purposes of the above, where relevant to the agreed reporting arrangements,42rules 9.40(1), 9.40(1A), 9.40(3) and 9.40(4) of IPRU(INS) apply as they would if the financial conglomerate42 were an insurance group.

4242

Note 3

Rather than specifying a standard format for each financial conglomerate to use, each financial conglomerate for which the appropriate regulator96 is the co-ordinator must discuss with the appropriate regulator96 the form of the information to be reported. This should mean that usual information management systems of the financial conglomerate can be used to the extent possible to generate and analyse the information required.

When reviewing the risk concentration levels, the appropriate regulator96 will in particular monitor the possible risk of contagion in the financial conglomerate, the risk of a conflict of interests, the risk of circumvention of sectoral rules, and the level or volume of risks.

969696

Note 4

For the purposes of this reporting requirement, an intra-group transaction will be presumed to be significant if its amount exceeds 5% of the total amount of capital adequacy requirements at the level of the financial conglomerate.

Rather than specifying a standard format for each financial conglomerate to use, each financial conglomerate for which the appropriate regulator96 is the co-ordinator must11 discuss with the appropriate regulator96 the form of the information to be reported. This should mean that usual information management systems of the financial conglomerate can be used to the extent possible to generate and analyse the information required.

When reviewing the intra-group transactions, the appropriate regulator96 will in particular monitor the possible risk of contagion in the financial conglomerate, the risk of a conflict of interest11, the risk of circumvention of sectoral rules, and the level or volume of risks.

96119696

Note 5

The frequency and due date will be as follows:

(1)banking and investment services conglomerate:11 frequency isyearly42 with due date 45 business days after period end;42

(2) insurance conglomerate: frequency is yearly with due date four months after period end for the capital adequacy return and three months after period end for the report on compliance with GENPRU 3.1.35 R where it applies.

1142

Note 6

Adequate information must be added as a separate item to the relevant form for sectoral reporting.
COLL 11.6.13RRP
Where the authorised fund manager of a feeder UCITS gives notice to the FCA under section 251 or section 261Q1 of the Act or regulation 21 of the OEIC Regulations that it intends to wind up the scheme, it must inform:(1) the unitholders of the feeder UCITS; and(2) where notice is given under COLL 11.6.5R (4) (Application for approval by a feeder UCITS where a master UCITS merges or divides), the authorised fund manager of the master UCITS;of its intention without undue delay.[Note: