Table of applicable rules containing data items4, frequency and submission periods
(1) |
(2) |
(3) |
(4) |
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RAGnumber |
Provisions containing: |
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applicabledata items |
reporting frequency/ period |
due date32 32 |
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RAG 1 |
• accepting deposits • meeting of repayment claims12 • managing dormant account funds (including the investment of such funds)12 27 |
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RAG 2.1 |
• effecting contracts of insurance • carrying out contracts of insurance • entering as provider into a funeral plan contract |
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RAG 2.2 |
• managing the underwriting capacity of a Lloyds syndicate as a managing agent at Lloyds • advising on syndicate participation at Lloyds • arranging deals in contracts of insurance written at Lloyds |
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RAG 3 |
• dealing in investment as principal • dealing in investments as agent • advising on investments (excluding retail investment activities) • arranging (bringing about) deals in investments (excluding retail investment activities) |
SUP 16.12.11 R or SUP 16.12.11B R for UK designated investment firms37 |
SUP 16.12.10 R2SUP 16.12.12 R or SUP 16.12.12A R for UK designated investment firms37 |
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RAG 4 |
• managing investments • establishing, operating or winding up a collective investment scheme • establishing, operating or winding up a stakeholder pension scheme • establishing, operating or winding up a personal pension scheme2 3838 |
SUP 16.12.15 R or SUP 16.12.15B R for UK designated investment firms37 |
SUP 16.12.14 R2SUP 16.12.16 R or SUP 16.12.16A R for UK designated investment firm37 |
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RAG 5 |
• home finance administration or home finance providing activity11 11 |
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RAG 6 |
• acting as the depositary of an authorised contractual scheme36 • safeguarding and administration of assets (without arranging) • arranging safeguarding and administration of assets • acting as trustee or depositary of an AIF38 • acting as trustee or depositary of a UCITS38 3838 |
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RAG 7 |
• retail investment activities • advising on pensions transfers & opt-outs • arranging (bringing about deals) in retail investments |
SUP 16.12.22A R or SUP 16.12.22C R for UK designated investment firms37 |
SUP 16.12.23A R and37SUP 16.12.23 R for UK designated investment firms37 |
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RAG 8 |
• making arrangements with a view to transactions in investments • operating a multilateral trading facility4 |
SUP 16.12.25A R or SUP 16.12.25C R for UK designated investment firms37 |
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RAG 9 |
• home finance mediation activity14 • insurance mediation activity (non-investment insurance contracts) 14 |
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RAG 10 |
97 | |||