Related provisions for IFPRU 9.1.1

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BIPRU 8.1.2BRRP
3Where a group includes one or more BIPRU firms and one or more IFPRU investment firms which has permission under article 19 of the EUCRR (Exclusion from the scope of prudential consolidation) from the FCA not to be included in the supervision on a consolidated basis of the group of which it is a member, consolidated supervision under BIPRU 8 applies to those IFPRU investment firms and the BIPRU firms.
IFPRU 6.1.1RRP
IFPRU 6 applies to an IFPRU investment firm, unless it is an exempt IFPRU commodities firm.
IFPRU 2.1.1RRP
IFPRU 2 applies in the following manner:(1) to an IFPRU investment firm, unless it is an exempt IFPRU commodities firm; and(2) the general stress and scenario testing rule (and related rules and guidance) applies only to a significant IFPRU firm.
GENPRU 3.1.39RRP
(1) In accordance with Articles5 30 and 30a5 of the Financial Groups Directive (Asset management companies and Alternative investment fund managers5), this rule deals with the inclusion of an asset management company or an alternative investment fund manager5 that is a member of a financial conglomerate in the scope of regulation of financial conglomerates.55(2) An asset management company or an alternative investment fund manager5 is in the overall financial sector and is
SYSC 19A.1.1RRP
(1) 1The Remuneration Code applies to:33(a) 3a building society;(b) 3a bank;(c) 3an investment firm;(d) 3an overseas firm that:(i) 3is not an EEA firm;(ii) 3has its head office outside the EEA; and(iii) 3would be a firm in (a), (b) or (c) if it had been a UK domestic firm, had carried on all its business in the UK and had obtained whatever authorisations for doing so as are required under the Act. (2) In relation to a 3firm that falls under (1)(d), the Remuneration Code applies
SUP 3.10.5RRP

Client assets report

111

Whether in the auditor's opinion

(1)

the firm has maintained systems adequate to enable it to comply with the custody rules, the collateral rules,5 the client money rules3 (except CASS 5.2)13 and the mandate rules5 throughout the period ;5

353

(2)

the firm was in compliance with the custody rules, the collateral rules,5 the client money rules3 (except CASS 5.2) and the mandate rules5,13 at the date as at which the report has been made;

353

(3)

in the case of an investment management firm, personal investment firm, a UCITS firm,2securities and futures firm, firm acting as trustee or depositary of an AIF, firm acting as trustee or depositary of a UCITS7 or IFPRU investment firm8or BIPRU firm8,2 when a subsidiary of the firm is during the period 5a nominee company in whose name custody assets of the firm are registered during the period, 5 that nominee company has maintained throughout the period5 systems for the custody, identification and control of custody assets which:

2285

(a)

were5 adequate; and

5

(b)

included5 reconciliations at appropriate intervals between the records maintained (whether by the firm or the nominee company) and statements or confirmations from custodians or from the person who maintained5 the record of legal entitlement; and

55

(4)

if there has been a secondary pooling event during the period, the firm has 1complied with the rules43CASS 5.6 and CASS 7A43 (Client money distribution)1 in relation to that pooling event.

3
IFPRU 2.2.8RRP
(1) This rule defines some of the terms used in the overall Pillar 2 rule. (2) Residual risk means the risk that credit risk mitigation techniques used by the firm prove less effective than expected.(3) Securitisation risk includes the risk that the own funds held by a firm for assets which it has securitised are inadequate having regard to the economic substance of the transaction, including the degree of risk transfer achieved.(4) Business risk means any risk to a firm arising
IFPRU 2.3.1GRP
(1) IFPRU 2.3 sets out guidance on IFPRU 2.2 (Adequacy of financial resources) so far as it applies to an IFPRU investment firm. In particular, guidance on how a firm should carry out its ICAAP, as well as some factors the FCA will take into consideration when undertaking a SREP. The terms ICAAP and SREP are explained in IFPRU 2.3.3 G. IFPRU 2.3.48 G to IFPRU 2.3.52 R are rules that apply to a firm with an IRB permission.(2) IFPRU 2.3 is mainly written on the basis that IFPRU