Related provisions for CASS 5.5.52

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INSPRU 3.2.38ARRP
The conditions referred to in INSPRU 3.2.38R (1) are that the letter of credit is:(1) direct, explicit, unconditional and irrevocable; and(2) issued by an undertaking which is:(a) not a related undertaking of the counterparty; and(b) either an approved credit institution or a bank, or a branch of a bank, whether chartered by the federal government of the United States of America or a US state, that is supervised and examined by at least one of the following US federal banking
COLL 5.5.4RRP
(1) The ICVC or depositary of an AUT or ACS4 (on the instructions of the authorised fund manager4) may, in accordance with this rule and COLL 5.5.5 R (Borrowing limits), borrow money for the use of the authorised fund on terms that the borrowing is to be repayable out of the scheme property.44(2) Paragraph (1) is subject to the obligation of the authorised fund to comply with any restriction in the instrument constituting the fund.55(3) The ICVC or depositary of an AUT or ACS4
PERG 8.25.2GRP
Article 53 does not apply to advice given on any of the following:(1) deposit or other bank or building society accounts (but note that providing basic advice on a stakeholder product including stakeholder deposit accounts is a separate regulated activity under article 52A of the Regulated Activities Order - see the guidance in PERG 2.7.14A G (Providing basic advice on stakeholder products));(2) interests under the trusts of an occupational pension scheme (but rights under an
SUP 16.15.8DRP

The table below sets out the format, reporting frequency and due date for submission in relation to regulatory returns that apply to electronic money issuers that are not credit institutions.

(1)

Type of electronic money issuer

(2)

Return

(3)

Format

(4)

Reporting Frequency

(5)

Due date (Note 4)

Authorised electronic money institution (Note 1)

Balance sheet

FSA059

Half yearly (Note 3)

30 business days

Income statement

FSA060

Half yearly (Note 3)

30 business days

Capital requirements

FSA061

Half yearly (Note 3)

30 business days

Safeguarding

FSA062

Half yearly (Note 3)

30 business days

Supplementary information

FSA063

Half yearly (Note 3)

30 business days

Annual report and accounts

No standard format

Annual (Note 3)

80 business days

Small electronic money institutions (Note 2)

Return

FSA064

Half yearly (note 5)

30 business days

Total electronic money outstanding @ 31st December

FSA065

Annual (Note 5)

1 month

Annual report and accounts

No standard format

Annual (Note 5)

80 business days

(a) the Post Office Limited

(b) the Bank of England, the ECB and the national central banks of EEA States other than the United Kingdom

(c) Government departments and local authorities

(d) credit unions

(e) municipal banks

(f) the National Savings Bank

Average outstanding electronic money

No standard format

Half yearly (Note 6)

30 business days

Note 1

When submitting the completed returns required, the authorised electronic money institution must use the format of the returns set out in SUP 16 Annex 30A to SUP 16 Annex 30E.

Note 2

When submitting the completed returns required, the small electronic money institution must use the format of the returns set out in SUP 16 Annex 30F to SUP 16 Annex 30G.

Note 3

Where the authorised electronic money institution's reporting frequency is half yearly or annual, this field is calculated from the authorised electronic money institution'saccounting reference date.

Note 4

The due dates for returns are the last day of the periods given in column (5) of the table above following the relevant reporting frequency period set out in column (4) of the table above.

Note 5

The reporting frequency in relation to FSA065 is calculated from 31 December each calendar year. Otherwise, where the small electronic money institution's reporting frequency is half yearly or annual, this field is calculated from the small electronic money institution'saccounting reference date.

Note 6

This is calculated from 31 December each calendar year.
CASS 11.1.4RRP

Subject to CASS 11.1.6 R, only the rules and guidance in the debt management client money chapter listed in the table below apply to CASS small debt management firms.

Reference

Rule

CASS 11.1.1 R to CASS 11.1.4 R and CASS 11.1.6 R

Application

CASS 11.2.1 R to CASS 11.2.9 G

Firm classification

CASS 11.3.1 R to CASS 11.3.2 R and CASS 11.3.6 R

Responsibility for CASS operational oversight

CASS 11.4.1 G to CASS 11.4.4 G

Definition of client money and discharge of fiduciary duty

CASS 11.5.1 R and CASS 11.5.2 R

Organisational requirements

CASS 11.6.1 R and CASS 11.6.2 G

Statutory trust

CASS 11.7.1 G and CASS 11.7.5 G

Selecting an approved bank at which to hold client money

CASS 11.8.1 G to CASS 11.8.13 R

Client bank account acknowledgement letters

CASS 11.9.1 R to CASS 11.9.13 G

Segregation and the operation of client money accounts

CASS 11.10.1 R to CASS 11.10.7 G

Payments to creditors

CASS 11.11.1 R to CASS 11.11.12 R , CASS 11.11.30 R and CASS 11.11.32 G

Records, accounts and reconciliations

CASS 11.12.1 G to CASS 11.12.7 R

CASS 11 resolution pack

CASS 11.13.1 R to CASS 11.13.14 R

Client money distribution in the event of a failure of a firm or approved bank
MIPRU 4.1.4RRP
This chapter does not apply to:(1) a bank; or(2) a building society; or(3) a solo consolidated subsidiary of a bank or a building society ; or(4) an insurer; or(5) a friendly society.
IFPRU 1.1.13GRP
A firm whose head office is not in an EEA State is an investment firm if it would have been subject to the requirements imposed by MiFID (but it is not a bank, building society, credit institution, local, exempt CAD firm and BIPRU firm) if: (1) its head office had been in an EEA State; and(2) it had carried on all its business in the EEA and had obtained whatever authorisations for doing so as are required under MiFID.
CASS 12.2.2GRP
The FCA understands that in complying with condition 2(g) of the Part 30 exemption order, a firm is representing that it will not:(1) make use of the opt-out arrangements in CASS 7.1.7C G to CASS 7.1.7G G; or(2) conduct business to which the client money rules do not apply because of the exemption for CRD credit institutions and approved banks in CASS 7.1.8 R to CASS 7.1.11A R; or(3) enter into any arrangement relating to the transfer of full ownership of the client's money to
CASS 11.12.4RRP
The documents in CASS 11.12.3 R that a CASS debt management firm must include within its CASS 11 resolution pack are:(1) a master document containing information sufficient to retrieve each document in the firm'sCASS 11 resolution pack;(2) a document which identifies all the approved banks with whom client money may be deposited;(3) a document which identifies each appointed representative, field representative or other agent of the firm which may receive client money in its capacity
SUP 14.1.4GRP
This chapter gives guidance on the Act and the EEA Passport Rights Regulations made under the Act, for an incoming EEA firm which has established a branch in, or is providing cross border services into, the United Kingdom and wishes to change the details of the branch or cross border services. [Note: An EEA bank is required to comply with the requirements set out in the directly applicable regulations adopted under Articles 35, 36 and 39 CRD.] 95