Related provisions for GENPRU 2.2.221

BIPRU 3.6.21R01/01/2007

Notwithstanding BIPRU 3.6.20 R, when an exposure arises through a firm's participation in a loan that has been extended by a multilateral development bank whose preferred creditor status is recognised in the market, the credit assessment on the obligors' domestic currency item may be used for risk weighting purposes.[Note: BCD Annex VI Part 3 point 17]

SUP 15.4.1R01/04/2013

(1) An overseas firm, which is not an incoming firm, must notify the appropriate regulator8 within 30 business days of any person taking up or ceasing to hold the following positions:8(a) the firm's worldwide chief executive (that is, the person who, alone or jointly with one or more others, is responsible under the immediate authority of the directors for the whole of its business) if the person is based outside the United Kingdom;(b) the person within the overseas firm with

SUP 10A.17.2G01/04/2013

If the firm or its advisers have further questions, they should contact the FCA's Contact Centre (see SUP 10A.12.6 G).

GENPRU 3.2.1R01/01/2007

GENPRU 3.2 applies to every firm that is a member of a third-country group. But it does not apply to:(1) an incoming EEA firm; or(2) an incoming Treaty firm; or(3) a UCITS qualifier; or(4) an ICVC.

BIPRU 2.1.2G01/01/2014

3Pursuant to the third paragraph of article 95(2) of the EUCRR, the purpose of this section is to implement Articles 70 and 118 of the Banking Consolidation Directive3so far as they apply under Articles 2 and 28 of the Capital Adequacy Directive to CAD investment firms3 that are subject to the requirements imposed by MiFID (or which would have been subject to that Directive if its head office were in an EEA State), but excluding a bank, building society, a credit institution,

CASS 8.2.4G01/01/2013

The instructions referred to at CASS 8.2.1 R (4) are all instructions given by a firm to another person who also has a relationship with the firm'sclient. For example, the other person may be the client'sbank, intermediary, custodian or credit card provider. This means, for example, that any means by which a firm can control a client's money or assets for which it is itself responsible to the client (rather than any other person) would not amount to a mandate. This includes where

FEES 7.2.12G01/04/2013

Table of FEES 4 rules that correspond to FEES 7 rules

FEES 4 rules	Corresponding FEES 7 rules
FEES 4.2.1 R	FEES 7.2.1 R
FEES 4.3.1 R	FEES 7.2.2 R
FEES 4.3.3 R	FEES 7.2.2 R1
1FEES 4.3.3A R	FEES 7.2.2 R
FEES 4.3.12 R	FEES 7.2.5 R1
1FEES 4.3.12A R	FEES 7.2.5 R
Part 1 of 6FEES 4 Annex 2A6	Part 1 of FEES 7 Annex 11
1Part 2 of FEES 4 Annex 11	Part 1 of FEES 7 Annex 1
1Part 5 of FEES 4 Annex 11	Part 1 of FEES 7 Annex 1

INSPRU 3.2.38AR31/12/2006

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

MIPRU 4.1.4R01/01/2007

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.

COLL 5.5.4R28/02/2014

(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

GEN 2.2.25G04/12/2015

35Examples of rules being interpreted as cut back by GEN 2.2.23 R include the following:(1) [deleted]1212(2) SYSC 6.1.1 R requires a firm to maintain adequate policies and procedures to ensure compliance with its obligations under the regulatory system; SYSC 6.1.1 R should be interpreted:(a) as applied by the FCA in respect of a PRA-authorised person's compliance with regulatory obligations that are the responsibility of the FCA (for example, in respect of a bank maintaining policies

PERG 8.25.2G01/07/2005

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 16.15.8D30/04/2011

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's accounting 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's accounting reference date.
Note 6	This is calculated from 31 December each calendar year.

Related provisions for GENPRU 2.2.221

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