Related provisions for IFPRU 7.1.7
Reports of transactions made in accordance with Articles 25 (3) and (5) of MiFID shall contain the information specified in SUP 17 Annex 1 EU which is relevant to the type of financial instrument in question and which the FCA declares is not already in its possession or is not available to it by other means. |
[Note: article 13(1) of the MiFID Regulation.] |
A firm or qualifying parent undertaking must send its recovery plan or group recovery plan to the FCA within three months of the reporting reference dates specified in the table below:
Type of firm or qualifying parent undertaking |
Type of plan |
Total balance sheet assets (see SUP 16.20.3 G) |
First reporting reference date |
Ongoing reporting reference date |
firm or qualifying parent undertaking in an RRD group that includes an IFPRU 730k firm that is a significant IFPRU firm or does not include an IFPRU 730k firm |
More than £2.5 billion |
30 June 2015 |
Every year on the same date as the first reporting reference date. |
|
More than £1 billion and less than £2.5 billion |
30 September 2015 |
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More than £500 million and less than £1 billion |
31 December 2015 |
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Less than £500 million |
31 March 2016 |
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More than £2.5 billion |
30 June 2015 |
Every year on the same date as the first reporting reference date. |
||
More than £1 billion and less than £2.5 billion |
30 September 2015 |
|||
More than £500 million and less than £1 billion |
31 December 2015 |
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Less than £500 million |
31 March 2016 |
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firm or qualifying parent undertaking in an RRD group that includes an IFPRU 730k firm that is not a significant IFPRU firm (but does not include an IFPRU 730k firm that is a significant IFPRU firm) |
More than £50 million and less than £500 million |
30 September 2015 |
Every two years on the same date as the first reporting reference date. |
|
More than £15 million and less than £50 million |
31 December 2015 |
|||
More than £5 million and less than £15 million |
31 March 2016 |
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Less than £5 million |
30 June 2016 |
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More than £50 million and less than £500 million |
30 September 2015 |
Every two years on the same date as the first reporting reference date. |
||
More than £15 million and less than £50 million |
31 December 2015 |
|||
More than £5 million and less than £15 million |
31 March 2016 |
|||
Less than £5 million |
30 June 2016 |
[Note: articles 4(1)(b) and 6(1) of RRD]
A firm or qualifying parent undertaking must send the information required for a resolution plan to the FCA within three months of the reporting reference dates specified in the table below:
Type of firm or qualifying parent undertaking |
First reporting reference date |
Ongoing reporting reference date |
firm or qualifying parent undertaking in an RRD group that includes an IFPRU 730k firm that is a significant IFPRU firm or does not include an IFPRU 730k firm |
30 June 2015 |
Every two years on the same date as the first reporting reference date. |
30 June 2015 |
Every two years on the same date as the first reporting reference date. |
|
firm or qualifying parent undertaking in an RRD group that includes an IFPRU 730k firm that is not a significant IFPRU firm (but does not include an IFPRU 730k firm that is a significant IFPRU firm) |
31 December 2015 |
Every three years on the same date as the first reporting reference date. |
31 December 2015 |
Every three years on the same date as the first reporting reference date. |
[Note:articles 4(1)(b), 11(1) and 13(1) of RRD]