Related provisions for SUP 16.11.5A

SUP 16.12.18BR21/03/2016

The applicable data items, reporting frequencies and submission deadlines referred to in SUP 16.12.4 R are set out in the table below. Reporting frequencies are calculated from a firm's accounting reference date, unless indicated otherwise. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period.

46Description of data item	Data item (note 1)	Frequency	Submission deadline
Balance Sheet	Sections A.1 and A.2 MLAR	Quarterly	20 business days
Income Statement	Sections B.0 and B.1 MLAR	Quarterly	20 business days
Capital Adequacy (note 4)58	Section C MLAR	Quarterly	20 business days
Lending - Business flow and rates	Section D MLAR	Quarterly	20 business days
Residential Lending to individuals - New business profile	Section E MLAR	Quarterly	20 business days
Lending - arrears analysis	Section F MLAR	Quarterly	20 business days
Mortgage Administration - Business Profile	Section G MLAR	Quarterly	20 business days
Mortgage Administration - Arrears analysis	Section H MLAR	Quarterly	20 business days
Analysis of loans to customers	Section A3 MLAR	Quarterly	20 business days
Provisions analysis	Section B2 MLAR	Quarterly	20 business days
Fees and Levies	Section J MLAR	Annually	30 business days
Sale and rent back	Section K MLAR	Annually	30 business days
Credit Risk (notes 2 and 4)58 58	Section L MLAR	Quarterly	20 business days
Liquidity (notes 3 and 4)58 58	Section M MLAR	Quarterly	20 business days
Note 1	When submitting the completed data item required, a firm must use the format of the data item set out in SUP 16 Annex 19A. Guidance notes for the completion of the data items are set out in SUP 16 Annex 19B.
Note 2	Only applicable to a firm that has one or more exposures that satisfy the conditions set out in MIPRU 4.2A.4 R, and: - has permission to carry on any home financing which is connected to regulated mortgage contracts; or - has permission to carry on home financing and home finance administration which is connected to regulated mortgage contracts (and no other activity); or - has permission to carry on home finance administration which is connected to regulated mortgage contracts and has all or part of the home finance transactions that it administers on its balance sheet.
Note 3	Only applicable to a firm that:64 – is subject to MIPRU 4.2D;64 – 64has no restriction to its Part 4A permission preventing it from undertaking new home financing or home finance administration connected to regulated mortgage contracts; and - has permission to carry on any home financing or home finance administration connected to regulated mortgage contracts.
Note 4	Not applicable if the firm exclusively carries on home finance administration or home finance providing activities in relation to second charge regulated mortgage contracts or legacy CCA mortgage contracts (or both)66.

SUP 16.12.18CR21/03/2016

58Additional applicable data items, reporting frequencies and submission deadlines referred to in SUP 16.12.4 R are set out in the table below for a firm carrying on home finance administration or home finance providing activities in relation to second charge regulated mortgage contracts. Reporting frequencies are calculated from a firm's accounting reference date, unless indicated otherwise. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period.

Description of data item	Data item (note 1)	Frequency	Submission deadline
Analysis of second charge loans to customers	Section A4 64MLAR	Quarterly	20 business days
Second charge business flow and rates	Section D1 64MLAR	Quarterly	20 business days
Second charge lending to individuals	Section E1 64MLAR	Quarterly	20 business days
Second charge lending - arrears analysis	Section F1 MLAR64	Quarterly	20 business days
Second charge mortgage administration - arrears analysis	Section H1 MLAR64	Quarterly	20 business days
Note 1	When submitting the completed data item required, a firm must use the format of the data item set out in SUP 16 Annex 19AA R. Guidance notes for the completion of the data items are set out in SUP 16 Annex 19B.

SUP 16.12.28AR21/03/2016

2The applicable data items, reporting frequencies and submission deadlines referred to in SUP 16.12.4 R are set out in the table below. Reporting frequencies are calculated from a firm's accounting reference date, unless indicated otherwise. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period.

Description of data item 11	Data item 11 (note 1)	Frequency		Submission deadline
		Annual regulated business revenue up to and including £5 million	Annual regulated business revenue over £5 million
Balance Sheet	Section A RMAR	Half yearly	Quarterly	30 business days
Income Statement	Section B RMAR	Half yearly	Quarterly	30 business days
Capital Adequacy (note 3)58	Section D1 RMAR	Half yearly	Quarterly	30 business days
Professional indemnity insurance (note 2)11	Section E RMAR	Half yearly	Quarterly 11 11	30 business days
Threshold Conditions	Section F RMAR	Half yearly	Half yearly	30 business days
Training and Competence	Section G RMAR	Half yearly	Half yearly	30 business days
COBS11 data	Section H RMAR	Half yearly	Half yearly	30 business days
Supplementary product sales data	Section I RMAR	Half yearly11 11	Annually	30 business days
Client money and client assets (note 3)58	Section C RMAR	Half yearly	Quarterly	30 business days
Fees and levies	Section J RMAR	Annually	Annually	30 business days
Note 1	When submitting the completed data item required, a firm must use the format of the data item set out in SUP 16 Annex 18A. Guidance notes for the completion of the data items is set out in SUP 16 Annex 18B.
11Note 2	This item only applies to firms that may be subject to an FSA requirement to hold professional indemnity insurance and are not exempt CAD firms.
58Note 3	This item does not apply to firms who only carry on home finance mediation activities exclusively in relation to second charge regulated mortgage contracts or legacy CCA mortgage contracts (or both)66 and who are not otherwise expected to complete it by virtue of carrying out other regulated activities.

SUP 16.11.1R01/01/2015

This section2 applies:935510(1) in relation to sales data reports, to a firm:1010(a) which is a home finance provider; or(b) which has permission to enter into a regulated credit agreement as lender in respect of high-cost short-term credit or home credit loan agreements; or(c) which is, in respect of sales to a retail client or a consumer:(i) an insurer; or(ii) the manager of an authorised AIF or a UCITS scheme; or(iii) the operator of an investment trust savings scheme, or a

SUP 16.11.2G01/01/2015

(1) The purpose of this section2 is to set out the requirements for firms in the retail mortgage, investment, consumer credit lending8 and pure protection contract markets specified in SUP 16.11.1 R to report individual product sales data, and to report individual performance data on regulated mortgage contracts,7 to the FCA17. In the case of firms in the sale and rent back market, there is a requirement to record, but not to submit, sales7data.6 These requirements apply6 whether

SUP 16.11.3R01/01/2015

(1) A firm must submit a report (a 'data report') containing the information required by:77(a) SUP 16.11.5 R (a 'sales data report') within 20 business days of the end of the reporting period; and7(b) for regulated mortgage contracts, SUP 16.11.5A R (a 'performance data report'), within 30 business days of the end of the reporting period; 7unless 11(3A) or (4) applies.7(2) The reporting periods are;77(a) 7for sales data reports, the four calendar quarters of each year beginning

FEES 4.4.9D01/04/2013

3To the extent that a firm4 has provided the information required by FEES 4.4.7 D to the FCA as part of its compliance with another provision of the Handbook, it is deemed to have complied with the provisions of that direction.444

Related provisions for SUP 16.11.5A

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