Related provisions for COLL 6.6A.12
2The applicable data items8referred to in SUP 16.12.4 R are set out according to type of firm8 in the table below:
88Firm's prudential category and applicable data item (note 1) |
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IPRU(INV) Chapter 3 |
IPRU(INV) Chapter 5 |
IPRU(INV) Chapter 9 |
IPRU(INV)Chapter 13 |
43 | |
Solvency statement (note 6)5 |
No standard format5 |
43 | |||
Balance sheet |
FSA029 11 |
FSA029 11 |
FSA029 |
FSA029 or Section A RMAR (note 7) 11 |
4311 |
Income statement |
FSA030 11 |
FSA030 11 |
FSA030 |
FSA030 or Section B RMAR (note 7) 11 |
4311 |
Capital adequacy |
FSA033 11 |
FSA031 |
FSA032 or Section D1 62RMAR (notes 5 and 7)20 5050 |
4311 | |
5Threshold conditions |
Section F RMAR (Note 7)24 |
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Client money and client assets |
FSA039 |
FSA039 |
FSA039 |
Section C RMAR (note 7) or 5FSA039 |
43 |
69Pillar 2 questionnaire |
FSA019 (note 8) |
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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 24. Guidance notes for completion of the data items are contained in SUP 16 Annex 25. |
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Note 2 |
[deleted]24 24 |
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Note 3 |
[deleted]11 11 |
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Note 4 |
FSA034 must be completed by a firm not subject to the exemption in IPRU(INV) 5.2.3(2)R. FSA035 must be completed by a firm subject to the exemption in IPRU(INV) 5.2.3(2)R, other than a firm that is the depositary of a UCITS scheme69. FIN072 must be completed by a firm if it is the depositary of a UCITS scheme.69 |
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Note 5 |
FSA032 must be completed by a firm subject to IPRU(INV) Chapter 13 which is an exempt CAD firm. 50 |
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Note 6 |
Only applicable to a firm that is a partnership, when the report must be submitted by each partner. |
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5Note 7 |
FSA029, FSA030, FSA032 and FSA03924 only apply to a firm subject to IPRU(INV) Chapter 13 which is an exempt CAD firm. Sections A, B, C, D1, 62and F24 RMAR only apply 11 to a firm subject to IPRU(INV) Chapter 13 which is not an exempt CAD firm. 1124 |
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69Note 8 |
Only applicable to a firm that is the depositary of a UCITS scheme. |
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