Related provisions for COLL 6.6B.14

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CASS 1.4.7RRP
Subject to CASS 1.4.6 R, 5CASS applies to a depositary, when acting as such, with the following general modifications9: 'client' means 'trustee', 'trust', 'AIF', 'AIFM acting on behalf of the AIF', ‘UCITS scheme’, ‘authorised fund manager acting on behalf of the UCITS scheme’, 9or 'collective investment scheme', as appropriate.555
SUP 13.4.4GRP
8(2) [deleted]17(2A) 8(a) If the UK firm'sEEA right derives from the Insurance Mediation Directive, and the EEA State in which the UK firm is seeking to provide services has notified the European Commission of its wish to be informed of the intention of persons to provide cross border services in its territory in accordance with article 6(2) of that directive, paragraph 20(3B)(a) of Part III of Schedule 3 to the Act requires the appropriate UK regulator20 to send a copy of the
COBS 11.3.1RRP
(1) A firm (other than a management company providing collective portfolio management services)1 which is authorised to execute orders on behalf of clients must implement procedures and arrangements which provide for the prompt, fair and expeditious execution of client orders, relative to other orders or the trading interests of the firm.[Note: paragraph 1 of article 22(1) of MiFID](2) These procedures or arrangements must allow for the execution of otherwise comparable orders
GENPRU 3.2.9RRP
If the Part 4A permission of a firm contains a requirement obliging it to comply with this rule with respect to a third-country banking and investment group of which it is a member, it must comply, with respect to that third-country banking and investment group, with the rules in Part 2 of GENPRU 3 Annex 2, as adjusted by Part 3 of that annex.
PERG 8.12.38GRP
Article 20B gives effect to the provisions of the E- Commerce Directive by exemptingelectronic commerce communications made from an establishment in an EEA State other than the United Kingdom to an ECA recipient in the United Kingdom2. However, article 20B does not apply to the following communications:2(1) an advertisement by the operator of a UCITS of units in that scheme; or(2) an invitation or inducement to enter into a contract of insurance where:(a) it is made by an undertaking
CASS 6.1.16IFGRP
(1) 12A firm (Firm A) to which another firm acting as trustee or depositary of a UCITS (Firm B) has delegated safekeeping functions under COLL 6.6B.25R (Delegation: safekeeping) will not itself be acting as trustee or depositary of a UCITS for that UCITS scheme.(2) CASS 6.1.16IDR will not apply to Firm A for that UCITS scheme. (3) However, Firm A may be safeguarding and administering investments in respect of that UCITS scheme.
SUP 16.12.19ARRP

2The applicable data items8referred to in SUP 16.12.4 R are set out according to type of firm8 in the table below:

88

Description of data item11

Firm's prudential category and applicable data item (note 1)

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

FSA034 or FSA035 or FIN07152or FIN072 69 (note 4)11

FSA031

FSA032 or Section D1 62RMAR (notes 5 and 7)20

5050		 4311

5Threshold conditions

Section F RMAR (Note 7)24

Client money and client assets

FSA039

FSA039

FSA039

Section C RMAR (note 7) or 5FSA039

11

43

69Pillar 2 questionnaire

FSA019 (note 8)

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.

Note 2

[deleted]24

24

Note 3

[deleted]11

11

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)R75, unless (1)75 it calculates its own funds requirement in accordance with IPRU(INV)rule 5.2.3(4)(a)(i), in which case FIN071 must be completed or (2) the firm is the depositary of a UCITS scheme in which case, FIN072 must be completed75.52

6969

Note 5

FSA032 must be completed by a firm subject to IPRU(INV) Chapter 13 which is an exempt CAD firm.

5

50

Note 6

Only applicable to a firm that is a partnership, when the report must be submitted by each partner.

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

69Note 8

Only applicable to a firm that is the depositary of a UCITS scheme.