Related provisions for DISP 1.1.20

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SUP 16.13.4DRP

The table below sets out the format, reporting frequency and due date for submission in relation to regulatory returns that apply to authorised payment institutions and small payment institutions.

(1)

(2)

(3)

(4)

(5)

Type of firm

Return

Format

Reporting Frequency

Due date

Authorised Payment Institution

Authorised Payment Institution Capital Adequacy Return

FSA056 (Note 1)

Annual (Note 2)

30 business days (Note 3)

Small Payment Institution

Payment Services Directive Transactions

FSA057 (Note 4)

Annual (Note 5)

1 month (Note 3)

Note 1

When submitting the completed return required, the authorised payment institution must use the format of the return set out in SUP 16 Annex 27A D. Guidance notes for the completion of the return are set out in SUP 16 Annex 27B G.

Note 2

This reporting frequency is calculated from an authorised payment institution'saccounting reference date.

Note 3

The due dates 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 4

When submitting the completed return required, the small payment institution must use the format of the return set out in SUP 16 Annex 28A D. Guidance notes for the completion of the return are set out in SUP 16 Annex 28B G.

Note 5

This reporting frequency is calculated from 31 December each calendar year.
SUP App 3.10.1GRP
The guidance in Table 3 describes in broad outline the relationship between:4(1) the insurance-related regulated activities specified in the Regulated Activities Order; and(2) the activities within the scope of the Solvency II Directive77
SYSC 22.5.10GRP
(1) SYSC 22.2.2R(1) to (3) normally has a six year time limit. SYSC 22.2.2R(3)(c) removes that time limit for serious matters. This paragraph (SYSC 22.5.10G) and SYSC 22.5.11G have guidance about this. This guidance is also relevant to the time limits for updating references in SYSC 22.2.6R.(2) The removal of the time limit does not mean that the time that has elapsed since the matter occurred is irrelevant. The length of time that has elapsed is relevant to deciding whether the
SUP 10A.17.2GRP
If the firm or its advisers have further questions, they should contact the FCA's Contact Centre (see SUP 10A.12.6 G).
SYSC 9.1.-2RRP
[deleted]1
CASS 11.1.4RRP

Subject to CASS 11.1.6 R, only the rules and guidance in the debt management client money chapter listed in the table below apply to CASS small debt management firms.

Reference

Rule

CASS 11.1.1 R to CASS 11.1.4 R and CASS 11.1.6 R

Application

CASS 11.2.1 R to CASS 11.2.9 G

Firm classification

CASS 11.3.1 R to CASS 11.3.2 R and CASS 11.3.6 R

Responsibility for CASS operational oversight

CASS 11.4.1 G to CASS 11.4.4 G

Definition of client money and discharge of fiduciary duty

CASS 11.5.1 R and CASS 11.5.2 R

Organisational requirements

CASS 11.6.1 R and CASS 11.6.2 G

Statutory trust

CASS 11.7.1 G and CASS 11.7.5 G

Selecting an approved bank at which to hold client money

CASS 11.8.1 G to CASS 11.8.13 R

Client bank account acknowledgement letters

CASS 11.9.1 R to CASS 11.9.13 G

Segregation and the operation of client money accounts

CASS 11.10.1 R to CASS 11.10.7 G

Payments to creditors

CASS 11.11.1 R to CASS 11.11.12 R , CASS 11.11.30 R and CASS 11.11.32 G

Records, accounts and reconciliations

CASS 11.12.1 G to CASS 11.12.7 R

CASS 11 resolution pack

CASS 11.13.1 R to CASS 11.13.14 R

Client money distribution in the event of a failure of a firm or approved bank
ICOBS 1.1.4GRP
Guidance on the application provisions is in ICOBS 1 Annex 1 (Part 4).