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,3small payment institutions, EEA authorised payment institutions and registered account information service providers3.

(1)

(2)

(3)

(4)

(5)

Type of payment service provider3

Return

Format

Reporting Frequency

Due date

authorised payment institution3

Authorised Payment Institution Capital Adequacy Return

FSA056 (Note 1)

Annual (Note 2)

30 business days (Note 3)

3registered account information service provider

Authorised Payment Institution Capital Adequacy Return

FSA056 (Note 1)

Annual (Note 2)

30 business days (Note 3)

3small payment institution

Payment Services Directive Transactions

FSA057 (Note 4)

Annual (Note 5)

1 month3 (Note 3)

Note 1

When submitting the completed return required, the authorised payment institution or registered account information service provider3 must use the format of the return set out in SUP 16 Annex 27CD3. Guidance notes for the completion of the return are set out in SUP 16 Annex 27DG3.

Note 2

This reporting frequency is calculated from an authorised payment institution's or registered account information service provider’s 3accounting 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 28CD3. Guidance notes for the completion of the return are set out in SUP 16 Annex 28DG3.

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
DISP 1.1A.7RRP

The table below sets out how DISP 1.1A applies to MiFID complaints relating to:

  1. (1)

    the activities of a MiFID investment firm carried on from an establishment in the United Kingdom;

  2. (2)

    the equivalent business of a third country investment firm where the complaint is received from a retail client or an elective professional client;

  3. (3)

    activities carried on from a branch of a UK firm in another EEA State; and

  4. (4)

    activities carried on from a branch of an EEA firm in the United Kingdom.

Table: Application of DISP 1.1A to the MiFID business of firms in the UK, and the equivalent business of third country investment firms, branches of UK firms and UK branches of EEA firms

(1) Provision

(2) Provision applies to the MiFID business of a firm carried on from an establishment in the UK?

(3) Provision applies to the equivalent third country business of a third country investment firm where the complaint is received from a retail client or an elective professional client?

(4) Provision applies to a branch of a UK firm in another EEA State?

(5) Provision applies to a branch of an EEA firm in the UK?

1.1A.10EU

Yes

Yes

Yes

Yes

1.1A.11R

Yes

Yes

No

Yes

1.1A.12EU

Yes

Yes

Yes

Yes

1.1A.13EU

Yes

Yes

Yes

Yes

1.1A.14G

Yes

Yes

Yes

No

1.1A.15G

Yes

Yes

Yes

No

1.1A.16EU

Yes

Yes

Yes

Yes

1.1A.17EU

Yes

Yes

Yes

Yes

1.1A.18EU

Yes

Yes

Yes

Yes

1.1A.19G

Yes

Yes

Yes

No

1.1A.20R

Yes

Yes

No

Yes

1.1A.21G

Yes

Yes

No

Yes

1.1A.22R

Yes

Yes

No

No

1.1A.23R

Yes

Yes

No

Yes

1.1A.24EU

Yes

Yes

Yes

Yes

1.1A.25EU

Yes

Yes

Yes

Yes

1.1A.26R

Yes

Yes

No

Yes

1.1A.27G

Yes

Yes

No

Yes

1.1A.28R

Yes

Yes

No

Yes

1.1A.29EU

Yes

Yes

Yes

Yes

1.1A.30EU

Yes

Yes

Yes

Yes

1.1A.31R

Yes

Yes

No

Yes

1.1A.32G

Yes

Yes

No

Yes

1.1A.33G

Yes

Yes

No

Yes

1.1A.34G

Yes

Yes

No

Yes

1.1A.35R

Yes

Yes

No

Yes

1.1A.36R

Yes

Yes

No

Yes

1.1A.37EU

Yes

Yes

Yes

Yes

1.1A.38EU

Yes

Yes

Yes

Yes

1.1A.39R

Yes

Yes

No

Yes

1.1A.40R

Yes

Yes

No

No

1.1A.41G

Yes

Yes

No

No

1.1A.42R

No

No

Yes

No

Notes

(1) The provisions marked “EU” in the table are ‘directly applicable’ which means they apply to all MiFID investment firms in relation to MiFID complaints by virtue of the MiFID Org Regulation.

(2) This table should be read in conjunction with the rules and guidance in DISP 1.1A.1R to DISP 1.1A.6R.

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
SYSC 9.1.-2GRP

5For a common platform firm:

  1. (1)

    the MiFID Org Regulation applies, as summarised in SYSC 1 Annex 1 3.2G, SYSC 1 Annex 1 3.2-AR and SYSC 1 Annex 1 3.2-BR; and

  2. (2)

    the rules and guidance apply as set out in the table below:

    Subject

    Applicable rule or guidance

    General requirements

    SYSC 9.1.1AR

    Guidance on record-keeping

    SYSC 9.1.4G, SYSC 9.1.5G, SYSC 9.1.6G
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).
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).