Related provisions for LR 11.1.7B
Information and supporting documentation (see REC 5.2.4 G).
(1) |
Details of the applicant's constitution, structure and ownership, including its memorandum and articles of association (or similar or analogous documents ) and any agreements between the applicant, its owners or other persons relating to its constitution or governance (if not contained in the information listed in REC 5.2.3A G)1. An applicant for RAP status must provide details of the relationship between the governance arrangements in place for the UK RIE and the RAP.3 |
(2) |
Details of all business to be conducted by the applicant, whether or not a regulated activity (if not contained in the information listed in REC 5.2.3A G)1. |
(3) |
Details of the facilities which the applicant plans to operate, including details of the trading platform or (for an RAP) auction platform,3 settlement arrangements, clearing facilitation services5 and custody services which it plans to supply. An applicant for RAP status must provide details on the relationship between the auction platform and any secondary market in emissions auction products4 which it operates or plans to operate.3 54 |
(4) |
Copies of the last three annual reports and accounts and, for the current financial year, quarterly management accounts. |
(5) |
Details of its business plan for the first three years of operation as a UK recognised body (if not contained in the information listed in REC 5.2.3A G)1. |
(6) |
A full organisation chart and a list of the posts to be held by key individuals (with details of the duties and responsibilities) and the names of the persons proposed for these appointments when these names are available (if not contained in the information listed in REC 5.2.3A G)1. |
(7) |
Details of its auditors, bankers, solicitors and any persons providing corporate finance advice or similar services (such as reporting accountants) to the applicant. |
(8) |
Details of any relevant functions to be outsourced or delegated, with copies of relevant agreements. |
(9) |
Details of information technology systems and of arrangements for their supply, management, maintenance and upgrading, and security. |
(10) |
Details of all plans to minimise disruption to operation of its facilities in the event of the failure of its information technology systems. |
(11) |
Details of internal systems for financial control, arrangements for risk management and insurance arrangements to cover operational and other risks. |
(12) |
Details of its arrangements for managing any counterparty risks. 5 |
(13) |
Details of internal arrangements to safeguard confidential or privileged information and for handling conflicts of interest. |
(14) |
Details of arrangements for complying with the notification rules and other requirements to supply information to the FCA5. 5 |
(15) |
Details of the arrangements to be made for monitoring and enforcing compliance with its rules and with its clearing, settlement and default arrangements. |
(16) |
A summary of the legal due diligence carried out in relation to ascertaining the enforceability of its rules (including default rules) and the results and conclusions reached. 5 |
(17) |
Details of the procedures to be followed for declaring a member in default, and for taking action after that event to close out positions, protect the interests of other members and enforce its default rules. |
(18) |
Details of membership selection criteria, rules and procedures, including (for an RAP) details of how the rules of the UK RIE will change in order to reflect RAP status.3 |
(19) |
Details of arrangements for recording transactions effected by, or cleared through, its facilities. |
(20) |
Details of arrangements for detecting financial crime and market abuse , including arrangements for complying with money laundering law. |
(21) |
Details of criteria, rules and arrangements for selecting specified investments to be admitted to trading on (or cleared by) an RIE and, where relevant, details of how information regarding specified investments will be disseminated to users of its facilities. 5 |
(22) |
Details of arrangements for cooperating with the FCA5 and other appropriate authorities, including draft memoranda of understanding or letters. 5 |
(23) |
Details of the procedures and arrangements for making and amending rules, including arrangements for consulting on rule changes. |
(24) |
Details of disciplinary and appeal procedures, and of the arrangements for investigating complaints. |
Method of submission of reports (see SUP 16.3.8 R)
Method of delivery |
|
1. |
Post or hand deliver33 to the published address of the FCA49 for submission of reports. If hand delivering mark the report for the attention of ‘Central Reporting’ and obtain a dated receipt.33 49 |
2. |
[deleted]33 224949 |
3. |
Electronic mail to the published e-mail address 33of the FCA's49 Central Reporting team.22 2249 |
4.22 |
Online submission via the appropriate systems accessible from the22FCA28 website 4949822 |
8
- (1)
The 33published address of the FCA49 for postal submission of reports is:
49Central Reporting22
The Financial Conduct49 Authority
49PO BOX 35747
London E14 5WP
- (2)
The 33published address of the FCA49 for hand delivery of reports is:
49- (a)
Central Reporting22
The Financial Conduct Authority38
494912 Endeavour Square35
London, E20 1JN35
if the firm's usual supervisory contact at the FCA28 is based in London, or:
4949 - (b)
Central Reporting33
The Financial Conduct Authority38
4949Quayside House
127 Fountainbridge
Edinburgh EH3 8DJ
if the firm's usual supervisory contact at the FCA49 is based in Edinburgh.2
49
- (a)
- (3)
The current published email address 33for the FCA’s Central Reporting team is regulatory.reports@fca.org.uk. Please note that the 33Central Reporting team does not handle general correspondence between firms and the FCA, and will not respond to queries3338. Accordingly, firms should not make submissions to the Central Reporting team’s email address33 other than as directed in SUP 16.3.8R.
2233494949332833494933