Related provisions for SUP App 3.6.1

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IFPRU 1.2.1GRP
Throughout CRD and the EU CRR there are various policies which have restricted application based on a firm's scope, nature, scale, internal organisation and complexity. These policies are provided in the following:(1) article 76 of CRD on the establishment of an independent risk committee;(2) article 88 of CRD on the establishment of an independent nominations committee;(3) article 91 of CRD on the limitations on the number of directorships an individual may hold;(4) article 95
GENPRU 3.1.14GRP
The capital adequacy provisions of GENPRU 3.1 are designed to be applied to EEA-based financial conglomerates.
SYSC 19C.1.2GRP
Part 2 of SYSC 1 Annex 1 provides for the application of SYSC 4.1.1 R and SYSC 4.1.1C R (General Requirements). In particular, and subject to the provisions on group risk systems and controls requirements in SYSC 12, this means that: (1) the BIPRU Remuneration Code: (a) applies to regulated activities, ancillary activities and applicable ancillary services; (b) applies to the carrying on of unregulated activities in a prudential context; and (c) takes into account activities of
SUP 16.15.8DRP

The table below sets out the format, reporting frequency and due date for submission in relation to regulatory returns that apply to electronic money issuers that are not credit institutions.

(1)

Type of electronic money issuer

(2)

Return

(3)

Format

(4)

Reporting Frequency

(5)

Due date (Note 4)

Authorised electronic money institution (Note 1)

EMI and SEMI Questionnaire 3

FIN0603

Annual 3 (Note 3)

30 business days

3

3

3

3

3

Small electronic money institutions (Note 2)

EMI and SEMI Questionnaire 3

FIN0603

Annual3 (Note 5)

30 business days

Total electronic money outstanding @ 31st December

FSA065

Annual (Note 5)

1 month3

3

(a) the Post Office Limited

(b) the Bank of England, the ECB and the national central banks of EEA States other than the United Kingdom

(c) Government departments and local authorities

(d) credit unions

(e) municipal banks

(f) the National Savings Bank

Average outstanding electronic money

No standard format

Annual 3 (Note 6)

30 business days

Note 1

When submitting the completed returns required, the authorised electronic money institution must use the format of the returns set out in SUP 16 Annex 30HD. Guidance notes for the completion of the return are set out in SUP 16 Annex 30IG3.

Note 2

When submitting the completed returns required, the small electronic money institution must use the format of the returns set out in SUP 16 Annex 30JD (FIN060) and SUP 16 Annex 30GD (FSA065). Guidance notes for the completion of the FIN060 return are set out in SUP 16 Annex 30KG3.

Note 3

This3 field is calculated from the authorised electronic money institution'saccounting reference date.

Note 4

The due dates for returns 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 5

The reporting frequency in relation to FSA065 is calculated from 31 December each calendar year. In relation to FIN060,3 this field is calculated from the small electronic money institution'saccounting reference date.

Note 6

This is calculated from 31 December each calendar year.
IPRU-INV 14.2.1RRP
For the purposes of the rules in this chapter, a firm's group means the firm and: (1) any EEA parent in the group which is a financial holding company, a credit institution, or an investment firm; (2) any credit institution, investment firm or financial institution which is a subsidiary either of the firm or of the firm'sEEA parent
PERG 5.7.8GRP
A 'relevant insurer' for the purposes of article 39B means:(1) an authorised person who has permission for effectingand carrying out contracts of insurance; or(2) a member of the Society of Lloyd's or the members of the Society of Lloyd's taken together; or(3) an EEA firm that is an insurer; or(4) a reinsurer, being a person whose main business consists of accepting risks ceded by a person falling under (1), (2) or (3) or a person who is established outside the United Kingdom
SYSC 10A.1.2GRP
Where this chapter applies to a third country investment firm, it applies in conjunction with GEN 2.2.22AR, to ensure that such firms are not treated in a more favourable way than an EEA firm.
BIPRU 3.3.6GRP
The list of eligible ECAIs includes those who have been recognised as eligible for exposurerisk weighting purposes by a competent authority of another EEA State and are subsequently recognised as eligible ECAIs by the appropriate regulator without carrying out its own evaluation process under Regulation 22(2) of the Capital Requirements Regulations 2006.
LR 2.2.10RRP
(1) This rule applies if under the Act or under the law of another EEA State:(a) a prospectus must be approved and published for the securities; or(b) the applicant is permitted and elects to draw up a prospectus for the securities.(2) To be listed:(a) a prospectus must have been approved by the FCA and published in relation to the securities; or(b) if another EEA State is the Home Member State for the securities, the relevant competent authority must have supplied the FCA with:(i)
MIPRU 5.2.3ERP
(1) A firm should:(a) before using the services of the intermediary, check:(i) the Financial Services Register; or(ii) in relation to insurance distribution or reinsurance distribution4 carried on by an EEA firm, the register of its Home State regulator;for the status of the person4; and(b) use the services of that person4 only if the relevant register indicates that the person4 is registered for that purpose.(2) (a) Checking the Financial Services Register before using the services
BIPRU 1.1.23RRP
(1) Dealing on own account means (for the purpose of GENPRU and BIPRU) the service of dealing in any financial instruments for own account as referred to in point 3 of Section A of Annex I to MiFID, subject to (2) and (3).99(2) In accordance with article 5(2) of the Capital Adequacy Directive (Definition of dealing on own account), a CAD investment firm that executes investors' orders for financial instruments and holds such financial instruments for its own account does not for
SYSC 5.2.42RRP
[deleted] 8
BIPRU 5.7.12RRP
In the case of guarantees provided in the context of mutual guarantee schemes recognised for these purposes by another EEA competent authority under a CRD implementation measure with respect to point 19 of Part 2 of Annex VIII of the Banking Consolidation Directive or provided by or counter-guaranteed by entities referred to in BIPRU 5.7.9 R, the requirements in BIPRU 5.7.11 R (1) – (3) will be satisfied where either of the following conditions are met:(1) the lending firm has
GEN 4.1.4RRP
3GEN 4.5 (Statements about authorisation and regulation by the appropriate regulator9) applies in relation to activities carried on from an establishment maintained by the firm (or by its appointed representative) in the United Kingdom, provided that, in the case of the MiFID business of an EEAMiFID investment firm or the activities of an EEA UCITS management company,4 it only applies to business conducted within the territory of the United Kingdom. In relation to regulated claims
EG 19.23.2RP
1In addition to its powers that apply to authorised electronic money institutions, generally the FCA has the power to prohibit or restrict the carrying out of certain regulated activities by EEA authorised electronic money institutions.
SUP 12.8.6RRP
3If a UK MiFID investment firm has appointed an EEA tied agent this section applies to that firm as though the EEA tied agent were an appointed representative.
PERG 9.1.5GRP
Open-ended investment companies constituted in other EEA States which are seeking to exercise rights conferred by the UCITS Directive should refer to COLL 9 (Recognised schemes) for guidance on the requirements of section 264 of the Act (Schemes constituted in other EEA States). Those seeking to exercise rights under AIFMD should refer to FUND 10 (Operating on a cross-border basis).42