Related provisions for DISP App 1.6.5
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 Institution Capital Adequacy Return |
FSA056 (Note 1) |
Annual (Note 2) |
30 business days (Note 3) |
|
Authorised Payment Institution Capital Adequacy Return |
FSA056 (Note 1) |
Annual (Note 2) |
30 business days (Note 3) |
|
Payment Services Directive Transactions |
FSA057 (Note 4) |
Annual (Note 5) |
||
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. |
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Note 2 |
This reporting frequency is calculated from an authorised payment institution's or registered account information service provider’s 3accounting reference date. |
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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. |
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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. |
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Note 5 |
This reporting frequency is calculated from 31 December each calendar year. |
Simplified summary of the territorial scope of the regulated mortgage activities, to be read in conjunction with the rest of this section.
This table belongs to PERG 4.11.8 G
4Regulated activities other than advice |
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Location of establishment of service provider: |
Location of land: |
Individual borrower resident and located: |
||
in the UK |
in another EEA State |
outside the EEA |
||
land in the UK |
Yes |
Yes |
Yes |
|
land in another EEA State |
Yes |
Yes |
Yes |
|
UKperson: Establishment in another EEA State or in a country outside the EEA |
in the UK |
in another EEA State |
outside the EEA |
|
land in the UK |
Yes |
Yes |
Yes |
|
land in another EEA State (Note 1) |
No |
No |
No |
|
Non-UKperson: Establishment in another EEA State or in a country outside the EEA |
in the UK |
in another EEA State |
outside the EEA |
|
land in the UK |
Yes |
No |
No |
|
land in another EEA State |
No |
No |
No |
|
Yes = authorisation or exemption required No = authorisation or exemption not required |
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Note 1: If the service provider is a UK firm operating from an office in another EEA State in the exercise of rights under a Single Market Directive, the activities will be treated as taking place in the United Kingdom and the firm will need to make sure that its permission covers the regulated mortgage activities it is carrying out. See PERG 4.11.5G (1). |
4The regulated activity of advice |
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Location of establishment of service provider: |
Location of land: |
Individual borrower resident and located: |
||
in the UK |
in another EEA State |
outside the EEA |
||
land in the UK |
Yes |
Yes |
Yes |
|
land in another EEA State |
Yes |
Yes |
Yes |
|
UKperson: Establishment in another EEA State or in a country outside the EEA |
in the UK |
in another EEA State |
outside the EEA |
|
land in the UK |
Yes |
No |
No |
|
land in another EEA State (Note 1) |
Yes |
No |
No |
|
Non-UKperson: Establishment in another EEA State or in a country outside the EEA |
in the UK |
in another EEA State |
outside the EEA |
|
land in the UK |
Yes |
No |
No |
|
land in another EEA State |
Yes |
No |
No |
|
Yes = authorisation or exemption required No = authorisation or exemption not required |
||||
Note 1: If the service provider is a UK firm operating from an office in another EEA State in the exercise of rights under a Single Market Directive, the activities will be treated as taking place in the United Kingdom and the firm will need to make sure that its permission covers the regulated mortgage activities it is carrying out. See PERG 4.11.5G (1). |
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