Related provisions for GENPRU 1.1.2

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

SUP 16.17.4RRP
(1) A firm to which this rule applies must submit a High Earners Report to the FCA4 annually.104(2) The firm must submit that report to the FCA4 within four months of the end of the firm'saccounting reference date.104(3) A firm that is not part of a UK lead regulated group must complete that report on an unconsolidated basis in respect of remuneration awarded in the last completed financial year to all high earners of the firm who mainly undertook their professional activities
BIPRU 13.1.1RRP
1BIPRU 13 applies to a BIPRU firm.
BIPRU 4.1.1RRP
1BIPRU 4 applies to a3BIPRUfirm with an IRB permission.
SYSC 1.4.2RRP
A contravention of a rule in SYSC 11 to 2SYSC 21,7SYSC 22.8.1R, SYSC 22.9.1R or to 9SYSC 288 does not give rise to a right of action by a private person under section 138D of the Act (and each of those rules is specified under section 138D(3) of the Act as a provision giving rise to no such right of action). 34437
SUP 9.3.2GRP
The FCA6 may give individual guidance to a firm on its own initiative if it considers it appropriate to do so. For example:6(1) the FCA6 may consider that general guidance in the Handbook does not appropriately fit a firm's particular circumstances (which may be permanent or temporary) and therefore decide to give additional individual guidance to the firm;6(2) some of the FCA's6 requirements are expressed in general terms; however, there may be times when the FCA6 will wish to
SUP 15.8.9RRP
10A BIPRUfirm must report to the FCA15 immediately any case in which its counterparty in a repurchase agreement or reverse repurchase agreement or securities or commodities lending or borrowing transaction defaults on its obligations.2020
SYSC 1.1A.1AGRP

6The application of this sourcebook to specific14firms that are not PRA-authorised persons is summarised at a high level in the following table. The detailed application is cut back in SYSC 1 Annex 1 and in the text of each chapter.

Type of firm

Applicable chapters

Full-scope UK AIFM

Chapters11 4 to 10, 12, 18, 1219B, 19F.2,14 21, 2211, 23, 24, 25, 26, 27,17 2814

BIPRU firm (including a third-country BIPRU firm)

Chapters 4 to 10, 12, 18, 19C, 19F.2,14 20,10 21, 2211, 23, 24, 25, 26, 27,17 2814

IFPRU investment firm (including an overseas firm that would have been an IFPRU investment firm if it had been a UK domestic firm)

Chapters 4 to 10, 12, 18, 19A, 19F.2,14 20,10 21, 2211, 23, 24, 25, 26, 27,17 2814
IPRU-INV 14.1.1RRP
Subject to rule 14.1.2, consolidated supervision and this chapter apply to a firm which is a member of a group if: (1) It is: (a) a securities and futures firm, subject to the financial rules in Chapter 3, which is a broad scope firm but not a venture capital firm; and (b) [deleted](c) [deleted](2) It is neither a BIPRUfirm nor an IFPRUinvestment firm. (3) [Deleted](4) [Deleted](5) [Deleted]
BIPRU 9.1.1RRP
1BIPRU 9.1 applies to a BIPRU firm.35
IPRU-INV 1.1.3ARRP
1This sourcebook does not apply to BIPRU firms1 except: (1) it does apply to certain exempt BIPRU commodities firms; and (2) [deleted]
SUP 3.10.5RRP

Client assets report

111

Whether in the auditor's opinion

(1)

the firm has maintained systems adequate to enable it to comply with the custody rules (except CASS 6.7)13, the collateral rules,5 the client money rules3 (except CASS 5.2)13, the debt management client money rules9, the claims management client money rules14 and the mandate rules5 throughout the period ;5

353

(2)

the firm was in compliance with the custody rules (except CASS 6.7)13, the collateral rules,5 the client money rules3 (except CASS 5.2), the debt management client money rules, the claims management client money rules14 and the mandate rules5,13 at the date as at which the report has been made;

3539

(3)

in the case of an investment management firm, personal investment firm, a UCITS firm,2securities and futures firm, firm acting as trustee or depositary of an AIF, firm acting as trustee or depositary of a UK UCITS16 or IFPRU investment firm8or BIPRU firm8,2 when a subsidiary of the firm is during the period 5a nominee company in whose name custody assets of the firm are registered during the period, 5 that nominee company has maintained throughout the period5 systems for the custody, identification and control of custody assets which:

22785

(a)

were5 adequate; and

5

(b)

included5 reconciliations at appropriate intervals between the records maintained (whether by the firm or the nominee company) and statements or confirmations from custodians or from the person who maintained5 the record of legal entitlement; and

55

(4)

if there has been a secondary pooling event during the period, the firm has 1complied with the rules in943CASS 5.6 and CASS 7A43 (Client money distribution)1,14CASS 11.13 (debt management client money distribution rules)9 and CASS 13.11 (claims management client money distribution rules)14 in relation to that pooling event.

3
SYSC 20.1.1ARRP
(1) 4SYSC 20 applies to:(a) an IFPRU investment firm; and(b) a BIPRU firm which meets any of the criteria in (2) on an individual basis, or in (3) on a consolidated basis.(2) Subject to (4), SYSC 20 applies to a BIPRU firm if:(a) it has assets under management or administration of at least £10 billion (or the equivalent amount in foreign currency); or(b) the total annual fee and commission arising from regulated activities is at least £250 million (or the equivalent amount in
BIPRU 1.2.1RRP
This section applies to a BIPRU firm.
IPRU-INV 11.1.2AGRP
A small authorised UK AIFM that is not also a UCITS management company is not a collective portfolio management firm or a collective portfolio management investment firm and is therefore not subject to IPRU-INV 11. This type of firm is subject to IPRU-INV 5 if it is an investment management firm, GENPRU and BIPRU if it is a BIPRU firm or IFPRU if it is an IFPRU investment
BIPRU 1.3.1RRP
This section of the Handbook applies to every BIPRU firm that wishes to apply for a permission to use any of the approaches set out in BIPRU 1.3.2 G.
BIPRU 7.1.1RRP
1This chapter applies to a BIPRU firm.
BIPRU 3.1.1RRP
1BIPRU 3 applies to a BIPRU firm.