Related provisions for COLL 3.2.8

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PERG 8.12.38GRP
[deleted]922
SUP 16.12.19ARRP

2The applicable data items80 referred to in SUP 16.12.4 R are set out according to type of firm8 in the table below:

888

Description of data item11

Firms’76 prudential category and applicable data items76 (note 1)

IPRU(INV) Chapter 3

IPRU(INV) Chapter 5

IPRU(INV) Chapter 9

IPRU(INV)Chapter 13

 43

Solvency statement (note 6)5

No standard format5

 43

Balance sheet

FSA029

11

FSA029

11

FSA029

FSA029 or Section A RMAR (note 7)

11		 4311

Income statement

FSA030

11

FSA030

11

FSA030

FSA030 or Section B RMAR (note 7)

11		 4311

Capital adequacy

FSA033

11

FSA034 or FSA035 or FIN07152or FIN072 69 (note 4)11

FSA031

FSA032 or Section D1 62RMAR (notes 5 and 7)20

5050		 4311

5Threshold conditions

Section F RMAR (Note 7)24

Client money and client assets

FSA039

FSA039

FSA039

Section C RMAR (note 7) or 5FSA039

11

43

69Pillar 2 questionnaire

FSA019 (note 8)

Note 1

When submitting the completed data item required, a firm must use the format of the data item set out in SUP 16 Annex 24. Guidance notes for completion of the data items are contained in SUP 16 Annex 25.

Note 2

[deleted]24

24

Note 3

[deleted]11

11

Note 4

FSA034 must be completed by a firm not subject to the exemption in IPRU(INV) 5.4.2R74, unless it is a firm whose permitted business includes establishing, operating or winding up a personal pension scheme, in which case FIN071 must be completed76.

FSA035 must be completed by a firm subject to the exemption in IPRU(INV) 5.4.2R74, unless76 the firm is the depositary of a UCITS scheme in which case, FIN072 must be completed75.52

7569757469

Note 5

FSA032 must be completed by a firm subject to IPRU(INV) Chapter 13 which is an exempt CAD firm.

5

50

Note 6

Only applicable to a firm that is a partnership, when the report must be submitted by each partner.

5Note 7

FSA029, FSA030, FSA032 and FSA03924 only apply to a firm subject to IPRU(INV) Chapter 13 which is an exempt CAD firm. Sections A, B, C, D1, 62and F24 RMAR only apply 11 to a firm subject to IPRU(INV) Chapter 13 which is not an exempt CAD firm.

1124

69Note 8

Only applicable to a firm that is the depositary of a UCITS scheme.
CASS 6.1.16IFGRP
(1) 12A firm (Firm A) to which another firm acting as trustee or depositary of a UK UCITS16 (Firm B) has delegated safekeeping functions under COLL 6.6B.25R (Delegation: safekeeping) will not itself be acting as trustee or depositary of a UK UCITS16 for that UCITS scheme.(2) CASS 6.1.16IDR will not apply to Firm A for that UCITS scheme. (3) However, Firm A may be safeguarding and administering investments in respect of that UCITS scheme.