Related provisions for BIPRU 12.8.12

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BIPRU 12.8.5GRP
This section represents merely an indication of the matters to which the appropriate regulator will have regard in considering an application for 2an intra-group liquidity modification. In considering such an application, the appropriate regulator will always take into account anything that it reasonably considers to be relevant for the purposes of assessing whether the statutory tests in section 138A of the Act are met. In doing so, it will have regard to the role and importance
BIPRU 12.8.9GRP
The appropriate regulator may also consider an application for an intra-group liquidity modification where a firm wishes to rely on liquidity resources from an entity in its group other than an overseasparent undertaking. The appropriate regulator recognises that a firm incorporated in the United Kingdom and to which BIPRU 12 applies may wish to rely on liquidity support from another such firm. In practice, the appropriate regulator anticipates that a firm applying for an intra-group
BIPRU 12.8.10GRP
The appropriate regulator also recognises that a firm incorporated in the United Kingdom and to which BIPRU 12 applies may wish to rely on liquidity support from a subsidiary undertaking of that firm which is incorporated in a country or territory outside the United Kingdom. The appropriate regulator is, however, likely to consider that an application for an intra-group liquidity modification that contemplates reliance for liquidity support on only, or mostly, an applicant firm's
SUP 16.12.11RRP

The applicable data items referred to in SUP 16.12.4 R are set out according to firm type in the table below:

89Description of data item

Firms’prudential category and applicable data items (note 1)

MIFIDPRU investment firms

Firms other than MIFIDPRU investment firms

IPRU(INV)Chapter 3

IPRU(INV)Chapter 5

91

IPRU(INV)Chapter 13

Solvency statement

No standard format (note 4)

No standard format (note 6)

No standard format (note 4)

Balance sheet

FSA029

(note 2)

FSA029

(note 5)

FSA029

91

Section A RMAR

Income statement

FSA030

(note 2)

FSA030

(note 5)

FSA030

91

Section B RMAR

Capital adequacy

MIF001

(note 2 and 3)

FSA033

(note 5)

FSA034 or FSA035 or FIN071

(note 7)

91

Section D1 RMAR

Supplementary capital data for collective portfolio management investment firms

FIN067

(note 13)

ICARA assessment questionnaire

MIF007

(note 3)

Threshold conditions

Section F RMAR

Client money and client assets

FSA039

FSA039

FSA039

91

Section C RMAR

CFTC

FSA040 (note 8)

FSA040 (note 8)

FSA040 (note 8)

91

FSA040 (note 8)

Liquidity

MIF002

(notes 2, 3 and 10)

Metrics reporting

MIF003

(notes 2 and 3)

Concentration risk (non-K-CON)

MIF004

(notes 2, 3 and 11)

Concentration risk (K-CON)

MIF005

(notes 2, 3 and 11)

Group capital test

MIF006

(notes 3 and 12)

Liquidity Questionnaire

MLA-M (note 9)

MLA-M (note 9)

MLA-M (note 9)

91

MLA-M (note 9)

Note 1

All firms (except MIFIDPRU investment firms in relation to items reported under MIFIDPRU 9) must, when submitting the completed data item required, use the format of the data item set out in SUP 16 Annex 24R. Guidance notes for completion of the data items are contained in SUP 16 Annex 25G.

Note 2

A UK parent entity of an investment firm group to which consolidation applies under MIFIDPRU 2.5 must also submit this report on the basis of the consolidated situation.

Note 3

Data items MIF001 – MIF007 must be reported in accordance with the rules in MIFIDPRU 9.

Note 4

Only applicable to a firm that is a sole trader or partnership. Where the firm is a partnership, this report must be submitted by each partner.

Note 5

Except if the firm is an adviser (as referred to in IPRU-INV (3)-60(4)R).

Note 6

Only required in the case of an adviser (as referred to in IPRU-INV (3)-60(4)R)) that is a sole trader.

Note 7

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

FSA035 must be completed by a firm subject to the exemption in IPRU(INV) 5.4.2R.

Note 8

Only applicable to firms granted a Part 30 exemption order and operating an arrangement to cover forward profits on the London Metals Exchange.

Note 9

Only applicable to RAG 3 firms carrying on home financing or home finance administration connected to regulated mortgage contracts, unless as at 26 April 2014 the firm’sPart 4A permission was and remains subject to a restriction preventing it from undertaking new home financing or home finance administration connected to regulated mortgage contracts.

Note 10

Does not apply to an SNI MIFIDPRU investment firm which has been granted an exemption from the liquidity requirements in MIFIDPRU 6.

Note 11

Only applicable to a non-SNI MIFIDPRU investment firm.

Note 12

Only applicable to a parent undertaking to which the group capital test applies.

Note 13

Only applicable to firms that are collective portfolio management investment firms.
SUP 16.12.12RRP

The applicable reporting frequencies for data items referred to in SUP 16.12.4 R2 are set out in the table below according to firm type. Reporting frequencies are calculated from a firm'saccounting reference date, unless indicated otherwise.

89Data item

Non-SNI MIFIDPRU investment firm

SNI MIFIDPRU investment firm

Investment firm group

Firm other than a MIFIDPRU investment firm

Solvency statement

Annually

Annually

Annually

FSA029

Quarterly

Quarterly

Quarterly

Quarterly

FSA030

Quarterly

Quarterly

Quarterly

Quarterly

FSA031

Quarterly

FSA033

Quarterly

FSA034

Quarterly

FSA035

Quarterly

FSA039

Half yearly

Half yearly

Half yearly

FSA040

Quarterly

Quarterly

Quarterly

FIN067

Quarterly

(note 3)

Quarterly

(note 3)

FIN071

Quarterly

MIF001

Quarterly

(note 3)

Quarterly

(note 3)

Quarterly

(note 3)

MIF002

Quarterly

(note 3)

Quarterly

(note 3)

Quarterly

(note 3)

MIF003

Quarterly

(note 3)

Quarterly

(note 3)

Quarterly

(note 3)

MIF004

Quarterly

(note 3)

Quarterly

(note 3)

MIF005

Quarterly

Quarterly

MIF006

Quarterly

(note 3)

Quarterly

(note 3)

MIF007

Annually

(note 4)

Annually

(note 4)

Section A RMAR

Half yearly

(note 1)

Quarterly

(note 2)

Section B RMAR

Half yearly

(note 1)

Quarterly

(note 2)

Section C RMAR

Half yearly

(note 1)

Quarterly

(note 2)

Section D1 RMAR

Half yearly

(note 1)

Quarterly

(note 2)

Section F RMAR

Half yearly

MLA-M

Quarterly

Quarterly

Quarterly

Quarterly

Note 1

Annual regulated business revenue up to and including £5 million.

Note 2

Annual regulated business revenue over £5 million.

Note 3

Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not by reference to the firm’saccounting reference date. The relevant quarters end on the last business day of March, June, September and December.

Note 4

The reporting period for MIF007 is determined by the date on which the firm reviews its ICARA process under MIFIDPRU 7.8.2R and the submission date that applies under MIFIDPRU 7.8.4R.