Solvency statement |
No standard format (note 2) |
|
|
Balance sheet |
FSA029 (note 3) |
Section A RMAR |
|
Income statement |
FSA030 (note 3) |
Section B RMAR |
|
Capital adequacy |
MIF001 (notes 3 and 6) |
Section D1 RMAR (note 9) |
|
Liquidity |
MIF002 (notes 3, 4 and 6) |
|
|
Metrics monitoring |
MIF003 (notes 3 and 6) |
|
|
Concentration risk
(non-K-CON)
|
MIF004 (notes 3, 5 and 6) |
|
|
Concentration risk
(K-CON)
|
MIF005 (notes 3, 5 and 6) |
|
|
Group capital test |
MIF006 (notes 6 and 8) |
|
|
ICARA assessment questionnaire |
MIF007 (note 6) |
|
|
Supplementary capital data for collective portfolio management investment firms |
FIN067 (note 10) |
|
|
Professional indemnity insurance (note 11)90 |
Section E RMAR |
Section E RMAR |
Section E RMAR |
Threshold conditions |
|
Section F RMAR |
|
Training and competence |
Section G RMAR |
Section G RMAR |
Section G RMAR |
COBS data |
Section H RMAR |
Section H RMAR |
Section H RMAR |
Client money and client assets |
Section C RMAR |
Section C RMAR |
|
Fees and levies |
Section J RMAR |
Section J RMAR |
|
Adviser charges |
Section K RMAR (note 7) |
Section K RMAR (note 7) |
Section K RMAR (note 7) |
Note 1 |
When submitting the completed data item required, a firm (except a MIFIDPRU investment firm in relation to an item reported under MIFIDPRU 9) must use the format of the data item set out in SUP 16 Annex 24R, or SUP 16 Annex 18AR in the case of the RMAR. Guidance notes for completion of the data items are contained in SUP 16 Annex 25, or SUP 16 Annex 18BG in the case of the RMAR. |
Note 2 |
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 3 |
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 4 |
Does not apply to an SNI MIFIDPRU investment firm which has been granted an exemption from the liquidity requirements in MIFIDPRU 6. |
Note 5 |
Only applicable to a non-SNI MIFIDPRU investment firm. |
Note 6 |
Data items MIF001 – MIF007 must be reported in accordance with the rules in MIFIDPRU 9. |
Note 7 |
This item only applies to firms that provide advice on retail investment products and P2P agreements. |
Note 8 |
Only applicable to a parent undertaking to which the group capital test applies. |
Note 9 |
Where a firm submits data items for both RAG 7 and RAG 9, the firm must complete Section D1. |
Note 10 |
Only applicable to firms that are collective portfolio management investment firms. |
Note 11 |
Only applicable to firms that are subject to an FCA requirement to hold professional indemnity insurance and are not MIFIDPRU investment firms.90 |
