Related provisions for CASS 7.16.4

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

CASS 11.2.2RRP
For the purpose of calculating the value of the total amounts of client money that it holds on any given day during a calendar year (in complying with CASS 11.2.1 R) a CASS debt management firm must base its calculation on accurate internal records of client money holdings. A CASS large debt management firm must do this using the internal reconciliations performed during the previous year that are prescribed in CASS 11.11.13 R. A CASS small debt management firm must use the records
CASS 10.2.2GRP
For the purpose of CASS 10.2.1R (4), examples of individuals within the firm who are critical or important to the performance of operational functions include:(1) those necessary to carry out both internal and external client money and safe custody asset reconciliations and record checks1; and(2) those in charge of client documentation for business involving client money and safe custody assets.
SUP 16.12.27RRP

The applicable due dates for submission referred to in SUP 16.12.4 R are set out in the table below. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period set out in SUP 16.12.26 R, unless indicated otherwise13.

89Data item

Quarterly

Half yearly

Annual

Solvency statement

3 months

FSA029

20 business days

(note 1)

30 business days

(note 2)

FSA030

20 business days

(note 1)

30 business days

(note 2)

FSA031

20 business days

FSA033

20 business days

FSA034

20 business days

FSA035

20 business days

FSA039

30 business days

FIN071

20 business days

MIF001

20 business days

(note 1)

30 business days

(note 2)

MIF002

20 business days

(note 1)

30 business days

(note 2)

MIF003

20 business days

(note 1)

30 business days

(note 2)

MIF004

20 business days

(note 1)

30 business days

(note 2)

MIF005

20 business days

(note 1)

30 business days

(note 2)

MIF006

20 business days

MIF007

The submission date that applies under MIFIDPRU 7.8.4R

Section A RMAR

30 business days

30 business days

Section B RMAR

30 business days

30 business days

Section C RMAR

30 business days

30 business days

Section D1 RMAR

30 business days

30 business days

Section F RMAR

30 business days

30 business days

Note 1

For reports relating to the position of an individual firm.

Note 2

For reports relating to the consolidated situation of an investment firm group.

BIPRU 4.2.5GRP
(1) This paragraph provides guidance on BIPRU 4.2.2 R and in particular BIPRU 4.2.2 R (1).(2) The information that a firm produces or uses for the purpose of the IRB approach should be reliable and take proper account of the different users of the information produced (customers, shareholders, regulators and other market participants).(3) A firm should establish quantified and documented targets and standards, against which it should test the accuracy of data used in its rating