Related provisions for COLL 6.6B.14

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PERG 8.12.38GRP
[deleted]922
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.
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

91

IPRU(INV)Chapter 13

 43

Solvency statement (note 6)5

No standard format5

 43

Balance sheet

FSA029

11

FSA029

11

91

Section A RMAR89

11		 4311

Income statement

FSA030

11

FSA030

11

91

Section B RMAR89

11		 4311

Capital adequacy

FSA033

11

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

91

Section D1 RMAR89

50506220		 4311

5Threshold conditions

Section F RMAR89

24

Client money and client assets

FSA039

FSA039

91

Section C RMAR

5

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

[deleted]89

505

Note 6

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

5Note 7

[deleted]89

112424622411

69Note 8

Only applicable to a firm that is the depositary of a UCITS scheme.