Related provisions for SUP App 3.3.8

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MIPRU 5.2.3ERP
(1) A firm should:(a) before using the services of the intermediary, check:(i) the Financial Services Register;5(ii) [deleted]54for the status of the person4; and(b) use the services of that person4 only if the relevant register indicates that the person4 is registered for that purpose.(2) (a) Checking the Financial Services Register before using the services of the intermediary and using the services of that person4 only if the Financial Services Register indicates that the person4
SYSC 5.2.42RRP
[deleted] 8
DTR 6.1.15RRP
[deleted]422
BIPRU 12.4.11RRP
A4firm must have in place liquidity recovery4plans setting out adequate strategies and proper implementation measures in order to address possible liquidity shortfalls6. Those plans must be tested at least annually,4 updated on the basis of the outcome of the alternative scenarios set out in BIPRU 12.4.-1 R, and be reported to and approved by the firm'sgoverning body, so that internal policies and processes can be adjusted accordingly.2 A firm must take the necessary operational
PERG 5.2.5GRP
The IDD4 imposes requirements upon EEA States relating to the regulation of insurance distribution and reinsurance distribution4. The IDD defines “insurance distribution”4 as including the activities of advising on4, proposing or carrying out other work preparatory to the conclusion of contracts of insurance4, or of concluding such contracts, or of assisting in the administration and performance of such contracts, in particular in the event of a claim. It includes the provision
CASS 11.3.3GRP
(1) [deleted]41(2) As a consequence of CASS 11.3.4R4, in a CASS large debt management firm (including a not-for-profit debt advice body fitting into that category) the function described in CASS 11.3.4R is required to be discharged by a director or senior manager.1(3) [deleted]4313(4) [deleted]413(4A) 3For an SMCR firm, the function in CASS 11.3.4R is not a separate controlled function and performing that function does not require approval as an approved person. Paragraphs (5)
SUP 16.15.8DRP

The table below sets out the format, reporting frequency and due date for submission in relation to regulatory returns that apply to electronic money issuers that are not credit institutions.

(1)

Type of electronic money issuer

(2)

Return

(3)

Format

(4)

Reporting Frequency

(5)

Due date (Note 4)

Authorised electronic money institution (Note 1)

EMI and SEMI Questionnaire 3

FIN0603

Annual 3 (Note 3)

30 business days

3

3

3

3

3

Small electronic money institutions (Note 2)

EMI and SEMI Questionnaire 3

FIN0603

Annual3 (Note 5)

30 business days

Total electronic money outstanding @ 31st December

FSA065

Annual (Note 5)

1 month3

3

(a) the Post Office Limited

(b) the Bank of England4

(c) Government departments and local authorities

(d) credit unions

(e) municipal banks

(f) the National Savings Bank

Average outstanding electronic money

No standard format

Annual 3 (Note 6)

30 business days

Note 1

When submitting the completed returns required, the authorised electronic money institution must use the format of the returns set out in SUP 16 Annex 30HD. Guidance notes for the completion of the return are set out in SUP 16 Annex 30IG3.

Note 2

When submitting the completed returns required, the small electronic money institution must use the format of the returns set out in SUP 16 Annex 30JD (FIN060) and SUP 16 Annex 30GD (FSA065). Guidance notes for the completion of the FIN060 return are set out in SUP 16 Annex 30KG3.

Note 3

This3 field is calculated from the authorised electronic money institution'saccounting reference date.

Note 4

The due dates for returns are the last day of the periods given in column (5) of the table above following the relevant reporting frequency period set out in column (4) of the table above.

Note 5

The reporting frequency in relation to FSA065 is calculated from 31 December each calendar year. In relation to FIN060,3 this field is calculated from the small electronic money institution'saccounting reference date.

Note 6

This is calculated from 31 December each calendar year.
COBS 11.1.5GRP
[deleted]765555
EG 19.23.2RP
[deleted]21
PERG 8.20.1GRP
Where collective investment schemes are concerned additional restrictions are placed on their promotion to ensure that only those which are regulated are promoted to the general public. This is achieved by a combination of sections 21 and 238 (Restrictions on promotion) of the Act as explained in PERG 8.20.2 G. A regulated collective investment scheme is:(1) an authorised unit trust scheme; or(1A) an authorised contractual scheme; or7(2) an investment company with variable capital;
SUP 18.3.1GRP
Under section 115 of the Act, the appropriate regulator3 has the power to give a certificate confirming that a firm possesses any necessary margin of solvency,1 to facilitate an insurance business transfer to the firm under overseas legislation 2from a Swiss general insurance company. This section provides guidance on how the appropriate regulator3 would exercise this power and on related matters.313
SUP 11.8.1RRP
A firm must notify the appropriate regulator9 immediately it becomes aware of any of the following matters in respect of one or more of its controllers: 9(1) if a controller, or any entity subject to his control, is or has been the subject of any legal action or investigation which might put into question the integrity of the controller; (2) if there is a significant deterioration in the financial position of a controller; (3) if a corporate controller undergoes a substantial
SUP 12.6.15RRP
7If a MiFID investment firm17 appoints an FCA registered tied agent17, SUP 12.6.1 R, SUP 12.6.1A R, SUP 12.6.5 R and SUP 12.6.11A R apply to that firm as though the FCA registered tied agent17 were an appointed representative.
DISP 1.10B.1DRP
(1) 1Once a year a credit institution that provides payment services or issues electronic money must provide the FCA with a complete report concerning complaints received about payment services and electronic money.(2) Once a year an electronic money institution, a payment institution or2 a registered account information service provider2must provide the FCA with a complete report concerning complaints received about payment services and electronic money.(3) The report required
PERG 2.4.3GRP
Section 418 of the Act (Carrying on regulated activities in the United Kingdom) takes this one step further. It extends the meaning that 'in the United Kingdom' would ordinarily have by setting out 7additional cases. The Act states that, in these 7cases, a person who is carrying on a regulated activity but who would not otherwise be regarded as carrying on the activity in the United Kingdom is, for the purposes of the Act, to be regarded as carrying on the activity in the United
LR 9.2.6BRRP
1A listed company that is not already required to comply with the transparency rules15must comply with DTR 4, DTR 5 and DTR 6 as if it were an issuer for the purposes of the transparency rules.
COLL 2.1.5GRP
[deleted]41222222