Related provisions for SUP 16.12.3B

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SUP 16.6.5RRP

Compliance reports from a bank (see SUP 16.6.4 R)4

Report

Frequency

Due date

List of all overseas regulators for each legal entity in the firm's group

Annually

6 months after the firm'saccounting reference date13

13

Organogram showing the authorised entities in the firm's group

Annually

6 months after the firm'saccounting reference date13

13
SYSC 5.2.37GRP
[deleted] Editor’s note: The text of this provision has been moved to SYSC 27.8.8G]8
SUP 16.7A.6RRP
Where a number of firms in the same group share the same mixed activity holding company parent, only one firm in the group is required to provide the report.
BIPRU 12.4.7GRP
In conducting its stress testing, a firm should also, where relevant, consider the impact of its chosen stresses on the appropriateness of its assumptions relating to:(1) correlations between funding markets;(2) the effectiveness of diversification across its chosen sources of funding;(3) additional margin calls and collateral requirements;(4) contingent claims, including potential draws on committed lines extended to third parties or to other entities in that firm'sgroup;(5)
SYSC 1.4.2RRP
A contravention of a rule in SYSC 11 to 2SYSC 14, SYSC 18 to10SYSC 21,7SYSC 22.8.1R, SYSC 22.9.1R or SYSC 23 to 9SYSC 28A12 does not give rise to a right of action by a private person under section 138D of the Act (and each of those rules is specified under section 138D(3) of the Act as a provision giving rise to no such right of action). 344378
MCOB 10.4.4RRP
(1) The amounts of the following items are not included in the total charge for credit in relation to an agreement:(a) any charge payable under the transaction to the firm upon failure by the customer to do or to refrain from doing anything which he is required to do or to refrain from doing;(b) any charge:(i) which is payable by the firm to any person upon failure by the customer to do or to refrain from doing anything which he is required under the transaction to do or to refrain
SUP 8.3.2AGRP
10The FCA must consult the PRA before publishing or deciding not to publish a waiver which relates to:(1) a PRA-authorised person; or(2) an authorised person who has as a member of its immediate group a PRA-authorised person;unless the waiver relates to rules made by the FCA under sections 247 or 248 of the Act.
SUP 16.15.5ADRP
2SUP 16.23.4R to SUP 16.23.7R (Annual Financial Crime Report) apply to an electronic money institution5as if a reference to firm in these rules and guidance were a reference to an electronic money institution and the reference to group is read accordingly.
SUP 15.1.4RRP
This chapter:(1) applies with respect to the carrying on of both regulated activities and unregulated activities; and (2) takes into account any activity of other members of a group of which the firm is a member.
REC 2.11.3GRP
In determining whether a UK recognised body has made satisfactory arrangements for the safeguarding and administration of assets belonging to the users of its facilities, the FCA3 may have regard to: 3(1) the level of protection which the arrangements provide against the risk of theft or other types or causes of loss;(2) whether the arrangements ensure that assets are only used or transferred in accordance with the instructions of the owner of those assets or in accordance with
LR 9.2.20RRP
6An issuer must at all times ensure that the discretion of its board to make strategic decisions on behalf of the company has not been limited or transferred to a person outside the issuer'sgroup, and that the board has the capability to act on key strategic matters in the absence of a recommendation from a person outside the issuer'sgroup.
SYSC 8.1.10RRP
If a UCITS investment firm7 and the service provider are members of the same group, the firm may, for the purpose of complying with SYSC 8.1.7 R to SYSC 8.1.11 R and SYSC 8.2 and SYSC 8.3, take into account the extent to which the UCITS investment firm7 controls the service provider or has the ability to influence its actions.7
MAR 9.5.10GRP
Q. Can a group of investment firms aggregate their reporting via an internal hub? A. Yes. A group of investment firms may use a hub to assist with aggregating transaction reporting data for each legal entity that is an investment firm in the group for the purposes of article 26 of MiFIR provided that the hub is either an ARM or the hub uses an ARM to report the transaction data to the FCA. Paragraph 2 of article 9 [Security] of MiFID RTS 13 confirms that an investment firm (‘reporting
SYSC 4.8.9RRP

[deleted] 5

BIPRU 1.1.1GRP
1There is no overall application statement for BIPRU. Each chapter or section has its own application statement. Broadly speaking however, BIPRU applies in the following manner8:8(1) [deleted]88(2) [deleted]8(3) to a BIPRU firm;88(3A) to an IFPRU investment firm, only BIPRU 12 (Liquidity standards); and8(4) in relation to8groups containing such firms:8(a) only BIPRU 12 (Liquidity standards) applies to the group containing any of the firms in (3) and (3A); and8(b) BIPRU as a whole
LR 5.2.7RRP
LR 5.2.5 R (2) and (2A)11 will not apply where an issuer of securities11 notifies a RIS:444151(1) that the financial position of the issuer or its group is so precarious that, but for the proposal referred to in LR 5.2.7 R (2), there is no reasonable prospect that the issuer will avoid going into formal insolvency proceedings;(2) that there is a proposal for a transaction, arrangement or other form of reconstruction of the issuer or its group which is necessary to ensure the
LR 17.3.5GRP
(1) If an issuer prepares both own and consolidated annual accounts it may publish either form provided that the unpublished accounts do not contain any significant additional information.1(2) If the annual accounts do not give a true and fair view of the assets and liabilities, financial position and profits or losses of the issuer or group, additional information must be provided to the satisfaction of the FCA.1(3) An issuer incorporated or established in a third country5 which
EG 12.3.2RP
2The factors which the FCA may consider when deciding whether to commence a criminal prosecution for market misconduct rather than impose a sanction for market abuse include, but are not limited to, the following: (1) the seriousness of the misconduct: if the misconduct is serious and prosecution is likely to result in a significant sentence, criminal prosecution may be more likely to be appropriate; (2) whether there are victims who have suffered loss as a result of the misconduct:
CONC 5A.1.6GRP
Examples of the sorts of charge (which expression is defined in CONC 5A.6) applied in connection with the provision of credit covered by this chapter include, but are not limited to:(1) interest on the credit provided;(2) a charge related to late payment by, or default of, the borrower;(3) a charge related to the transmission of credit or for using a means of payment to or from the borrower;(4) a charge related to early repayment, or refinancing or changing the payment date or