Related provisions for MCOB 2.1.1

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MAR 10.3.1GRP

1The application of this section is set out in the following table:

Type of firm

Applicable provisions

a UK market operator operating a trading venue

MAR 10.3.2G and MAR 10.3.4G

a UK firm operating a multilateral trading facility or an OTF and a UK branch of a third country investment firm operating a multilateral trading facility or an OTF

MAR 10.3.3R to MAR 10.3.5G
SUP 6.4.16GRP

Types of reports. See SUP 6.4.15 G

Category of firm

Type of report

a bank or building society

• an audited balance sheet which confirms that, in the auditor's opinion, the firm has no remaining deposit liabilities to customers;

• a report from auditors or reporting accountants;

a securities and futures firm

• a report from auditors or reporting accountants

an insurer

• an audited closing balance sheet which demonstrates that the firm has no insurance liabilities to policyholders;

• a report from the auditors or reporting accountants; and

• in some cases, an actuarial opinion as to the likelihood of any remaining liabilities to policyholders.