Related provisions for SUP 10A.12.3

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RCB 2.3.20GRP
1Assets which would be eligible for inclusion in a liquidity buffer under BIPRU 12.7 as it applied on 31 December 2021 4can be liquid assets for the purposes of limb (a) of the definition of liquid assets in Regulation 1(2) of the RCB Regulations. The FCA will also expect that liquid assets which consist of deposits should be held in the same currency or currencies as the regulated covered bonds issued by the issuer.
SUP 16.13.4DRP

The table below sets out the format, reporting frequency and due date for submission in relation to regulatory returns that apply to authorised payment institutions,3small payment institutions6 and registered account information service providers3.

(1)

(2)

(3)

(4)

(5)

Type of payment service provider3

Return

Format

Reporting Frequency

Due date

authorised payment institution3

Authorised Payment Institution Capital Adequacy Return

FSA056 (Note 1)

Annual (Note 2)

30 business days (Note 3)

3registered account information service provider

Authorised Payment Institution Capital Adequacy Return

FSA056 (Note 1)

Annual (Note 2)

30 business days (Note 3)

3small payment institution

Payment Services Directive Transactions

FSA057 (Note 4)

Annual (Note 5)

1 month3 (Note 3)

Note 1

When submitting the completed return required, the authorised payment institution or registered account information service provider3 must use the format of the return set out in SUP 16 Annex 27CD3. Guidance notes for the completion of the return are set out in SUP 16 Annex 27DG3.

Note 2

This reporting frequency is calculated from an authorised payment institution's or registered account information service provider’s 3accounting reference date.

Note 3

The due dates 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 4

When submitting the completed return required, the small payment institution must use the format of the return set out in SUP 16 Annex 28CD3. Guidance notes for the completion of the return are set out in SUP 16 Annex 28DG3.

Note 5

This reporting frequency is calculated from 31 December each calendar year.
SUP 15.12.1RRP
A firm must notify the FCA, using the form in SUP 15 Annex 8R, where:(a) in any 12-month period, it has upheld three complaints about matters relating to activities carried out by any one employee when acting as a retail investment adviser; or(b) it has upheld a complaint about matters relating to activities carried out by any one employee when acting as a retail investment adviser, where the redress paid exceeds £50,000.(2) A notification made under (1)(a) must be made by the
GEN 4.3.8GRP
8A credit firm which carries on the activity of entering into a regulated credit agreement as lender , in respect of an agreement 9to which GEN 4.3.1R (Disclosure in letters to retail clients) does not apply as a result of GEN 4.3.7R11 is under an obligation to disclose pre-contract information in the form and to the extent required by the Consumer Credit (Disclosure of Information) Regulations 2010 (SI 2010/1013)9. Firms which carry on credit broking may take on the same obligation.
BIPRU 12.6.6ARRP
2For the purpose of BIPRU 12.6.6 R, a firm must calculate:(1) its total assets by reference to its most recent FSA001 data item; and (2) its retail loans as the total of its lending to the retail sector recorded in cell 11A in its most recent FSA015 data item.
SUP App 2.15.8GRP
A firm, other than a Solvency II firm, should include in its run-off plan:44(1) a forecast summary revenue account for the with-profits fund, in the form of SUP App 2.15.9 G Table 1;(2) a forecast summary balance sheet and statement of solvency for the with-profits fund, which has been prepared in the form of SUP App 2.15.9 G Table 2 and on a regulatory basis; and(3) a forecast summary balance sheet and statement of solvency for the entire firm, which has been prepared in the
TC 2.1.33GRP
17The Retail Investment Adviser Competence Notification Form approved by the FCA for notifications under TC 2.1.31 R may be found at the FCA's website www.fca.org.uk/firms/regulatory-reporting/adviser-reporting-requirements23.