Related provisions for IFPRU 9.1.1

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

SUP 3.10.5RRP

Client assets report

111

Whether in the auditor's opinion

(1)

the firm has maintained systems adequate to enable it to comply with the custody rules (except CASS 6.7)13, the collateral rules,5 the client money rules3 (except CASS 5.2)13, the debt management client money rules9, the claims management client money rules14 and the mandate rules5 throughout the period ;5

353

(2)

the firm was in compliance with the custody rules (except CASS 6.7)13, the collateral rules,5 the client money rules3 (except CASS 5.2), the debt management client money rules, the claims management client money rules14 and the mandate rules5,13 at the date as at which the report has been made;

3539

(3)

in the case of an investment management firm, personal investment firm, a UCITS firm,2securities and futures firm, firm acting as trustee or depositary of an AIF, firm acting as trustee or depositary of a UK UCITS16 or a MIFIDPRU investment firm17,2 when a subsidiary of the firm is during the period 5a nominee company in whose name custody assets of the firm are registered during the period, 5 that nominee company has maintained throughout the period5 systems for the custody, identification and control of custody assets which:

2278885

(a)

were5 adequate; and

5

(b)

included5 reconciliations at appropriate intervals between the records maintained (whether by the firm or the nominee company) and statements or confirmations from custodians or from the person who maintained5 the record of legal entitlement; and

55

(4)

if there has been a secondary pooling event during the period, the firm has 1complied with the rules in943CASS 5.6 and CASS 7A43 (Client money distribution)1,14CASS 11.13 (debt management client money distribution rules)9 and CASS 13.11 (claims management client money distribution rules)14 in relation to that pooling event.

3
SYSC 12.1.1RRP
1Subject to SYSC 12.1.2 R to SYSC 12.1.4 R, this section applies to each of the following which is a member of a group:(1) a firm that falls into any one or more of the following categories:(a) an investment firm that is not a designated investment firm18;15(b) [deleted]88(c) an insurer;(ca) a UK ISPV;16(d) [deleted]18(e) a UK parent entity of an investment firm group that is subject to prudential consolidation under MIFIDPRU 2.5 or to the group capital test under MIFIDPRU 2.6;
SUP 9.3.2GRP
The FCA6 may give individual guidance to a firm on its own initiative if it considers it appropriate to do so. For example:6(1) the FCA6 may consider that general guidance in the Handbook does not appropriately fit a firm's particular circumstances (which may be permanent or temporary) and therefore decide to give additional individual guidance to the firm;6(2) some of the FCA's6 requirements are expressed in general terms; however, there may be times when the FCA6 will wish to
IPRU-INV 14.1.1RRP
Subject to rule 14.1.2, consolidated supervision and this chapter apply to a firm which is a member of a group if: (1) It is: (a) a securities and futures firm, subject to the financial rules in Chapter 3, which is a broad scope firm but not a venture capital firm.2(b) [deleted](c) [deleted](2) [deleted]2(3) [Deleted](4) [Deleted](5) [Deleted]
SYSC 18.6.4GRP
In addition to obligations under the MiFID regime2, similar whistleblowing obligations apply to miscellaneous persons subject to regulation by the FCA under the following non-exhaustive list of 2legislation:4(1) article 32(3) of the Market Abuse Regulation, as implemented in section 131AA of the Act;(2) [deleted]52(3) the UK provisions which implemented2 article 99d(5) of the UCITS Directive (see SYSC 4.1.1ER in respect of UKUCITS management companies, and COLL 6.6B.30R in respect