Related provisions for MCOB 8.1.1

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

CASS 1A.2.2RRP
(1) A firm must once every year, and by the time it is required to make a notification in accordance with4CASS 1A.2.9R (4), determine whether it is a CASS large firm, CASS medium firm or a CASS small firm according to the amount of client money or safe custody assets which it holds, using the limits set out in the table in CASS 1A.2.7 R.4(2) For the purpose of determining its ‘CASS firm type’ in accordance with CASS 1A.2.7 R, a firm must:(a) if it currently holds client money
CASS 1A.2.7RRP
CASS firm typesCASS firm typeHighest total amount of client money held during the firm’s last calendar year or as the case may be that it projects that it will hold during the current calendar yearHighest total value of safe custody assets held by the firm during the firm's last calendar year or as the case may be that it projects that it will hold during the current calendar yearCASS large firmmore than £1 billion more than £100 billion CASS medium firman amount equal to or greater
SUP 16.12.26RRP

The applicable reporting frequencies for data items referred to in SUP 16.12.25A R are set out according to the type of firm2 in the table below. Reporting frequencies are calculated from a firm'saccounting reference date, unless indicated otherwise.

45Data item

Firms' prudential category

IFPRU 730K firm

IFPRU 125K firm

IFPRU 50K firm

BIPRU firm

UK consolidation group or defined liquidity group

Firms other than BIPRU firms or IFPRU investment firms

COREP/FINREP

Refer to EU CRR and applicable technical standards

Refer to EU CRR and applicable technical standards

Solvency statement

Annually

Annually

Annually

Annually

Annually

FSA001

Quarterly

Quarterly

Half yearly

Half yearly

Half yearly

FSA002

Quarterly

Quarterly

Half yearly

Half yearly

Half yearly

FSA003

Half yearly

Half yearly

FSA004

Half yearly

Half yearly

FSA005

Half yearly

Half yearly

FSA006

Quarterly

Quarterly

Quarterly

Quarterly

FSA007

Annual (note 4)

Annually (note 4)

FSA016

Half yearly

Half yearly

Half yearly

Half yearly

FSA018

Quarterly

Quarterly

Quarterly

FSA019

Annually

Annually

Annually

Annually

Annually

FSA028

Half yearly

FSA029

Quarterly

FSA030

Quarterly

FSA031

Quarterly

FSA032

Quarterly

FSA033

Quarterly

FSA034

Quarterly

FSA035

Quarterly38

FSA039

Half yearly

Half yearly

Half yearly

Half yearly

Half yearly

FSA045

Quarterly

Quarterly

Half yearly

Half yearly

Half yearly

FSA046

Quarterly

FSA047

Daily, weekly, monthly or quarterly (Notes 5, 6 and 8)

Daily, weekly, monthly or quarterly (Notes 5, 7 and 8)

FSA048

Daily, weekly, monthly or quarterly (Notes 5, 6 and 8)

Daily, weekly, monthly or quarterly (Notes 5, 7 and 8)

FSA050

Monthly (Note 5)

Monthly (Note 5)

FSA051

Monthly (Note 5)

Monthly (Note 5)

FSA052

Weekly or monthly (Notes 5 and 9)

Weekly or monthly (Notes 5 and 10)

FSA053

Quarterly (Note 5)

Quarterly (Note 5)

FSA054

Quarterly (Note 5)

Quarterly (Note 5)

FSA055

Annually (Note 5)

Annually (Note 5)

Annually (Note 5)

FSA058

[deleted]

[deleted]

[deleted]

Quarterly

Quarterly

52FIN071

Quarterly

Section A RMAR

Half yearly (note 2) Quarterly (note 3)

Section B RMAR

Half yearly (note 2) Quarterly (note 3)

Section C RMAR

Half yearly (note 2) Quarterly (note 3)

Section D1 62 RMAR

5050

Half yearly (note 2) Quarterly (note 3)

Section F RMAR

Half yearly

Note 1

[deleted]

Note 2

Annual regulated business revenue up to and including £5 million.

Note 3

Annual regulated business revenue over £5 million.

Note 4

The reporting date for this data item is six months after a firm's most recent accounting reference date.

Note 5

Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not from a firm'saccounting reference date. In particular:

(1) A week means the period beginning on Saturday and ending on Friday.

(2) A month begins on the first day of the calendar month and ends on the last day of that month.

(3) Quarters end on 31 March, 30 June, 30 September and 31 December.

(4) Daily means each business day.

All periods are calculated by reference to London time.

Any changes to reporting requirements caused by a firm receiving an intra-group liquidity modification (or a variation to one) do not take effect until the first day of the next reporting period applicable under the changed reporting requirements if the firm receives that intra-group liquidity modification or variation part of the way through such a period, unless the intra-group liquidity modification says otherwise.

Note 6

If the report is on a solo basis the reporting frequency is as follows:

(1) if the firm does not have an intra-group liquidity modification the frequency is:

(a) weekly if the firm is a standard frequency liquidity reporting firm; and

(b) monthly if the firm is a low frequency liquidity reporting firm;

(2) if the firm is a group liquidity reporting firm in a non-UK DLG by modification (firm level) the frequency is:

(a) weekly if the firm is a standard frequency liquidity reporting firm; and

(b) monthly if the firm is a low frequency liquidity reporting firm;

(3) the frequency is quarterly if the firm is a group liquidity reporting firm in a UK DLG by modification.

Note 7

(1) If the report is by reference to the firm'sDLG by default the reporting frequency is:

(a) weekly if the group liquidity standard frequency reporting conditions are met;

(b) monthly if the group liquidity low frequency reporting conditions are met.

(2) If the report is by reference to the firm'sUK DLG by modification the reporting frequency is:

(a) weekly if the group liquidity standard frequency reporting conditions are met;

(b) monthly if the group liquidity low frequency reporting conditions are met.

(3) If the report is by reference to the firm'snon-UK DLG by modification the reporting frequency is quarterly.

Note 8

(1) If the reporting frequency is otherwise weekly, the item is to be reported on every business day if (and for as long as) there is a firm-specific liquidity stress or market liquidity stress in relation to the firm or group in question.

(2) If the reporting frequency is otherwise monthly, the item is to be reported weekly if (and for as long as) there is a firm-specific liquidity stress or market liquidity stress in relation to the firm or group in question.

(3) A firm must ensure that it would be able at all times to meet the requirements for daily or weekly reporting under paragraph (1) or (2) even if there is no firm-specific liquidity stress or market liquidity stress and none is expected.

Note 9

If the report is on a solo basis the reporting frequency is as follows:

(1) weekly if the firm is a standard frequency liquidity reporting firm; and

(2) monthly if the firm is a low frequency liquidity reporting firm.

Note 10

If the report is by reference to the firm'sUK DLG by modification the reporting frequency is:

(1) weekly if the group liquidity standard frequency reporting conditions are met;

(2) monthly if the group liquidity low frequency reporting conditions are met.

CASS 11.2.1RRP
(1) A CASS debt management firm must, once every year and by the time it is required to make a notification in accordance with CASS 11.2.4 R, determine whether it is a CASS large debt management firm or a CASS small debt management firm according to the amount of client money which it held during the previous year or, if it did not hold client money during the previous year, according to the amount of client money it projects to hold in the following year, in each case using the
CASS 11.2.3RRP
CASS debt management firm typesCASS debt management firm typeHighest total amount of client money held during the CASS debt management firm's last calendar year or as the case may be that it projects that it will hold during the current calendar yearCASS large debt management firmAn amount equal to or greater than £1 millionCASS small debt management firmLess than £1 million
MCOB 5.1.1RRP
Subject to MCOB 5.1.2A R, this 6 chapter applies to a firm in a category listed in column (1) of the table in MCOB 5.1.2 R in accordance with column (2) of that table.6
MCOB 5.1.2RRP
This table belongs to MCOB 5.1.1 R(1) Category of firm(2) Applicable sectionmortgage lendermortgage advisermortgage arrangerwhole chapter except MCOB 5.822home purchase providerhome purchase adviserhome purchase arrangerMCOB 5.1.1 R to MCOB 5.1.3 R, MCOB 5.1.6 R to MCOB 5.1.8 G, MCOB 5.2, MCOB 5.3 and MCOB 5.8.MCOB 5.5 and MCOB 5.6 in accordance with MCOB 5.82reversion providerreversion adviserreversion arrangersee MCOB 9.3 for the application of this chapter3SRB adviserMCOB 5.1.1
ICOBS 1.1.4GRP
Guidance on the application provisions is in ICOBS 1 Annex 1 (Part 4).
MCOB 2.1.1RRP
This chapter applies to a firm in a category listed in column (1) of the table in MCOB 2.1.2 R in accordance with column (2) of that table.
MCOB 2.1.2RRP
This table belongs to MCOB 2.1.1 R(1) Category of firm(2) Applicable sectionmortgage lender5whole chapter except 5MCOB 2.6A.1 R to MCOB 2.6A.18 G5 and MCOB 2.8.6 G165mortgage administratormortgage advisermortgage arrangerAs for a mortgage lender, except that MCOB 2.6A.-1 R does not apply.1home purchase providerMCOB 2.1,, MCOB 2.5 to5MCOB 2.6, MCOB 2.6A.1 R to MCOB 2.6A.4 G, MCOB 2.6A.7 G to MCOB 2.6A.10 G, MCOB 2.7.4 R to MCOB 2.7.6 R, MCOB 2.7A2, 7MCOB 2.8.6 G and MCOB 2.97651home
MCOB 7.1.1RRP
Subject to MCOB 7.1.2A R, this4 chapter applies to a firm in a category listed in column (1) of the table in MCOB 7.1.2 R in accordance with column (2) of that table.4
MCOB 7.1.2RRP
This table belongs to MCOB 7.1.1R(1) Category of firm(2) Applicable sectionmortgage lenderwhole chapter except MCOB 7.82mortgage administratorMCOB 7.1 - MCOB 7.32and MCOB 7.5 - MCOB 7.7.2mortgage adviser and mortgage arrangerMCOB 7.1 - MCOB 7.32and MCOB 7.6.7 R - MCOB 7.7.4 R22home purchase providerMCOB 7.1.1 R to MCOB 7.1.4 R, MCOB 7.2, MCOB 7.3 and MCOB 7.82home purchase administratorAs for a home purchase provider except MCOB 7.8.1 R and MCOB 7.8.2 G do not apply2home purchase
MCOB 4.1.1RRP
This chapter applies to a firm in a category listed in column (1) of the table in MCOB 4.1.2 R in accordance with column (2) of that table.
MCOB 8.1.2RRP
This table belongs to MCOB 8.1.1 R(1) Category of firm(2) Applicable sectionequity release provider44whole chapter except MCOB 8.5A5 and MCOB 8.74, MCOB 8.6A in accordance with MCOB 8.1.2A R5equity release adviser44whole chapter MCOB 8.7 does not apply in relation to a lifetime mortgage45equity release arranger44whole chapter except MCOB 8.5A.5MCOB 8.7 does not apply in relation to a lifetime mortgage45
SYSC 1.1A.1GRP
1The application of this sourcebook is summarised at a high level in the following table. The detailed application is cut back in SYSC 1 Annex 1 and in the text of each chapter.Type of firmApplicable chaptersInsurer, UK ISPV13Chapters 2, 3, 12 5 to 18, 19F.2,14 213, 2211, 23, 24, 25, 26, 2715, 28145Managing agentChapters 2, 3, 11, 12, 18, 19F.2,14 213, 2211, 23, 24, 25, 26, 2715, 2814SocietyChapters 2, 3, 12, 18, 19F.2,14 213, 2211, 23, 24, 25, 26, 2715, 281415Any other SMCR
SYSC 1.1A.1AGRP
6The application of this sourcebook to specific14firms that are not PRA-authorised persons is summarised at a high level in the following table. The detailed application is cut back in SYSC 1 Annex 1 and in the text of each chapter. Type of firmApplicable chaptersFull-scope UK AIFMChapters11 4 to 10, 12, 18, 1219B, 19F.2,14 21, 2211, 23, 24, 25, 26, 2716, 2814BIPRU firm (including a third-country BIPRU firm)Chapters 4 to 10, 12, 18, 19C, 19F.2,14 20,10 21, 2211, 23, 24, 25, 26,
MCOB 9.1.2RRP
This table belongs to MCOB 9.1.1 R(1) Category of firm(2) Applicable sectionmortgage lender1MCOB 9.1 - MCOB 9.4.132 R, MCOB 9.5 - MCOB 9.822mortgage administratorMCOB 9.1, MCOB 9.2, MCOB 9.6 and MCOB 9.82mortgage adviser; mortgage arranger2MCOB 9.1 - MCOB 9.4.132 R2and MCOB 9.8.5 R - MCOB 9.8.10 R222reversion providerMCOB 9.1 - MCOB 9.4.17A R, MCOB 9.4.133 R -MCOB 9.6; MCOB 9.92reversion administratorMCOB 9.1, MCOB 9.6 and MCOB 9.92reversion adviser; reversion arrangerMCOB 9.1
MCOB 6.1.1RRP
Subject to MCOB 6.1.2A R, this 5 chapter applies to a firm in a category listed in column (1) of the table in MCOB 6.1.2 R in accordance with column (2) of that table.5
MCOB 6.1.2RRP
This table belongs to MCOB 6.1.1R(1) Category of firm(2) Applicable sectionmortgage lenderwhole chapter except MCOB 6.833home purchase providerMCOB 6.1 (except MCOB 6.1.6 G), MCOB 6.2 and MCOB 6.8reversion providersee MCOB 9.5 for the application of this chapter4SRB agreement providerMCOB 6.1.1 R to MCOB 6.1.3 R, MCOB 6.1.5 R, MCOB 6.2, MCOB 6.3 and MCOB 6.9
SUP 3.1.1RRP
(1) Except as provided for in (2), this chapter applies to:35(a) every firm within a category listed in column (1) of the table in SUP 3.1.2 R; and35(b) the external auditor of such a firm (if appointed under SUP 3.3 or appointed under or as a result of a statutory provision other than in the Act);35(2) This chapter does not apply in relation to a firm’sbenchmark activities.352
SUP 3.1.2RRP
Applicable sections (see SUP 3.1.1 R)This table and the provisions in SUP 3 should be read in conjunction with GEN 2.2.23 R to GEN 2.2.25 G. In particular, the PRA does not apply any of the provisions in SUP 3 in respect of FCA-authorised persons. SUP 3.10 and SUP 3.11 are applied by the FCA only.37(1) Category of firm(2) Sections applicable to the firm(3) Sections applicable to its auditor(1) Authorised professional firm which is required by IPRU(INV) 2.1.2R to comply with chapters
CASS 11.1.4RRP
Subject to CASS 11.1.6 R, only the rules and guidance in the debt management client money chapter listed in the table below apply to CASS small debt management firms.ReferenceRuleCASS 11.1.1 R to CASS 11.1.4 R and CASS 11.1.6 RApplicationCASS 11.2.1 R to CASS 11.2.9 GFirm classificationCASS 11.3.1 R to CASS 11.3.2 R and CASS 11.3.6 RResponsibility for CASS operational oversightCASS 11.4.1 G to CASS 11.4.4 GDefinition of client money and discharge of fiduciary dutyCASS 11.5.1 R
SYSC 4.4.5RRP

A firm must appropriately allocate to one or more individuals, in accordance with the following table, the functions of:

  1. (1)

    dealing with the apportionment of responsibilities under SYSC 4.4.3 R; and

  2. (2)

    overseeing the establishment and maintenance of systems and controls under SYSC 4.1.1 R.

  3. 1: Firm type

    2: Allocation of both functions must be to the following individual, if any (see Note):

    3: Allocation to one or more individuals selected from this column is compulsory if there is no allocation to an individual in column 2, but is otherwise optional and additional:

    (1) A firm which is a body corporate and is a member of a group, other than a firm in row (2)

    (1) the firm'schief executive (and all of them jointly, if more than one); or

    the firm's and its group's:

    (1) directors; and

    (2) senior managers

    (2) a director or senior manager responsible for the overall management of:

    (a) the group; or

    (b) a group division within which some or all of the firm'sregulated activities fall

    (2) An EEA SMCR firm14 (note: only the functions in SYSC 4.4.5R (2) must be allocated)

    (not applicable)

    the firm's and its group's:

    (1) directors; and

    (2) senior managers

    (3) Any other firm

    the firm'schief executive (and all of them jointly, if more than one)

    the firm's and its group's:

    (1) directors; and

    (2) senior managers

    Note: Column 2 does not require the involvement of the chief executive or other executive director or senior manager in an aspect of corporate governance if that would be contrary to generally accepted principles of good corporate governance.

SUP 10A.17.2GRP
If the firm or its advisers have further questions, they should contact the FCA's Contact Centre (see SUP 10A.12.6 G).
MAR 10.3.1GRP
1The application of this section is set out in the following table:Type of firmApplicable provisionsa 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