IPRU-INV 11.7 CAPITAL REPORTING

The reporting requirements of capital adequacy for a collective portfolio management firm and a collective portfolio management investment firm are set out in SUP 16.12 (Integrated regulatory reporting). In summary, the relevant capital adequacy forms for its business of managing an AIF or managing a UCITS are as follows:

1. (1)

   a collective portfolio management firm is required to submit FIN066 (and FSA042 if it is a UCITS firm);

2. (2)

   a collective portfolio management investment firm that is an IFPRU investment firm is required to submit FIN067 (and FSA042 if it is a UCITS investment firm)

   and report using COREP; and

3. (3)

   a collective portfolio management investment firm that is a BIPRU firm is required to submit FIN068 (and FSA042 if it is a UCITS investment firm) and FSA003.