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MIFIDPRU 9.1 Application


1This chapter applies to:

  1. (1)

    a MIFIDPRU investment firm;

  2. (2)

    a UK parent entity that is required under MIFIDPRU 2.5.7R to comply with MIFIDPRU 9 on the basis of its consolidated situation; and

  3. (3)

    a GCT parent undertaking that is required to submit reports on its compliance with the group capital test in accordance with MIFIDPRU 2.6.10R.

  1. (1)

    The provisions of SUP 16.3 (General provisions on reporting) listed in (2) apply to reports submitted under this chapter as if the reports had been submitted under SUP 16.

  2. (2)

    The provisions are:

    1. (a)

      SUP 16.3.6R to SUP 16.3.10G (How to submit reports);

    2. (b)

      SUP 16.3.11R to SUP 16.3.12G (Complete reporting); and

    3. (c)

      SUP 16.3.14R to SUP 16.3.16G (Failure to submit reports).


Under SUP 16.3.14R (as applied to reports under this chapter by MIFIDPRU 9.1.2R), a £250 administrative fee applies where a firm does not submit a complete report by the date on which that report is due under the applicable requirements and submission procedures. SUP 16.3.14AG explains that the FCA may also take disciplinary action in appropriate cases.