Related provisions for SUP 16.11.8
2The applicable data items, reporting frequencies and submission deadlines referred to in SUP 16.12.4 R are set out in the table below. Reporting frequencies are calculated from a firm'saccounting reference date, unless indicated otherwise. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period.
Frequency |
Submission deadline |
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Annual regulated business revenue up to and including £5 million |
Annual regulated business revenue over £5 million |
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Balance Sheet |
Section A RMAR |
Half yearly |
Quarterly |
|
Income Statement |
Section B RMAR |
Half yearly |
Quarterly |
|
Capital Adequacy (note 3)58 |
Section D1 RMAR |
Half yearly |
Quarterly |
|
Professional indemnity insurance (note 2)11 |
Section E RMAR |
Half yearly |
Quarterly 11 11 |
|
Threshold Conditions |
Section F RMAR |
Half yearly |
Half yearly |
|
Training and Competence |
Section G RMAR |
Half yearly |
Half yearly |
|
COBS11 data |
Section H RMAR |
Half yearly |
Half yearly |
|
Supplementary product sales data |
Section I RMAR |
Half yearly11 11 |
Annually |
|
Client money and client assets (note 3)58 |
Section C RMAR |
Half yearly |
Quarterly |
|
Fees and levies |
Section J RMAR |
Annually |
Annually |
|
Note 1 |
When submitting the completed data item required, a firm must use the format of the data item set out in SUP 16 Annex 18A. Guidance notes for the completion of the data items is set out in SUP 16 Annex 18B. |
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11Note 2 |
This item only applies to firms that may be subject to an FCA68 requirement to hold professional indemnity insurance and are not exempt CAD firms. |
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58Note 3 |
This item does not apply to firms who only carry on home finance mediation activities exclusively in relation to second charge regulated mortgage contracts or legacy CCA mortgage contracts (or both)66 and who are not otherwise expected to complete it by virtue of carrying out other regulated activities. |
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