Related provisions for SUP 10A.12.3

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SUP 13.8.1AGRP
4The effect of SUP 13.8.1 R (1) is that a firm should submit any form, notice or application under SUP 13.8.1 R (1) in the following ways:(1) A UK firm, other than a credit union, should submit it online at using the online notification and application system13. 161688(2) If the information technology systems fail and online submission is unavailable for 24 hours or more, until such time as facilities for online submission are restored, a firm should submit it
The contact point in CREDS 9.2.1 R5 can be by name or job title and may include, for example, a telephone number.
(1) 2A SRB intermediary must for each regulated sale and rent back agreement in relation to which it carries on regulated sale and rent back mediation activity keep a record of the contact details of the provider that enters into or is proposed to enter into the agreement, making it clear whether the provider is a SRB agreement provider or an unauthorised SRB agreement provider.(2) The record in (1) must be retained for a period of one year, or one year from the end of the fixed
SUP 3.10.5ARRP
5In relation to a client assets report provided in accordance with SUP 3.10.4 R, an auditor must ensure that it:(1) is submitted in the form prescribed by SUP 3 Annex 1 R; and(2) is signed on behalf of the audit firm by the individual with primary responsibility for a firm's client assets report and in that individual’s own name.
The effect of BIPRU 12.1.4R is therefore to require the firm to sum the values of cell entries 20A and 20B in data item FSA001 and deduct from that total the sum of the values of cell entries 42, 43 and 44 in the same data item.
SUP 16.3.7RRP
A report or data item13 must:13(1) give the firm reference number (or all the firm reference numbers in those cases where a report is submitted on behalf of a number of firms, as38 set out in SUP 16.3.25 G)13; and4040(2) if submitted in paper form, be submitted with the cover sheet contained in SUP 16 Annex 13 R4040 fully completed13.21
2A firm applying for a person to be approved to perform a significant influence function is required to submit with Form A (long and short form) a scope of responsibilities document (see SUP 10A Annex 4D).
MAR 10.5.8GRP
1The power of the FCA referred to in MAR 10.5.2G is exercisable subject to the decision-making procedures in DEPP 2 Annex 2G (Supervisory notices) (and other provisions in DEPP, as appropriate).
SUP 16.10.5GRP
The firm details are made available to the firm when the firm logs into the appropriate section of the FCA’s website. The firm should check the firm details and send any corrections to the FCA.15 The FCA’s preferred method of receiving corrections to firm details is by the online forms available at the FCA’s website.1310171713101717101717131017172
SUP 16.20.6RRP
2A firm must submit its recovery plan and the information required for its resolution plan to the FCA online through the appropriate systems accessible from the FCA’s website, using the forms specified in SUP 16 Annex 40R.
SUP 13A.4.5RRP
5An incoming EEA firm that is exercising an EEA right under the auction regulation to establish a branch in the United Kingdom must submit the form in SUP 13A Annex 4 R prior to its establishment of that branch or whenever possible thereafter.
SUP 12.1.1CGRP
5 For an EEA MiFID investment firm, in our view, rules in this chapter that are within the scope of MiFID apply only to its MiFID business to the extent they relate to the knowledge and competence of one or more of its UK tied agents. An EEA MiFID investment firm should complete the Appointed representative appointment form in SUP 12 Annex 3R when appointing a UK tied agent to carry on MiFID business on its behalf. [Note: article 29(3) of MiFID]
SUP 16.15.8DRP

The table below sets out the format, reporting frequency and due date for submission in relation to regulatory returns that apply to electronic money issuers that are not credit institutions.


Type of electronic money issuer






Reporting Frequency


Due date (Note 4)

Authorised electronic money institution (Note 1)

EMI and SEMI Questionnaire 3


Annual 3 (Note 3)

30 business days






Small electronic money institutions (Note 2)

EMI and SEMI Questionnaire 3


Annual3 (Note 5)

30 business days

Total electronic money outstanding @ 31st December


Annual (Note 5)

1 month3


(a) the Post Office Limited

(b) the Bank of England, the ECB and the national central banks of EEA States other than the United Kingdom

(c) Government departments and local authorities

(d) credit unions

(e) municipal banks

(f) the National Savings Bank

Average outstanding electronic money

No standard format

Annual 3 (Note 6)

30 business days

Note 1

When submitting the completed returns required, the authorised electronic money institution must use the format of the returns set out in SUP 16 Annex 30HD. Guidance notes for the completion of the return are set out in SUP 16 Annex 30IG3.

Note 2

When submitting the completed returns required, the small electronic money institution must use the format of the returns set out in SUP 16 Annex 30JD (FIN060) and SUP 16 Annex 30GD (FSA065). Guidance notes for the completion of the FIN060 return are set out in SUP 16 Annex 30KG3.

Note 3

This3 field is calculated from the authorised electronic money institution'saccounting reference date.

Note 4

The due dates for returns are the last day of the periods given in column (5) of the table above following the relevant reporting frequency period set out in column (4) of the table above.

Note 5

The reporting frequency in relation to FSA065 is calculated from 31 December each calendar year. In relation to FIN060,3 this field is calculated from the small electronic money institution'saccounting reference date.

Note 6

This is calculated from 31 December each calendar year.

4A firm that makes an application to the FCA for a waiver in accordance with articles 4 or 9 of MiFIR (in relation to pre-trade transparency for equity or non-equity instruments) must make it in the form set out in MAR 5 Annex 1D. [Note: articles 4 and 9 of MiFIR, MiFID RTS 1 and MiFID RTS 2]
SUP 15.12.1RRP
A firm must notify the FCA, using the form in SUP 15 Annex 8R, where:(a) in any 12-month period, it has upheld three complaints about matters relating to activities carried out by any one employee when acting as a retail investment adviser; or(b) it has upheld a complaint about matters relating to activities carried out by any one employee when acting as a retail investment adviser, where the redress paid exceeds £50,000.(2) A notification made under (1)(a) must be made by the
LR 8.7.7ARRP
7Written confirmation must be provided by submitting a completed Sponsor Annual Notification Form to the FCA at the FCA's address.[Note: The Sponsor Annual Notification Form can be found on the UKLA section of the FCA's website.]
GEN 4.3.8GRP
8A credit firm which carries on the activity of entering into a regulated credit agreement as lender , in respect of an agreement 9to which articles 5 and 6 of the Consumer Credit Directive apply is under an obligation to disclose pre-contract information in the form and to the extent required by the Consumer Credit (Disclosure of Information) Regulations 2010 (SI 2010/1013)9. Firms which carry on credit broking may take on the same obligation. A credit firm must also ensure specified
2For the purpose of BIPRU 12.6.6 R, a firm must calculate:(1) its total assets by reference to its most recent FSA001 data item; and (2) its retail loans as the total of its lending to the retail sector recorded in cell 11A in its most recent FSA015 data item.
If the Part 4A permission of a firm contains a requirement obliging it to comply with this rule with respect to a third-country banking and investment group of which it is a member, it must comply, with respect to that third-country banking and investment group, with the rules in Part 2 of GENPRU 3 Annex 2, as adjusted by Part 3 of that annex.