Related provisions for SUP 15.7.5A

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SUP 10C.16.6GRP
Failing to disclose relevant information to the FCA may be a criminal offence under section 398 of the Act.
SUP 16.7A.5RRP
A firm in the RAG group in column (1), which is a type of firm in column (2) and whose ultimate parent is a mixed activity holding company must: (1) submit the annual report and accounts of the mixed activity holding company to the FCA annually; and(2) notify the FCA that it is covered by this reporting requirement by email using the email address specified in SUP 16.3.10 G (3), by its accounting reference date.(1)(2)RAGFirm type1UK bank3IFPRU investment firmBIPRU firm4IFPRU investment
COLL 7.4A.3GRP
This table belongs to COLL 7.4A.1G (5) (Explanation of COLL 7.4A)Summary of the main steps in winding up an ACS or terminating a sub-fund of a co-ownership scheme under FCArulesNotes: N = Notice to be given to the FCA under section 261Q of the Act in a section 261Q case.R = Request to wind up the scheme under section 261W of the Act in a section 261W case. E = commencement of winding up or terminationW/U = winding upFAP = final accounting periodStep numberExplanationWhenCOLLrule,
REC 2.4A.1UKRP
1Schedule to the Recognition Requirements Regulations, paragraph 2A(1)The composition of the management body of a [UK RIE] must reflect an adequately broad range of experience.(2)The management body must possess adequate collective knowledge, skills and experience in order to understand the [UK RIE’s] activities and main risks.(3)Members of the management body must -(a)commit sufficient time to perform their functions on the management body;(b)act with honesty, integrity and independence
PRIN 2.1.1RRP
The Principles1 IntegrityA firm must conduct its business with integrity.2 Skill, care and diligenceA firm must conduct its business with due skill, care and diligence.3 Management and controlA firm must take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems.4 Financial prudenceA firm must maintain adequate financial resources.5 Market conductA firm must observe proper standards of market conduct.6 Customers'