Related provisions for CONC 1.2.1

SUP 16.12.4R01/08/2022

Table of applicable rules containing data items 4, frequency and submission periods

(1)		(2)	(3)	(4)
RAGnumber	Regulated Activities	Provisions containing:
RAGnumber	Regulated Activities	applicabledata items	reporting frequency/ period	due date32 32
	27 12 12	37
RAG 1	• accepting deposits • meeting of repayment claims 76 • managing dormant asset funds (including the investment of such funds)93 76	RAG 1 firms should complete their prudential reporting requirements as set out in the PRA Rulebook.76
RAG 2.1	• effecting contracts of insurance • carrying out contracts of insurance • entering as provider into a funeral plan contract 88• carrying out a funeral plan contract as provider	71 RAG 2.1 firms should complete their prudential reporting requirements as set out in the PRA Rulebook except firms carrying out funeral plan provision activities in relation to which SUP 16.12.8AR applies.88 2	71 2	71 2
RAG 2.2	• managing the underwriting capacity of a Lloyds syndicate as a managing agent at Lloyds • advising on syndicate participation at Lloyds • arranging deals in contracts of insurance written at Lloyds	SUP 16.12.9 R2	SUP 16.12.9 R2	SUP 16.12.9 R2
RAG 3	• dealing in investment as principal • dealing in investments as agent • advising on investments (except P2P agreements) 67 (excluding retail investment activities) • arranging (bringing about) deals in investments (excluding retail investment activities) • advising on P2P agreements (when carried on exclusively with or for professional clients)67	SUP 16.12.10 R2 SUP 16.12.11 R78 89 37 37	SUP 16.12.10 R2SUP 16.12.12 R78 37	SUP 16.12.10 R2SUP 16.12.13 R
RAG 4	• managing investments • establishing, operating or winding up a collective investment scheme • establishing, operating or winding up a stakeholder pension scheme • establishing, operating or winding up a personal pension scheme2 • managing an AIF 38 • managing a UK UCITS 82 • operating an electronic system in relation to lending (FCA-authorised persons only)48 38 38 38 5	SUP 16.12.14 R2 SUP 16.12.15 R78 89 37 37	SUP 16.12.14 R2SUP 16.12.16 R78 37	SUP 16.12.14 R2SUP 16.12.17 R
RAG 5	• home finance administration or home finance providing activity 11 • the activity of a P2P platform operator facilitating a home finance transaction, where the lender or provider does not require permission to enter into the transaction83 11	76SUP 16.12.18BR 37 and SUP 16.12.18C R58 2 58	76SUP 16.12.18BR 37 and SUP 16.12.18C R58 2 58	76SUP 16.12.18BR 37 and SUP 16.12.18C R58 2 58
RAG 6	• safeguarding and administration of assets (without arranging) • arranging safeguarding and administration of assets • acting as trustee or depositary of an AIF 38 • acting as trustee or depositary of a UK UCITS 82 38 40 38 38	SUP 16.12.19A R2	SUP 16.12.20 R2	SUP 16.12.21 R2
RAG 7	• retail investment activities • advising on P2P agreements (except when carried on exclusively with or for professional clients)67 • advising on pensions transfers & opt-outs • arranging (bringing about deals) in retail investments	SUP 16.12.22A R89 37 78 37	SUP 16.12.23A R78 37 37	SUP 16.12.24AR78
RAG 8	• making arrangements with a view to transactions in investments • operating a multilateral trading facility4 • operating an organised trading facility35	SUP 16.12.25AR89 80 37 78 37	SUP 16.12.26 R	SUP 16.12.27 R
RAG 9	• home finance mediation activity 14 • insurance distribution activity 84 (non-investment insurance contracts)88• funeral plan distribution 14	SUP 16.12.28A R14	SUP 16.12.28A R14	SUP 16.12.28A R14
RAG 10	• the activities of an RIE 96 96	SUP 16.12.29 G2	SUP 16.12.29 G2	SUP 16.12.29 G2 32
32 RAG 11 81	bidding in emissions auctions 87 81	SUP 16.12.29AR87 81	SUP 16.12.29AR87 81	SUP 16.12.29AR87 81
47 RAG 12 71	• credit-related regulated activity	SUP 16.12.29C R	SUP 16.12.29C R	SUP 16.12.29C R

SUP 12.5.6BG21/03/2016

4(1) The effect of SUP 12.5.6A R (1)(a) is that, in relation to designated investment business with retail clients7, appointed representatives are restricted to one principal.47(1A) The effect of SUP 12.5.6A R (1A) is that tied agents are restricted to one principal when acting as such. A tied agent who has a MiFID investment firm or a third country investment firm as a principal may have other principals who are not MiFID investment firms or third country investment firms.8(2)

CREDS 9.2.1R01/04/2014

A credit union must provide the FCA, once a year, with a report in the format set out in CREDS 9 Annex 1 R (Credit Union complaints return) which contains (for the relevant reporting period) information about:(1) the total number of complaints received by the credit union;(2) (for the product/service groupings within section 5)3 the number of complaints closed by the credit union:(a) within eight weeks of receipt; and(b) more than eight weeks after receipt;(2A) (for other lending

MCOB 14.1.6G21/03/2016

(1) A firm should generally make one election under MCOB 14.1.5R for all of its MCD article (3)(1)(b) credit intermediation activity or all of its lending under MCD article 3(1)(b) credit agreements, at any given time.(2) Where a firm wishes to make different elections for different types of MCD article (3)(1)(b) credit intermediation activity or lending under MCD article 3(1)(b) credit agreements, it should maintain processes to ensure that the rules applicable to each type of

DISP 2.1.1G29/07/2022

The purpose of this chapter is to set out rules and guidance on the scope of the Compulsory Jurisdiction and the Voluntary Jurisdiction, which are the Financial Ombudsman Service's two 819jurisdictions:819819(1) the Compulsory Jurisdiction is not restricted to regulated activities,718payment services6 , 9 issuance ofelectronic money, 718 and CBTL business 9 and covers:9(a) certain complaints against firms (and businesses which were firms at the time of the events complained about);819(b)

SUP 16.1.3R18/09/2024

Application of different sections of SUP 16 (excluding49 SUP 16.13, SUP 16.15, 60SUP 16.22 and56 SUP 16.2656)50 53 42 66 39 3927

8 8 8 9 9 9 9

(1) Section(s)	(2) Categories of firm to which section applies				(3) Applicable rules and guidance
SUP 16.1,SUP 16.2andSUP 16.3	All categories of firm except:				Entire sections
	(a)	an ICVC;
	(b)	[deleted]51
		51	51 20
		51	51 49
		51 3	51 14 14 39
		51 39	51
	(c)	[deleted]51
SUP 16.4 and SUP 16.52	All categories of firm except:				Entire sections
	(-a)	a credit union;2
	(a)	an ICVC;
	(b)	[deleted]51
	(c)	[deleted]51
	(d)	a non-directive friendly society;
	(e)4	[deleted]4
	(f)	a sole trader;
	(g)	a service company;
	(h)	[deleted]51 8 8
	(i)8	a firm with permission to carry on only retail investment activities;8
	(ia)38	a firm with permission only to advise on P2P agreements (unless that activity is carried on exclusively with or for professional clients);38
	(j)8	a firm with permission to carry on only insurance distribution activity 52, home finance mediation activity,16 or both;8 16
	(ja)30	an FCA-authorised person with permission to carry on only credit-related regulated activity;
	48(jb)	a firm with permission to carry on only regulated claims management activities;
	58(jc)	a firm with permission to carry on only funeral plan distribution;
	(k)8	a firm falling within a combination of (i), (ia), (j), (ja), (jb) and (jc)58. 30 48 38 30
	46(l)	a firm with permission to carry on only the regulated activity of administering a benchmark;
SUP 16.6	Bank 27				SUP 16.6.4 R to SUP 16.6.5 R
	41				41
					36
	41				41 26 28
	41 28				41 28
	Depositary of an authorised fund 41				SUP 16.6.6R to SUP 16.6.11R41
33SUP 16.7A	A firm subject to the requirement in SUP 16.7A.3 R or SUP 16.7A.5 R				Sections as relevant
SUP 16.8	Insurer with permission to effect or carry out life policies, unless it is a non-directive friendly society 3				Entire section
	3 Firm with permission to establish, operate or wind up a personal pension scheme or a stakeholder pension scheme 14 14				Entire section3
5	5				5
SUP 16.109	All categories of firm except:9				Entire section9
	(a)9	an ICVC;9and51
	(b)9	[deleted]51 21 42
	(c)9	[deleted]42 21 9
	21(d)	a dormant asset fund operator 61.
32SUP 16.11	(1)	A firm, other than a managing agent, which is:
		(a)	a home finance provider; or		Entire section
		(b)	an insurer; or		Entire section
		(c)	the operator of a regulated collective investment scheme or an investment trust savings scheme; or		Entire section
		(d)	a person who issues or manages the relevant assets of the issuer of a structured capital-at-risk product; or		Entire section
		(e)	one of the following:64
			64(i)	a non-threshold short-term loan firm;	SUP 16.11.1R(1), SUP 16.11.3R(1), SUP 16.11.5R, SUP 16 Annex 20R and SUP 16 Annex 21R.
			64(ii)	a threshold 1 category A firm;	Entire section
			64(iii)	a threshold 1 category B firm;	Entire section
			64(iv)	a threshold 2 category A firm; or	Entire section
			64(v)	a threshold 2 category B firm.	Entire section
	(2)	a firm in whom the rights and obligations of the lender under a regulated mortgage contract are vested.			The provisions governing performance data reports in SUP 16.11 and SUP 16 Annex 21
17SUP 16.12	A firm undertaking the regulated activities as listed in SUP 16.12.4 R, unless exempted in SUP 16.12.1 G				Sections as relevant to regulated activities as listed in SUP 16.12.4 R23
23 24 25SUP 16.14	A CASS large firm and a CASS medium firm				Entire section29
29SUP 16.18	A full-scope UK AIFM and a small authorised UK AIFM				SUP 16.8.3 R
[deleted]60 34	59 43
40SUP 16.23	A firm subject to the Money Laundering Regulations and within the scope of SUP 16.23.1R				Entire Section
47SUP 16.23A	A firm undertaking the regulated activities in SUP 16.23A.1R51				Entire section
43SUP 16.24	A firm with permission to effect or carry out contracts of insurance in relation to life and annuity contracts of insurance 45 to the extent that the firm and its business falls within the scope of SUP 16.24.1R.				Entire Section
48SUP 16.25	A firm with permission to carry on regulated claims management activities.				Entire section
53SUP 16.27	A firm which, in respect of general insurance contracts, is:				Entire section
	(a)	an insurer;
	(b)	55a 55(i) TP firm which has temporary permission; or 55 (ii) a Gibraltar-based firm, treated as having permission, to effect contract of insurance 55 including those providing services from an establishment outside the UK with a customer in the UK 55;
	(c)	a managing agent; or
	(d)	an insurance intermediary,
	to the extent that the firm and its business falls within the scope of SUP 16.27.7R.
57SUP 16.28	A firm which, in respect of general insurance contracts, is:				Entire section
	(1)			an insurer;
	(2)			a managing agent;
	(3)			an insurance intermediary;
	(4)			a TP firm; or
	(5)			a Gibraltar-based firm that is not a TP firm.
	to the extent that the firm and its business falls within the scope of SUP 16.28.8R.
62SUP 16.29	A MIFIDPRU investment firm other than in the circumstances specified in SUP 16.29.1R.				Entire section
62SUP 16.30	A person who is:63				Entire section63
	(1)			a firm except as specified in SUP 16.30.1R;63
	(2)			an authorised electronic money institution;63
	(3)			an authorised payment institution;63
	(4)			a registered account information service provider;63
	(5)			a small electronic money institution;63
	(6)			a small payment institution;63
	(7)			a UK RIE.63
SUP 16.31	A firm with approver permission.				Entire section
65SUP 16.32	A designated firm				Entire section
Note 127[deleted]26 26
27Note 2 50The application of SUP 16.13 is set out under SUP 16.13.1 G;66 the application of SUP 16.15 is set out under SUP 16.15.1 G; the application of SUP 16.16 is set out SUP 16.16.1 R and SUP 16.16.2 R the application of SUP 16.17 is set out in SUP 16.17.3 R and SUP 16.17.4 R66; and the application of SUP 16.26 is set out in SUP 16.26.1R50. 43 66
29Note 3 50The application of SUP 16.18 for the types of AIFMs specified in SUP 16.1.1C G is set out in SUP 16.18.2 G. 43

GEN 7.1.8G26/10/2015

The following provisions of CONC continue to apply where a firm operates a telephone line in respect of the relevant credit-related regulated activities but the call charges rule does not apply (for example, where a telephone line is operated for the purpose of enabling a consumer to contact the firm before a contract has been entered into):(1) CONC 2.5.8R and CONC 2.5.9G (unfair business practices: credit broking);(2) CONC 2.6.3R and CONC 2.6.4G (unfair business practices: debt

Related provisions for CONC 1.2.1

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Application of different sections of SUP 16 (excluding49 SUP 16.13, SUP 16.15, 60SUP 16.22 and56 SUP 16.2656)50 53 42 66 39 3927