Related provisions for MCOB 5.1.1

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SUP 16.12.26RRP

The applicable reporting frequencies for data items referred to in SUP 16.12.25A R are set out according to the type of firm2 in the table below. Reporting frequencies are calculated from a firm'saccounting reference date, unless indicated otherwise.

BIPRU 730K firm

BIPRU 125K firm

BIPRU 50K firm

ConsolidatedBIPRU investment firm

Firms other than BIPRU firms

Annual accounts

Annually

Annually

Annually

Annually 28

Annual accountsof the mixed-activity holding company

Annually

Annually

Annually

Annually

Solvency statement

Annually

Annually

Annually

Annually2

FSA001

Quarterly

Quarterly

Half yearly

Half yearly

FSA002

Quarterly

Quarterly

Half yearly

Half yearly

FSA003

Monthly

Quarterly

Half yearly

Half yearly

FSA004

Quarterly

Quarterly

Half yearly

Half yearly

FSA005

Quarterly

Quarterly

Half yearly

Quarterly

FSA006

Quarterly

Quarterly

Quarterly

FSA007

Annually

Annually

Annually

Annually

FSA008

Quarterly

Quarterly

Quarterly

Quarterly

FSA016

Half yearly

Half yearly

Half yearly

FSA018

Quarterly

Quarterly

Quarterly

FSA019

Annually

Annually

Annually

Annually

FSA028

Half yearly

Half yearly

Half yearly

2FSA029

Quarterly

8

2FSA030

Quarterly

8

2FSA031

Quarterly

2FSA032

Quarterly

2FSA033

Quarterly

8

2FSA034

Quarterly

8

2FSA035

Quarterly

8

2FSA036

Quarterly5

8

2FSA039

Half yearly

Half yearly

Half yearly

Half yearly

Half yearly

2FSA040

Quarterly

Quarterly

Quarterly

Quarterly

Quarterly3

6FSA045

Quarterly

Quarterly

Half yearly

Half yearly

6FSA046

Half yearly

Half yearly

Half yearly

Half yearly

5Section A RMAR

Half yearly (note 2) Quarterly (note 3)

5Section B RMAR

Half yearly (note 2) Quarterly (note 3)

5Section C RMAR

Half yearly (note 2) Quarterly (note 3)

5Section D1 and D2 RMAR

Half yearly (note 2) Quarterly (note 3)

5Section F RMAR

Half yearly

2Note 1

[deleted]8

8

5Note 2

Annual regulated business revenue up to and including £5 million.

5Note 3

Annual regulated business revenue over £5 million.

MCOB 5.1.2RRP
This table belongs to MCOB 5.1.1 R(1) Category of firm(2) Applicable sectionmortgage lendermortgage advisermortgage arrangerwhole chapter except MCOB 5.822home purchase providerhome purchase adviserhome purchase arrangerMCOB 5.1.1 R to MCOB 5.1.3 R, MCOB 5.1.6 R to MCOB 5.1.8 G, MCOB 5.2, MCOB 5.3 and MCOB 5.8.MCOB 5.5 and MCOB 5.6 in accordance with MCOB 5.82reversion providerreversion adviserreversion arrangersee MCOB 9.3 for the application of this chapter
ICOBS 1.1.4GRP
Guidance on the application provisions is in ICOBS 1 Annex 1 (Part 4).
MCOB 8.1.1RRP
This chapter applies to a firm in a category listed in column (1) of the table in MCOB 8.1.2 R in accordance with column (2) of that table.
MCOB 8.1.2RRP
This table belongs to MCOB 8.1.1 R(1) Category of firm(2) Applicable sectionequity release provider44whole chapter except MCOB 8.5 and MCOB 8.74equity release adviser44whole chapter except MCOB 8.6. MCOB 8.7 does not apply in relation to a lifetime mortgage4equity release arranger44whole chapter except MCOB 8.5. MCOB 8.7 does not apply in relation to a lifetime mortgage4
MCOB 7.1.1RRP
This chapter applies to a firm in a category listed in column (1) of the table in MCOB 7.1.2 R in accordance with column (2) of that table.
MCOB 7.1.2RRP
This table belongs to MCOB 7.1.1R(1) Category of firm(2) Applicable sectionmortgage lenderwhole chapter except MCOB 7.82mortgage administratorMCOB 7.1 - MCOB 7.32and MCOB 7.5 - MCOB 7.7.2mortgage adviser and mortgage arrangerMCOB 7.1 - MCOB 7.32and MCOB 7.6.7 R - MCOB 7.7.4 R22home purchase providerMCOB 7.1.1 R to MCOB 7.1.4 R, MCOB 7.2, MCOB 7.3 and MCOB 7.82home purchase administratorAs for a home purchase provider except MCOB 7.8.1 R and MCOB 7.8.2 G do not apply2home purchase
MCOB 4.1.1RRP
This chapter applies to a firm in a category listed in column (1) of the table in MCOB 4.1.2 R in accordance with column (2) of that table.
MCOB 2.1.1RRP
This chapter applies to a firm in a category listed in column (1) of the table in MCOB 2.1.2 R in accordance with column (2) of that table.
MCOB 2.1.2RRP
This table belongs to MCOB 2.1.1 R(1) Category of firm(2) Applicable sectionmortgage lendermortgage administratormortgage advisermortgage arrangerwhole chapter except MCOB 2.2.6A R, MCOB 2.2.8A R, MCOB 2.2.8B G. MCOB 2.6A and MCOB 2.8.6 G11home purchase providerMCOB 2.1, MCOB 2.2.1 G, MCOB 2.2.6 R to MCOB 2.2.9 G, MCOB 2.5, MCOB 2.6, MCOB 2.6A.1 R to MCOB 2.6A.4 G, MCOB 2.6A.7 G to MCOB 2.6A.10 G, MCOB 2.7.4 R to MCOB 2.7.6 R, MCOB 2.7A2 and MCOB 2.8.6 G1home purchase administratorAs
MCOB 9.1.2RRP
This table belongs to MCOB 9.1.1 R(1) Category of firm(2) Applicable sectionmortgage lender1MCOB 9.1 - MCOB 9.4.132 R, MCOB 9.5 - MCOB 9.822mortgage administratorMCOB 9.1, MCOB 9.2, MCOB 9.6 and MCOB 9.82mortgage adviser; mortgage arranger2MCOB 9.1 - MCOB 9.4.132 R2and MCOB 9.8.5 R - MCOB 9.8.10 R222reversion providerMCOB 9.1 - MCOB 9.4.17A R, MCOB 9.4.133 R -MCOB 9.6; MCOB 9.92reversion administratorMCOB 9.1, MCOB 9.6 and MCOB 9.92reversion adviser; reversion arrangerMCOB 9.1
MCOB 6.1.1RRP
This chapter applies to a firm in a category listed in column (1) of the table in MCOB 6.1.2 R in accordance with column (2) of that table.
MCOB 6.1.2RRP
This table belongs to MCOB 6.1.1R(1) Category of firm(2) Applicable sectionmortgage lenderwhole chapter except MCOB 6.833home purchase providerMCOB 6.1 (except MCOB 6.1.6 G), MCOB 6.2 and MCOB 6.8reversion providersee MCOB 9.5 for the application of this chapter
SUP 3.1.1RRP
This chapter applies to:(1) every firm within a category listed in column (1) of the table in SUP 3.1.2 R; and(2) the external auditor of such a firm (if appointed under SUP 3.3 or appointed under or as a result of a statutory provision other than in the Act);in accordance with column (2) or (3) of that table, except as described in the remainder of this section.2
SUP 3.1.2RRP
Applicable sections (see SUP 3.1.1 R)(1) Category of firm(2) Sections applicable to the firm(3) Sections applicable to its auditor(1) Authorised professional firm which is required by IPRU(INV) 2.1.2R to comply with chapters 3, 5,1019 or 13 of IPRU(INV) and which has an auditor appointed under or as a result of a statutory provision other than in the Act9 (Note 1)19SUP 3.1 - SUP 3.7SUP 3.1, SUP 3.2, SUP 3.8,19SUP 3.1019(2) Authorised professional firm not within (1) to which the
SUP 6.4.16GRP

Types of reports. See SUP 6.4.15 G

Category of firm

Type of report

a bank or building society

• an audited balance sheet which confirms that, in the auditor's opinion, the firm has no remaining deposit liabilities to customers;

• a report from auditors or reporting accountants;

a securities and futures firm

• a report from auditors or reporting accountants

an insurer

• an audited closing balance sheet which demonstrates that the firm has no insurance liabilities to policyholders;

• a report from the auditors or reporting accountants; and

• in some cases, an actuarial opinion as to the likelihood of any remaining liabilities to policyholders.