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Related provisions for SUP 16.3.4

1 - 3 of 3 items.

SUP 16.6.5R21/06/2001

Compliance reports from a bank and an ELMI (see SUP 16.6.4 R)

Report	Frequency	Due date
List of all overseas regulators for each legal entity in the firm's group	Annually	6 months after the firm's accounting reference date
Organogram showing the authorised entities in the firm's group	Annually	6 months after the firm's accounting reference date

SUP 16.6.7R21/06/2001

Compliance reports from trustees of AUTs, depositaries of ICVCs, and OPS firms (see SUP 16.6.6 R)

Report	Frequency	Due date
Report from a trustee of an AUT on manager's failures as set out in SUP 16.6.8 R (1)	Quarterly	1 month after quarter end (Note)
Report from a depositary of an ICVC on failures by the authorised corporate director as set out inSUP 16.6.8 R (2)	Quarterly	1 month after quarter end (Note)
OPS firms only: Annual accounts of each occupational pension scheme in respect of which the firm is acting	Annually	7 months after end of the scheme year
OPS firms only: Audited annual accounts of each OPS collective investment scheme in respect of which the firm is acting	Annually	7 months after end of the scheme year
Note = The quarter ends are 31 March, 30 June, 30 September, 31 December.1