Related provisions for SUP 16.3.7

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SUP 16.12.13RRP

The applicable due dates for submission referred to in 11SUP 16.12.4 R112 are set out in the table below. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period set out in SUP 16.12.12 R, unless indicated otherwise.13

89Data item

Quarterly

Half yearly

Annual

Solvency statement

3 months

FSA029

20 business days

(note 1)

30 business days

(note 2)

FSA030

20 business days

(note 1)

30 business days

(note 2)

[deleted]94

[deleted]94

FSA033

20 business days

FSA034

20 business days

FSA035

20 business days

FSA039

30 business days

FSA040

15 business days

FIN067

20 business days

FIN071

20 business days

MIF001

20 business days

(note 1)

30 business days

(note 2)

MIF002

20 business days

(note 1)

30 business days

(note 2)

MIF003

20 business days

(note 1)

30 business days

(note 2)

MIF004

20 business days

(note 1)

30 business days

(note 2)

MIF005

20 business days

(note 1)

30 business days

(note 2)

MIF006

20 business days

MIF007

The submission date that applies under MIFIDPRU 7.8.4R

Section A RMAR

30 business days

30 business days

Section B RMAR

30 business days

30 business days

Section C RMAR

30 business days

30 business days

Section D1 RMAR

30 business days

30 business days

Section F RMAR

30 business days

MLA-M

20 business days

Note 1

For reports relating to the position of an individual firm.

Note 2

For reports relating to the consolidated situation of an investment firm group.

SUP 16.12.16RRP

The applicable reporting frequencies for data items referred to in SUP 16.12.15 R2 are set out in the table below according to firm type. Reporting frequencies are calculated from a firm'saccounting reference date, unless indicated otherwise.

89Data item

Non-SNI MIFIDPRU investment firm

SNI MIFIDPRU investment firm

Investment firm group

Firm other than a MIFIDPRU investment firm

Solvency statement

Annually

Annually

Annually

FSA029

Quarterly

Quarterly

Quarterly

Quarterly

FSA030

Quarterly

Quarterly

Quarterly

Quarterly

[deleted]94

[deleted]94

FSA033

Quarterly

FSA034

Quarterly

FSA035

Quarterly

FSA03895

Half yearly 95

Half yearly 95

Half yearly 95

FSA039

Half yearly

Half yearly

Half yearly

FIN067

Quarterly

(note 3)

Quarterly

(note 3)

FIN071

Quarterly

MIF001

Quarterly

(note 3)

Quarterly

(note 3)

Quarterly

(note 3)

MIF002

Quarterly

(note 3)

Quarterly

(note 3)

Quarterly

(note 3)

MIF003

Quarterly

(note 3)

Quarterly

(note 3)

Quarterly

(note 3)

MIF004

Quarterly

(note 3)

Quarterly

(note 3)

MIF005

Quarterly

Quarterly

MIF006

Quarterly

(note 3)

Quarterly

(note 3)

MIF007

Annually

(note 4)

Annually

(note 4)

Section A RMAR

Half yearly

(note 1)

Quarterly

(note 2)

Section B RMAR

Half yearly

(note 1)

Quarterly

(note 2)

Section C RMAR

Half yearly

(note 1)

Quarterly

(note 2)

Section D1 RMAR

Half yearly

(note 1)

Quarterly

(note 2)

Section F RMAR

Half yearly 90

Note 1

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

Note 2

Annual regulated business revenue over £5 million.

Note 3

Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not by reference to the firm’saccounting reference date. The relevant quarters end on the last business day of March, June, September and December.

Note 4

The reporting period for MIF007 is determined by the date on which the firm reviews its ICARA process under MIFIDPRU 7.8.2R and the submission date that applies under MIFIDPRU 7.8.4R.

SUP 16.12.17RRP

The applicable due dates for submission referred to in SUP 16.12.4 R are set out in the table below. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period set out in SUP 16.12.16 R, unless indicated otherwise.13

89Data item

Quarterly

Half yearly

Annual

Solvency statement

3 months

FSA029

20 business days

(note 1)

30 business days

(note 2)

FSA030

20 business days

[deleted]94

[deleted]94

FSA033

20 business days

FSA034

20 business days

FSA035

20 business days

FSA03895

30 business days95

FSA039

30 business days

FIN067

20 business days

FIN071

20 business days

MIF001

20 business days

(note 1)

30 business days

(note 2)

MIF002

20 business days

(note 1)

30 business days

(note 2)

MIF003

20 business days

(note 1)

30 business days

(note 2)

MIF004

20 business days

(note 1)

30 business days

(note 2)

MIF005

20 business days

(note 1)

30 business days

(note 2)

MIF006

20 business days

MIF007

The submission date that applies under MIFIDPRU 7.8.4R

Section A RMAR

30 business days

30 business days

Section B RMAR

30 business days

30 business days

Section C RMAR

30 business days

30 business days

Section D1 RMAR

30 business days

30 business days

Section F RMAR

30 business days

Note 1

For reports relating to the position of an individual firm.

Note 2

For reports relating to the consolidated situation of an investment firm group.

SUP 16.12.20RRP

2The applicable reporting frequencies for submission of data items referred to in SUP 16.12.4 R are set out in the table below. Reporting frequencies are calculated from a firm'saccounting reference date, unless indicated otherwise.

Solvency statement

Annually

69FSA019

Annually

FSA029

Quarterly

8

FSA030

Quarterly

8

[deleted]94

[deleted]94

FSA032

Quarterly

FSA033

Quarterly

8

FSA034

Quarterly

8

FSA035

Quarterly

843

FSA039

Half yearly11

52FIN071

Quarterly

69FIN072

Quarterly

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)

Sections D1 and D2 RMAR80

50505062

Half yearly (note 2)

Quarterly (note 3)

5Section F RMAR

Half yearly

Note 1

[deleted]8

8

5Note 2

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

5Note 3

5Annual regulated business revenue over £5 million.

SUP 16.12.21RRP

2The applicable due dates for submission referred to in SUP 16.12.4 R are set out in the table below. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period set out in SUP 16.12.20 R.

Data item

Quarterly18

Half yearly18

Annual18

Solvency statement

3 months

69FSA019

2 months

FSA029

20 business days

11

FSA030

20 business days

11

[deleted]94

[deleted]94

FSA032

20 business days

FSA033

20 business days

11

FSA034

20 business days

11

FSA035

20 business days

1143

FSA039

30 business days

75

69

FSA040

15 business days 3

52FIN071

20 business days

75FIN072

20 business days

5Section A RMAR

30 business days

30 business days

5Section B RMAR

30 business days

30 business days

5Section C RMAR

30 business days

30 business days

Sections D1 and D2 RMAR80

4917495062

30 business days

30 business days

5Section F RMAR

30 business days

SUP 16.12.22ARRP

2The applicable data items referred to in SUP 16.12.4 R are set out according to type of firm in the table below:

89Description of data item

Firms’ prudential category and applicable data item (note 1)

MIFIDPRU investment firms

Firms subject to IPRU(INV)

Chapter 13

Firms that are also in one or more of RAGs 2 to 6 and not subject to IPRU(INV)

Chapter 13

Solvency statement

No standard format

(note 2)

Balance sheet

FSA029

(note 3)

Section A RMAR

Income statement

FSA030

(note 3)

Section B RMAR

Capital adequacy

MIF001

(notes 3 and 6)

Section D1 RMAR (note 9)

Liquidity

MIF002 (notes 3, 4 and 6)

Metrics monitoring

MIF003

(notes 3 and 6)

Concentration risk

(non-K-CON)

MIF004

(notes 3, 5 and 6)

Concentration risk

(K-CON)

MIF005

(notes 3, 5 and 6)

Group capital test

MIF006

(notes 6 and 8)

ICARA assessment questionnaire

MIF007

(note 6)

Supplementary capital data for collective portfolio management investment firms

FIN067

(note 10)

Professional indemnity insurance (note 11)90

Section E RMAR

Section E RMAR

Section E RMAR

Threshold conditions

Section F RMAR

Training and competence

Section G RMAR

Section G RMAR

Section G RMAR

COBS data

Section H RMAR

Section H RMAR

Section H RMAR

Client money and client assets

Section C RMAR

Section C RMAR

Fees and levies

Section J RMAR

Section J RMAR

Adviser charges

Section K RMAR (note 7)

Section K RMAR (note 7)

Section K RMAR (note 7)

Note 1

When submitting the completed data item required, a firm (except a MIFIDPRU investment firm in relation to an item reported under MIFIDPRU 9) must use the format of the data item set out in SUP 16 Annex 24R, or SUP 16 Annex 18AR in the case of the RMAR. Guidance notes for completion of the data items are contained in SUP 16 Annex 25, or SUP 16 Annex 18BG in the case of the RMAR.

Note 2

Only applicable to a firm that is a sole trader or partnership. Where the firm is a partnership, this report must be submitted by each partner.

Note 3

A UK parent entity of an investment firm group to which consolidation applies under MIFIDPRU 2.5 must also submit this report on the basis of the consolidated situation.

Note 4

Does not apply to an SNI MIFIDPRU investment firm which has been granted an exemption from the liquidity requirements in MIFIDPRU 6.

Note 5

Only applicable to a non-SNI MIFIDPRU investment firm.

Note 6

Data items MIF001 – MIF007 must be reported in accordance with the rules in MIFIDPRU 9.

Note 7

This item only applies to firms that provide advice on retail investment products and P2P agreements.

Note 8

Only applicable to a parent undertaking to which the group capital test applies.

Note 9

Where a firm submits data items for both RAG 7 and RAG 9, the firm must complete Section D1.

Note 10

Only applicable to firms that are collective portfolio management investment firms.

Note 11

This item only applies94 to firms that are subject to an FCA requirement to hold professional indemnity insurance94.

90
SUP 16.12.23ARRP

The applicable reporting frequencies for data items referred to in SUP 16.12.22A R are set out in the table below. Reporting frequencies are calculated from a firm'saccounting reference date, unless indicated otherwise.45

89Data item

Frequency

Non-SNI MIFIDPRU investment firm

SNI MIFIDPRU investment firm

Investment firm group

Annual regulated business revenue up to and including £5 million

Annual regulated business revenue over £5 million

Solvency statement

Annually

Annually

FSA029

Quarterly

Quarterly

Quarterly

FSA030

Quarterly

Quarterly

Quarterly

FIN067

Quarterly

Quarterly

MIF001

Quarterly

(note 1)

Quarterly

(note 1)

Quarterly

(note 1)

MIF002

Quarterly

(note 1)

Quarterly

(note 1)

Quarterly

(note 1)

MIF003

Quarterly

(note 1)

Quarterly

(note 1)

Quarterly

(note 1)

MIF004

Quarterly

(note 1)

Quarterly

(note 1)

MIF005

Quarterly

Quarterly

MIF006

Quarterly

(note 1)

Quarterly

(note 1)

MIF007

Annually

(note 2)

Annually

(note 2)

Section A RMAR

Half yearly

Quarterly

Section B RMAR

Half yearly

Quarterly

Section C RMAR

Half yearly

Quarterly

Section D1 RMAR

Half yearly

Quarterly

Section E RMAR

Half yearly

Half yearly

Half yearly

Half yearly

Quarterly

Section F RMAR

Half yearly

Half yearly

Half yearly

Half yearly

Half yearly

Section G RMAR

Half yearly

Half yearly

Half yearly

Half yearly

Half yearly

Section H RMAR

Half yearly

Half yearly

Half yearly

Half yearly

Half yearly

Section J RMAR

Annually

Annually

Annually

Annually

Annually

Section K RMAR

Annually

Annually

Annually

Annually

Annually

Note 1

Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not by reference to the firm’saccounting reference date. The relevant quarters end on the last business day of March, June, September and December.

Note 2

The reporting period for MIF007 is determined by the date on which the firm reviews its ICARA process under MIFIDPRU 7.8.2R and the submission date that applies under MIFIDPRU 7.8.4R.

SUP 16.12.24ARRP

45The applicable due dates for submission referred to in SUP 16.12.4 R are set out in the table below. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period set out in SUP 16.12.23A R, unless indicated otherwise.

89Data item

Quarterly

Half yearly

Annual

Solvency statement

3 months

FSA029

20 business days

(note 1)

30 business days

(note 2)

FSA030

20 business days

(note 1)

30 business days

(note 2)

FIN067

20 business days

MIF001

20 business days

(note 1)

30 business days

(note 2)

MIF002

20 business days

(note 1)

30 business days

(note 2)

MIF003

20 business days

(note 1)

30 business days

(note 2)

MIF004

20 business days

(note 1)

30 business days

(note 2)

MIF005

20 business days

(note 1)

30 business days

(note 2)

MIF006

20 business days

MIF007

The submission date that applies under MIFIDPRU 7.8.4R

Section A RMAR

30 business days

30 business days

Section B RMAR

30 business days

30 business days

Section C RMAR

30 business days

30 business days

Section D1 RMAR

30 business days

30 business days

Section E RMAR

30 business days

30 business days

Section F RMAR

30 business days

Section G RMAR

30 business days

Section H RMAR

30 business days

Section J RMAR

30 business days

Section K RMAR

30 business days

Note 1

For reports relating to the position of an individual firm.

Note 2

For reports relating to the consolidated situation of an investment firm group.

SUP 16.12.25ARRP

2The applicable data items referred to in SUP 16.12.4 R are set out according to type of firm in the table below:

89Description of data item

Firms’ prudential category and applicable data items (note 1)

MIFIDPRU investment firms

Firms other than MIFIDPRU investment firms

IPRU(INV)

Chapter 3

IPRU(INV)

Chapter 5

91

IPRU(INV)

Chapter 13

Solvency statement

(note 2)

No standard format

Balance sheet

FSA029

(note 3)

FSA029

FSA029

91

Section A RMAR

Income statement

FSA030

(note 3)

FSA030

FSA030

91

Section B RMAR

Capital adequacy

MIF001

(notes 3 and 5)

FSA033

FSA034 or FSA035 or FIN071

(note 4)

91

Section D1 RMAR

Liquidity

MIF002

(notes 3 and 5)

Metrics monitoring

MIF003

(notes 3 and 5)

Concentration risk (non-K-CON)

MIF004

(notes 3, 5 and 7)

Concentration risk (K-CON)

MIF005

(notes 3, 5 and 7)

Group capital test

MIF006

(notes 5 and 6)

ICARA assessment questionnaire

MIF007

(note 5)

Threshold conditions

Section F RMAR (note 17)

Client money and client assets

FSA039

FSA039

FSA039

91

Section C RMAR (note 13) or FSA039

Note 1

All firms (except MIFIDPRU investment firms in relation to items reported under MIFIDPRU 9) when submitting the completed data item required, must use the format of the data item set out in SUP 16 Annex 24. Guidance notes for completion of the data items are contained in SUP 16 Annex 25.

Note 2

Only applicable to a firm that is a sole trader or partnership. Where the firm is a partnership, this report must be submitted by each partner.

Note 3

A UK parent entity of an investment firm group to which consolidation applies under MIFIDPRU 2.5 must also submit this report on the basis of the consolidated situation.

Note 4

FSA034 must be completed by a firm not subject to the exemption in IPRU(INV) 5.4.2R, unless it is a firm whose permitted business includes establishing, operating or winding up a personal pension scheme, in which case FIN071 must be completed.

FSA035 must be completed by a firm subject to the exemption in IPRU(INV) 5.4.2R.

Note 5

Data items MIF001 – MIF007 must be reported in accordance with the rules in MIFIDPRU 9.

Note 6

Only applicable to a parent undertaking to which the group capital test applies.

Note 7

Only applicable to a non-SNI MIFIDPRU investment firm.

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.

89Data item

Non-SNI MIFIDPRU investment firm

SNI MIFIDPRU investment firm

Investment firm group

Firm other than a MIFIDPRU investment firm

Solvency statement

Annually

Annually

Annually

FSA029

Quarterly

Quarterly

Quarterly

Quarterly

FSA030

Quarterly

Quarterly

Quarterly

Quarterly

[deleted] 94

[deleted] 94

FSA033

Quarterly

FSA034

Quarterly

FSA035

Quarterly

FSA039

Half yearly

Half yearly

Half yearly

FIN071

Quarterly

MIF001

Quarterly

(note 3)

Quarterly

(note 3)

Quarterly

(note 3)

MIF002

Quarterly

(note 3)

Quarterly

(note 3)

Quarterly

(note 3)

MIF003

Quarterly

(note 3)

Quarterly

(note 3)

Quarterly

(note 3)

MIF004

Quarterly

(note 3)

Quarterly

(note 3)

MIF005

Quarterly

Quarterly

MIF006

Quarterly

Quarterly

MIF007

Annually

(note 4)

Annually

(note 4)

Section A RMAR

Half yearly

(note 1)

Quarterly

(note 2)

Section B RMAR

Half yearly

(note 1)

Quarterly

(note 2)

Section C RMAR

Half yearly

(note 1)

Quarterly

(note 2)

Section D1 RMAR

Half yearly

(note 1)

Quarterly

(note 2)

Section F RMAR

Half yearly

Note 1

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

Note 2

Annual regulated business revenue over £5 million.

Note 3

Reporting frequencies and reporting periods for this data item are calculated on a calendar year basis and not by reference to the firm’saccounting reference date. The relevant quarters end on the last business day of March, June, September and December.

Note 4

The reporting period for MIF007 is determined by the date on which the firm reviews its ICARA process under MIFIDPRU 7.8.2R and the submission date that applies under MIFIDPRU 7.8.4R.

SUP 16.12.27RRP

The applicable due dates for submission referred to in SUP 16.12.4 R are set out in the table below. The due dates are the last day of the periods given in the table below following the relevant reporting frequency period set out in SUP 16.12.26 R, unless indicated otherwise13.

89Data item

Quarterly

Half yearly

Annual

Solvency statement

3 months

FSA029

20 business days

(note 1)

30 business days

(note 2)

FSA030

20 business days

(note 1)

30 business days

(note 2)

[deleted] 94

[deleted] 94

FSA033

20 business days

FSA034

20 business days

FSA035

20 business days

FSA039

30 business days

FIN071

20 business days

MIF001

20 business days

(note 1)

30 business days

(note 2)

MIF002

20 business days

(note 1)

30 business days

(note 2)

MIF003

20 business days

(note 1)

30 business days

(note 2)

MIF004

20 business days

(note 1)

30 business days

(note 2)

MIF005

20 business days

(note 1)

30 business days

(note 2)

MIF006

20 business days

MIF007

The submission date that applies under MIFIDPRU 7.8.4R

Section A RMAR

30 business days

30 business days

Section B RMAR

30 business days

30 business days

Section C RMAR

30 business days

30 business days

Section D1 RMAR

30 business days

30 business days

Section F RMAR

30 business days

30 business days

Note 1

For reports relating to the position of an individual firm.

Note 2

For reports relating to the consolidated situation of an investment firm group.