Related provisions for SUP 16.10.1

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SUP 16.1.3RRP

Application of different sections of SUP 16 (excluding49 SUP 16.13, SUP 16.15, 60SUP 16.22 and56 SUP 16.2656)50534264393927

8889999

(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

141439

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

88

(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 activity52, 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.

30483830

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

2628

41

28

41

28

Depositary of an authorised fund41

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 society3

Entire section

3Firm with permission to establish, operate or wind up a personal pension scheme or a stakeholder pension scheme14

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

2142

(c)9

[deleted]42

219

21(d)

a dormant asset fund operator61.

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)

a firm with permission to enter into a regulated credit agreement as lender in respect of high-cost short-term credit or home credit loan agreements; or

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

232425SUP 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
5943

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 annuitycontracts of insurance45 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 UK55;

(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

Note 127[deleted]26

26

27Note 2 50The application of SUP 16.13 is set out under SUP 16.13.1 G;64 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 R64; and the application of SUP 16.26 is set out in SUP 16.26.1R50.

4364

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
FEES 1.1.2RRP
This manual applies in the following way:(1) FEES 1, 2 and 3 apply to the fee payers listed in column 1 of the Table of application, notification and vetting fees in FEES 3.2.7 R29. 1048(a) [deleted]1010(b) [deleted]1010(c) [deleted]1010(d) [deleted]1010(e) [deleted]10(f) [deleted]1010(g) [deleted]1010(h) [deleted]1010(i) [deleted]1010(j) [deleted]1010(k) [deleted]1010(l) [deleted]1010(m) [deleted]1010(n) [deleted]104(o) 3345410[deleted]10(p) 55410[deleted]10(q) 6510[deleted]10(r)
FEES 4.3.1RRP
The periodic fee payable by a firm (except an AIFM qualifier,13ICVC or a UCITS qualifier) is:(1) each periodic fee applicable to it calculated in accordance with FEES 4.3.3 R, using information obtained in accordance with FEES 4.4; plus77(1A) any periodic fee applicable to it calculated in accordance with FEES 4.3.3A R using information relating to its UK business obtained in accordance with FEES 4.4 (or by other means in the case of the Bank of England); less7(2) any deductions