Related provisions for SUP 16.11.9
1 - 13 of 13 items.
Method of submission of reports (see SUP 16.3.8 R)Method of delivery1.Post or hand deliver33 to the published address of the FCA40 for submission of reports. If hand delivering mark the report for the attention of ‘Central Reporting’ and obtain a dated receipt.33402.[deleted]332240403.Electronic mail to the published e-mail address 33of the FCA's40 Central Reporting team.222240224.22Online submission via the appropriate systems accessible from the22FCA28 website40408228
(1) Any firm permitted to 5carry5 on any of the activities within each of the RAGs set out in column (1) of the table in SUP 16.12.4 R must:(a) (i) unless (ii) or (iii) 11applies, submit to the FCA65 the duly completed data items or other items applicable to the firm as set out in the provision referred to in column (2) of that table;8282(ii) unless (iii) applies, where 11 a firm is required to submit completed data items for 11more than one RAG, that11firm must only submit the
Standing data is used by the FCA10 :1616(1) to ensure that a firm is presented with the correct regulatory return when it seeks to report electronically;(2) in order to communicate with a firm;(3) as the basis for some sections of the Financial Services Register;16 and 16(4) in order to carry out thematic analysis across sectors and groups of firms.
ModuleRelevance to Credit UnionsThe Principles for Businesses (PRIN)The Principles for Businesses (PRIN) set out 3high-level requirements 3imposed by the FCA3. They provide a general statement of regulatory requirements. The Principles apply to all9credit unions. In applying the Principles to credit unions, the FCA3 will be mindful of proportionality. In practice, the implications are likely to vary according to the size and complexity 3of the credit union.99999Senior Management