Related provisions for SUP 16.12.22
1 - 3 of 3 items.
(1) 2SUP 16.12.15 R to SUP 16.12.17 R do not apply to:(a) a lead regulated firm (except in relation to data items 47 to 55 (inclusive));13(b) an OPS firm;(c) a local authority.(2) A lead regulated firm and an OPS firm must submit a copy of its annual report and audited accounts within 80 business days from its accounting reference date.
If the person with or for whom the firm is carrying on an activity is acting through an agent, the ability of the firm to treat the agent as its client under COBS 2.4.3 R3 (Agent as client) will not be available. For example, if a general insurer is effecting a general insurance contract through a general insurance broker who is acting as agent for a disclosed policyholder, the policyholder will be a client of the firm and the firm must comply with the Principles accordingly.