Related provisions for SUP 16.14.1

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SUP 16.14.3RRP
(1) Subject to (3), a4firm must submit a completed CMAR to the FCA10 within 15 business days of the end of each month.410(2) In this rule month means a calendar month and SUP 16.3.13 R (4) does not apply.(3) 4A firm which changes its 'CASS firm type' and notifies the FCA10 that it is a CASS medium firm or a CASS large firm in accordance with CASS 1A.2.9 R is not required to submit a CMAR in respect of the month in which the change to its 'CASS firm type' takes effect in accordance
SUP 16.14.4RRP
For the purposes of the CMAR:(1) client money is that to which the client money rules in CASS 7 apply; and(2) safe custody assets are those to which the custody rules in CASS 6 apply4 but only in relation to:76(a) the holding of financial instruments (in the course of MiFID business);6(b) the safeguarding and administration of assets (without arranging) (in the course of business that is not MiFID business);6(c) acting as trustee or depositary of an AIF, and in this case also
SUP 16.14.5GRP
For the avoidance of doubt, the effect of SUP 16.14.4 R is that the following are4 to be excluded from any calculations which the CMAR requires:444(1) any client money held by the firm in accordance with CASS 5;4(2) any safe custody assets in respect of which the firm is merely arranging safeguarding and administration of assets in accordance with CASS 6;46(2A) any safe custody assets for which a small AIFM is: 6(a) carrying on those excluded custody activities that would merely
SUP 16.14.6RRP
3A CMAR must be submitted by electronic means made available by the FCA10.10
1A CASS medium firm and a CASS large firm must allocate to a single6director or senior manager of sufficient skill and authority6 the function of:(1) oversight of the operational effectiveness of that firm’s systems and controls that are designed to achieve compliance with CASS;(2) reporting to the firm’sgoverning body in respect of that oversight; and(3) completing and submitting a CMAR to the FCA in accordance with SUP 16.14.[Note: article 7, first paragraph of the MiFID Delegated
SUP 16.3.2GRP
This chapter has been split into the following 14sections, covering:53514(1) annual controllers reports (SUP 16.4);(2) annual close links reports (SUP 16.5);(3) compliance reports (SUP 16.6); (4) [deleted]2424(4A) annual report and accounts (SUP 16.7A);26(5) persistency reports (SUP 16.8);53(6) annual appointed representatives reports (SUP 16.9);553(7) verification38 of firm details34 (SUP 16.10);5814(8) product sales data reporting (SUP 16.11);51419(9) integrated regulatory
For the purpose of CASS 1A.2.9R (1), the FCA will treat that obligation as satisfied if a firm submitted4 a CMAR for each period within the previous calendar year 4 in compliance with SUP 16.14.3 R.3434343
CASS 11.3.1RRP
(1) A CASS small debt management firm, other than a not-for-profit debt advice body, must allocate to a director or senior manager1 responsibility for:1(a) oversight of the firm's operational compliance with CASS 11;1(b) reporting to the firm'sgoverning body in respect of that oversight; and1(c) completing and submitting a CCR005 return in accordance with SUP 16.12.29CR.1(2) [deleted]431
SUP 16.12.11RRP

The applicable data items referred to in SUP 16.12.4 R are set out according to firm type 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


IPRU(INV)Chapter 13

Solvency statement

No standard format (note 4)

No standard format (note 6)

No standard format (note 4)

Balance sheet


(note 2)


(note 5)



Section A RMAR

Income statement


(note 2)


(note 5)



Section B RMAR

Capital adequacy


(note 2 and 3)


(note 5)

FSA034 or FSA035 or FIN071

(note 7)


Section D1 RMAR

Supplementary capital data for collective portfolio management investment firms


(note 13)

ICARA assessment questionnaire


(note 3)

Threshold conditions

Section F RMAR

Client money and client assets





Section C RMAR


FSA040 (note 8)

FSA040 (note 8)

FSA040 (note 8)


FSA040 (note 8)



(notes 2, 3 and 10)

Metrics reporting


(notes 2 and 3)

Concentration risk (non-K-CON)


(notes 2, 3 and 11)

Concentration risk (K-CON)


(notes 2, 3 and 11)

Group capital test


(notes 3 and 12)

Liquidity Questionnaire

MLA-M (note 9)

MLA-M (note 9)

MLA-M (note 9)


MLA-M (note 9)

Note 1

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

Note 2

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 3

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

Note 4

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 5

Except if the firm is an adviser (as referred to in IPRU-INV (3)-60(4)R).

Note 6

Only required in the case of an adviser (as referred to in IPRU-INV (3)-60(4)R)) that is a sole trader.

Note 7

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 8

Only applicable to firms granted a Part 30 exemption order and operating an arrangement to cover forward profits on the London Metals Exchange.

Note 9

Only applicable to RAG 3 firms carrying on home financing or home finance administration connected to regulated mortgage contracts, unless as at 26 April 2014 the firm’sPart 4A permission was and remains subject to a restriction preventing it from undertaking new home financing or home finance administration connected to regulated mortgage contracts.

Note 10

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

Note 11

Only applicable to a non-SNI MIFIDPRU investment firm.

Note 12

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

Note 13

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