Related provisions for SUP 16.3.4
1 - 4 of 4 items.
Compliance reports from a bank and an ELMI (see SUP 16.6.4 R)Report Frequency Due dateList of all overseas regulators for each legal entity in the firm's groupAnnually 6 months after the firm'saccounting reference dateOrganogram showing the authorised entities in the firm's groupAnnually 6 months after the firm'saccounting reference date
Compliance reports from trustees of AUTs, depositaries of ICVCs, and OPS firms (see SUP 16.6.6 R)Report Frequency Due dateReport from a trustee of an AUT on manager's failures as set out in SUP 16.6.8 R (1)Quarterly 1 month after quarter end (Note)Report from a depositary of an ICVC on failures by the authorised corporate director as set out inSUP 16.6.8 R (2)Quarterly 1 month after quarter end (Note)OPS firms only:Annual accounts of each occupational pension scheme in respect
Financial reports from a member of a financial conglomerate (see SUP 16.12.32 R)Content of ReportForm (Note 1)FrequencyDue DateCalculation of supplementary capital adequacy requirements in accordance with one of the four technical calculation methodsNote 2Note 5Note 5Identification of significant risk concentration levelsNote 3Yearly4 months after year endIdentification of significant intra-group transactionsNote 4Yearly4 months after year endReport on compliance with PRU 8.4.35