Related provisions for SUP 16.3.4
1 - 5 of 5 items.
Compliance reports from a bank (see SUP 16.6.4 R)4Report Frequency Due dateList of all overseas regulators for each legal entity in the firm's groupAnnually 6 months after the firm'saccounting reference date1313Organogram showing the authorised entities in the firm's groupAnnually 6 months after the firm'saccounting reference date1313
Compliance reports from trustees of AUTs, and7depositaries of ICVCs and ACSs7(see SUP 16.6.6R)6Report 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)66Report from adepositaryof anACSon failures by theauthorised contractual scheme manageras set out in SUP 16.6.8 R (2A)Quarterly1 month after quarter end (Note)Report from a depositary of an ICVC on failures by the authorised corporate
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 three42 technical calculation methods42Note 2Note 5Yearly42Note 5Identification of significant risk concentration levelsNote 3Yearly4 months after year endIdentification of significant intra-group transactionsNote 4Yearly4 months after year endReport on compliance
Where the authorised fund manager of a feeder UCITS gives notice to the FCA under section 251 or section 261Q1 of the Act or regulation 21 of the OEIC Regulations that it intends to wind up the scheme, it must inform:(1) the unitholders of the feeder UCITS; and(2) where notice is given under COLL 11.6.5R (4) (Application for approval by a feeder UCITS where a master UCITS merges or divides), the authorised fund manager of the master UCITS;of its intention without undue delay.[Note: