Securities and futures firm (category A or B firm or a broad scope firm) - that is a BIPRU firm (assumed RAG 3)
Reporting reference guide for Securities and futures firm (category A or B firm or a broad scope firm) - that is a BIPRU firm (assumed RAG 3)
| Reporting dates | ||||
|---|---|---|---|---|
| Report | Up to and including 31/12/07 | From 1/1/08 to 29/6/08 | From 30/6/08 to 30/8/08 | From 31/8/08 |
| Annual accounts | SUP 16.7.25R | SUP 16.12.11R | SUP 16.12.11R | SUP 16.12.11R |
| Annual reporting statement | Not required - SUP 16 TP12J(1) | |||
| Annual reconciliation | Not required - SUP 16 TP12J(1) | |||
| Solvency statement | SUP 16.7.30R | SUP 16.12.11R | SUP 16.12.11R | SUP 16.12.11R |
| Audited accounts of subsidiaries | SUP 16.7.25R | No longer required | ||
| LEM1 or LEM2 | SUP 16.7.25R | SUP 16 TP12M(15) | No longer required | |
| Monthly reporting statement | SUP 16.7.25R | SUP 16 TP12M(15)1 | No longer required | |
| RMAR (non-financials) | SUP 16.7.25R | SUP 16.12.22R or SUP 16.12.28AR | SUP 16.12.22R or SUP 16.12.28AR | SUP 16.12.22R or SUP 16.12.28AR |
| MLAR (non-financials) | SUP 16.7.25R | SUP 16.12.18R | SUP 16.12.18R | SUP 16.12.18R |
| FSA009 | SUP 16.7.25AR | No longer required | ||
| FSA028 | SUP 16.7.25AR | SUP 16.12.11R | SUP 16.12.11R | SUP 16.12.11R |
| FSA003 | Not applicable | SUP 16.12.11R | SUP 16.12.11R | SUP 16.12.11R |
| FSA004 | Not applicable | SUP 16.12.11R | SUP 16.12.11R | SUP 16.12.11R |
| FSA001 | Not applicable | Disapplied by SUP 16 TP12L(5) | SUP 16.12.11R | SUP 16.12.11R |
| FSA002 | Not applicable | Disapplied by SUP 16 TP12L(5) | SUP 16.12.11R | SUP 16.12.11R |
| FSA008 | Not applicable | Disapplied by SUP 16 TP12L(5) | SUP 16.12.11R | SUP 16.12.11R |
| FSA016 | Not applicable | Disapplied by SUP 16 TP12L(5) | SUP 16.12.11R | SUP 16.12.11R |
| FSA018 | Not applicable | Disapplied by SUP 16 TP12L(5) | SUP 16.12.11R | SUP 16.12.11R |
| FSA019 | Not applicable | Disapplied by SUP 16 TP12L(5) | SUP 16.12.11R | SUP 16.12.11R |
| FSA005 | Not applicable | Disapplied by SUP 16 TP12L(5) | Disapplied by SUP 16 TP12L(5) | SUP 16.12.11R |
| FSA006 | Not applicable | Disapplied by SUP 16 TP12L(5) | Disapplied by SUP 16 TP12L(5) | SUP 16.12.11R |
| FSA007 | Not applicable | Disapplied by SUP 16 TP12L(5) | Disapplied by SUP 16 TP12L(5) | SUP 16.12.11R |
| FSA045 | Not applicable | Not applicable | CP07/17 | |
| FSA046 | Not applicable | Not applicable | Not applicable | CP07/17 * |
1 This should be reported quarterly in this period.
* Proposed first reporting date is 30 September 2008
Disclaimer
- This information has been prepared as a reference point for authorised firms and their advisers, and is intended to summarise changes in reporting obligations;
- The definitive version of the rules and guidance which these tables refer to is the version contained in the instruments, including amending instruments, published on our website (see Legal Instruments), and if in doubt users should refer to the original instruments;
- These tables may not cover all RAGs, in which case users can use these tables as a starting point, but will need to refer to the underlying instruments.
The ‘reporting dates’ are the dates on which the reports have to be compiled, with submission following within the timescales set out in the applicable rules. Returns should be made at the frequency set out in the relevant rules and transitional provisions. In both cases, firms should set the date at the top of the page to 1 January 2008 to see the full requirements.
We have also included those data items which are currently subject to consultation in CP07/17, for information.
