Securities and futures firm (category C or D firm or an arranger or venture capital firm) that is not a BIPRU firm (assumed RAG 3)
Reporting reference guide for Securities and futures firm (category C or D firm or an arranger or venture capital firm) that is not 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 |
| Audited annual financial statements | SUP 16.7.27R | SUP 16.12.11R | SUP 16.12.11R | SUP 16.12.11R |
| Annual reporting statement | SUP 16.7.27R | SUP 16 TP12Q(5) | SUP 16 TP12Q(5) | SUP 16.12.11R and SUP 16.12.12R |
| Annual reconciliation | SUP 16.7.27R | SUP 16 TP12Q(5) | SUP 16 TP12Q(5) | SUP 16.12.11R1 |
| Audited accounts of subsidiaries | SUP 16.7.27R | No longer required | ||
| Quarterly reporting statement | SUP 16.7.27R | SUP 16 TP12Q(5) | SUP 16 TP12Q(5) | No longer required |
| RMAR (non-financials) | SUP 16.7.27R | 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 16.7.27R | SUP 16.12.18R | SUP 16.12.18R | SUP 16.12.18R |
| FSA029 | Not applicable | Disapplied by SUP 16 TP12Q(1) | Disapplied by SUP 16 TP12Q(1) | SUP 16.12.11R |
| FSA030 | Not applicable | Disapplied by SUP 16 TP12Q(1) | Disapplied by SUP 16 TP12Q(1) | SUP 16.12.11R |
| FSA033 | Not applicable | Disapplied by SUP 16 TP12Q(1) | Disapplied by SUP 16 TP12Q(1) | SUP 16.12.11R |
| FSA034 | Not applicable | Disapplied by SUP 16 TP12Q(1) | Disapplied by SUP 16 TP12Q(1) | SUP 16.12.11R |
| FSA035 | Not applicable | Disapplied by SUP 16 TP12Q(1) | Disapplied by SUP 16 TP12Q(1) | SUP 16.12.11R |
| FSA039 | Not applicable | Disapplied by SUP 16 TP12Q(1) | Disapplied by SUP 16 TP12Q(1) | SUP 16.12.11R |
| FSA040 | Not applicable | Disapplied by SUP 16 TP12Q(1) | Disapplied by SUP 16 TP12Q(1) | SUP 16.12.11R |
1 Only for a limited range of firms
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.
