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The Full Handbook

Glossary
High Level Standards
Prudential Standards
Business Standards
Regulatory Processes
- SUP Supervision
  - SUP 1 The FSA's approach to supervision
  - SUP 2 Information gathering by the FSA on its own initiative
  - SUP 3 Auditors
  - SUP 4 Actuaries
  - SUP 5 Reports by skilled persons
  - SUP 6 Applications to vary and cancel Part IV permission
  - SUP 7 Individual requirements
  - SUP 8 Waiver and modification of rules
  - SUP 9 Individual guidance
  - SUP 10 Approved persons
  - SUP 11 Controllers and close links
  - SUP 12 Appointed representatives
  - SUP 13 Exercise of passport rights by UK firms
  - SUP 13A Qualifying for authorisation under the Act
  - SUP 14 Incoming EEA firms changing details, and cancelling qualification for authorisation
  - SUP 15 Notifications to the FSA
  - SUP 16 Reporting requirements
    - SUP 16.1 Application
    - SUP 16.2 Purpose
    - SUP 16.3 General provisions on reporting
    - SUP 16.4 Annual controllers report
    - SUP 16.5 Annual Close Links Reports
    - SUP 16.6 Compliance reports
    - SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions
    - SUP 16.9 Appointed representatives annual report
    - SUP 16.10 Verification of standing data
    - SUP 16.11 Product Sales Data Reporting
    - SUP 16.12 Integrated Regulatory Reporting
    - SUP 16.13 Reporting under the Payment Services Regulations
    - SUP 16.14 Client money and asset return
    - SUP 16.15 Reporting under the Electronic Money Regulations
    - SUP 16 Annex 1 [deleted]
    - SUP 16 Annex 2 [deleted]
    - SUP 16 Annex 3 [deleted]
    - SUP 16 Annex 4 [deleted]
    - SUP 16 Annex 5 [deleted]
    - SUP 16 Annex 6 Persistency report
    - SUP 16 Annex 9 Annual questionnaire for authorised professional firms
    - SUP 16 Annex 10 Securities and Futures firms' reporting forms and requirements applying to their completion
    - SUP 16 Annex 11 Guidance Notes on Completion of Securities and Futures Firms Reporting Forms
    - SUP 16 Annex 12 Reports from trustees of AUTs and depositaries of ICVCs
    - SUP 16 Annex 13 Return cover sheet
    - SUP 16 Annex 14 Quarterly and annual returns for Credit Unions
    - SUP 16 Annex 15 Notes on completing the quarterly and annual returns for Credit Unions
    - SUP 16 Annex 16 [deleted]
    - SUP 16 Annex 16A Standing data (See SUP 16.10.4 R)
    - SUP 16 Annex 17 [deleted]
    - SUP 16 Annex 18 Annex 18
    - SUP 16 Annex 18A Retail Mediation Activities Return ('RMAR')
    - SUP 16 Annex 18B Notes for Completion of the Retail Mediation Activities Return ('RMAR')
    - SUP 16 Annex 19A Mortgage Lending and Administration Return ('MLAR')
    - SUP 16 Annex 19B Notes for Completion of the Mortgage Lending and Administration Return ('MLAR')
    - SUP 16 Annex 20 Products covered by the reporting requirement in SUP 16.11
    - SUP 16 Annex 21 Reporting Fields
    - SUP 16 Annex 22 [deleted]
    - SUP 16 Annex 23 [deleted]
    - SUP 16 Annex 24 Data items for SUP 16.12
    - SUP 16 Annex 25 Guidance notes for data items in SUP 16 Annex 24R
    - SUP 16 Annex 26 Guidance on designated liquidity groups in SUP 16.12
    - SUP 16 Annex 27 Annex 27
    - SUP 16 Annex 27A Authorised Payment Institution Capital Adequacy Return
    - SUP 16 Annex 27B Notes on Completing FSA056 (Authorised Payment Institution Capital Adequacy Return
    - SUP 16 Annex 28 SUP 16 Annex 28
    - SUP 16 Annex 28A Small Payment Institution Return
    - SUP 16 Annex 28B Notes on Completing FSA057 (Payment Services Directive Transactions)
    - SUP 16 Annex 29 Client Money and Asset Return (CMAR)
    - SUP 16 Annex 29A Guidance notes for the data item in SUP 16 Annex 29R
    - SUP 16 Annex 30 Electronic money: returns
    - SUP 16 Annex 30A Authorised electronic money institutions - balance sheet return
    - SUP 16 Annex 30B Authorised electronic money institutions - income statement
    - SUP 16 Annex 30C Authorised electronic money institutions - capital requirements return
    - SUP 16 Annex 30D Authorised electronic money institutions - safeguarding return
    - SUP 16 Annex 30E Authorised electronic money institutions - supplementary information
    - SUP 16 Annex 30F Small electronic money institution return
    - SUP 16 Annex 30G Small electronic money institutions - total outstanding electronic money return
  - SUP 17 Transaction reporting
  - SUP 18 Transfers of business
  - SUP 20 Fees Rules
  - SUP 21 Waiver
  - SUP App 1 Prudential categories and sub-categories
  - SUP App 2 Insurers: Regulatory intervention points and run-off plans
  - SUP App 3 Guidance on passporting issues
  - Transitional Provisions and Schedules
- DEPP Decision Procedure and Penalties Manual
Redress
Specialist sourcebooks
Listing, Prospectus and Disclosure
Handbook Guides
Regulatory Guides

Full Handbook / SUP / 16 / 7

123, 4567, 89, 1011, 12131415161718, 1920212223242526, 2728, 293031, 32333435363738, 3931/03/2009 is the last day this material was in force