6
Regulated Activity Groups
6.1
Unless otherwise indicated, firms must comply with the rules specified in the following table (which set out the data items, frequency and submission periods as applicable to each RAG) in accordance with Chapters 2, 3 and 4.
| (1) | (2) | (3) | (4) | |
|---|---|---|---|---|
| RAG number | Regulated Activities | Rules containing: | ||
| applicable data items | reporting frequency / period | due date | ||
| RAG 1 | • accepting deposits • meeting of repayment claims • [deleted] |
7.1, except that the requirements to: (1) submit templates 1.1, 1.2, 1.3, 2, 3, 4.3.1, 4.4.1, 5.1, 7.1, 9.1.1, 12.1, 12.2, 13.1, 18, 19, 20.4, 20.7, 23.1, 23.2, 23.3, 23.4, 23.5, 23.6, 24.1, 24.2, 24.3, 25.1, 25.2, 25.3, 26 and 47 of Annexes III or IV of the Supervisory Reporting ITS on a consolidated basis and, if applicable, on a sub-consolidated basis; (2) submit PRA108 on a consolidated basis and, if applicable, on a sub-consolidated basis, do not apply to a firm which is required to report financial information under Article 99(2) of CRR. |
7.2 | 7.3 |
| RAG 2.1 | • effecting contracts of insurance • carrying out contracts of insurance • entering as provider into a funeral plan contract |
8.1, 8.2, 8.3 | 8.1, 8.2, 8.3 | 8.1, 8.2, 8.3 |
| RAG 3 | • dealing in investments as principal | 9.1 9.2 for UK designated investment firms, except that the requirements to: (1) submit templates 1.1, 1.2, 1.3, 2 and 3 of Annexes III or IV of the Supervisory Reporting ITS on a consolidated basis; and (2) submit PRA108 on a consolidated basis do not apply to a firm which is required to report financial information under Article 99(2) of CRR. |
9.1 9.3 for UK designated investment firms |
9.1 9.4 |
| RAG 4 | • managing investments • establishing, operating or winding-up a collective investment scheme |
10.2 for UK designated investment firms | 10.3 for UK designated investment firms |
10.4 |
| RAG 5 | • home finance administration or home finance providing activity | 11.2 | 11.2 | 11.2 |
- 01/06/2020