Part

Regulatory Reporting

Chapter

Regulated Activity Groups

Printed on: 06/11/2024

Rulebook at: 30/03/2018

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 numberRegulated ActivitiesRules containing:
applicable data itemsreporting frequency / perioddue date
RAG 1 • accepting deposits
• meeting of repayment claims
• managing dormant account funds (including the investment of such funds)		 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 and 20.7 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

  • 01/01/2018