England and Wales commercial and regulatory procedures
When must REP008 disciplinary reporting be submitted?
Within two months after the August or December reporting-period end, with the rule’s business-day carry. Submit the required annual conduct notification. Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report.
- Period
- Within two months after the August or December reporting-period end, with the rule’s business-day carry
- Trigger
- End of the applicable reporting period
- Rule
- FCA Handbook sup15, SUP 15.11.12AR, 15.11.13R, 15.11.13BG and 15.11.14R
FCA Handbook sup15, SUP 15.11.12AR, 15.11.13R, 15.11.13BG and 15.11.14R. The retained source governs submit the required annual conduct notification. Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report.
Source guide · No automated date
Check the applicable procedure
Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report. SUP 15.11.13R(3)(b) expressly permits the first business day after a nonbusiness final day. Do not hardcode October 31 for every firm. The actual end of the applicable reporting period and required completion must be established before using a final date.
FCA Handbook sup15, SUP 15.11.12AR, 15.11.13R, 15.11.13BG and 15.11.14RWhat lawyers say
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When must REP008 disciplinary reporting be submitted?
Within two months after the August or December reporting-period end, with the rule’s business-day carry. Submit the required annual conduct notification. Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report.
Responsible actor. Firm making an applicable annual conduct notification.
End of the applicable reporting period.
Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report.
Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report.
FCA Handbook sup15, SUP 15.11.12AR, 15.11.13R, 15.11.13BG and 15.11.14RHow does this provision count time?
- Submit the required annual conduct notification.
- SUP 15.11.13R(3)(b) expressly permits the first business day after a nonbusiness final day. Do not hardcode October 31 for every firm.
- Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report.
SUP 15.11.13R(3)(b) expressly permits the first business day after a nonbusiness final day. Do not hardcode October 31 for every firm.
SUP 15.11.13R(3)(b) expressly permits the first business day after a nonbusiness final day. Do not hardcode October 31 for every firm. Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report.
FCA Handbook sup15, SUP 15.11.12AR, 15.11.13R, 15.11.13BG and 15.11.14RWhich facts prevent one automatic date?
Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report. SUP 15.11.13R(3)(b) expressly permits the first business day after a nonbusiness final day. Do not hardcode October 31 for every firm. The actual end of the applicable reporting period and required completion must be established before using a final date.
The firm making an applicable annual conduct notification has established the applicable procedure and end of the applicable reporting period. Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report. Submit the required annual conduct notification. Within two months after the August or December reporting-period end, with the rule’s business-day carry. No computed final date is supplied.
A proposed completion raises a nonbusiness-day or time-boundary question for submit the required annual conduct notification. SUP 15.11.13R(3)(b) expressly permits the first business day after a nonbusiness final day. Do not hardcode October 31 for every firm. Resolve this boundary under the identified provision and actual completion route. SUP 15.11.13R(3)(b) expressly permits the first business day after a nonbusiness final day. Do not hardcode October 31 for every firm.
A limited-permission credit firm has a December reporting-period end. Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report. Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report. No automatic final date follows from this scenario.
Which conditions and exceptions apply?
- Applicable procedure and actual event
- Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report.
- Counting and completion boundary
- SUP 15.11.13R(3)(b) expressly permits the first business day after a nonbusiness final day. Do not hardcode October 31 for every firm.
- Credit firms with limited permission use the December period; other firms use August, subject to the separate senior-staff rules. Current SUP 15.11.13BG says no nil return is required where there is nothing to report.
- Firm making an applicable annual conduct notification. End of the applicable reporting period. Submit the required annual conduct notification. SUP 15.11.13R(3)(b) expressly permits the first business day after a nonbusiness final day. Do not hardcode October 31 for every firm.
What must the responsible actor complete?
Questions about this procedure
When must REP008 disciplinary reporting be submitted?
Is every firm’s report due October 31?
No. Limited-permission credit firms use the specified December reporting year.
FCA Handbook sup15, SUP 15.11.12AR, 15.11.13R, 15.11.13BG and 15.11.14RIs a nil return still required?
Current SUP 15.11.13BG says the firm should not send one where there is nothing to report.
FCA Handbook sup15, SUP 15.11.12AR, 15.11.13R, 15.11.13BG and 15.11.14RWhat happens when the ordinary final day is not a business day?
SUP 15.11.13R(3)(b)(ii) expressly provides a first-business-day carry.
FCA Handbook sup15, SUP 15.11.12AR, 15.11.13R, 15.11.13BG and 15.11.14RCan senior staff use a separate timing rule?
SUP 15.11.12AR can displace the annual branch for its specified staff.
FCA Handbook sup15, SUP 15.11.12AR, 15.11.13R, 15.11.13BG and 15.11.14RWhich form is used?
SUP 15.11.14R identifies Form H, named REP008, for its applicable electronic route.
FCA Handbook sup15, SUP 15.11.12AR, 15.11.13R, 15.11.13BG and 15.11.14RDoes an annual report replace immediate serious-event notification?
No. SUP 15.11.17G preserves Principle 11 obligations.
FCA Handbook sup15, SUP 15.11.12AR, 15.11.13R, 15.11.13BG and 15.11.14ROfficial sources and review
Provisions used (1)
| Provision | Purpose |
|---|---|
| FCA Handbook sup15, SUP 15.11.12AR, 15.11.13R, 15.11.13BG and 15.11.14R | Check the identified procedure, event, counting rule or qualification |