CP12/32: Implementation of the Alternative ... - BVCA admin

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is not listed, select ‘Other’. If a policy is underwritten by more than one insurance undertaking or Lloyd's syndicate, you should select ‘multiple’. Start date 49C Enter the start date of the policy. Renewal date 49D Enter the renewal date of the policy. Currency of indemnity limits 49E Using the appropriate International Organization for Standardization ISO 4217 three digit code (e.g. GBP), enter the currency in which the indemnity limits, in fields 49F to 49J are reported. Limit of indemnity required: single 49F You should record here the required indemnity limits on the firm’s PII policy or policies, in relation to single claims. Where these are denominated in a currency other than the currency of the report, the figure should be converted to the currency of the submission using the closing mid-market rate of exchange on the reporting period end date. Limit of indemnity required: aggregate 49G You should record here the required indemnity limits on the firm’s PII policy or policies, in aggregate. Where these are denominated in a currency other than the currency of the report, the figure should be converted to the currency of the submission using the closing mid-market rate of exchange on the reporting period end date. Limit of indemnity received: single 49H You should record here the indemnity limits on the firm’s PII policy or policies, received in relation to single claims. Where these are denominated in a currency other than the currency of the report, the figure should be converted to the currency of the submission using the closing mid-market rate of exchange on the reporting period end date. Limit of indemnity received: aggregate 49J You should record here the indemnity limits on the firm’s PII policy or policies, received in aggregate. Where these are denominated in a currency other than the currency of the report, the figure should be converted to the currency of the submission using the closing mid-market rate of exchange on the reporting period end date. PII detailed information Business line (from list) 49K For policies that cover all business lines, firms should select ‘All’ from the list provided. Where the policy contains different excess for different business lines, firms should identify these business lines from the list (or the closest equivalent) and report the (highest) excess for that business line in data element 49L. Once these ‘non-standard’ excesses have been identified, the remaining business lines should be reported under ‘All other’. Policy excess 49L For policies that cover all business lines with no difference in excesses, this should be the excess applicable. Otherwise, it should contain the highest excess for each business line that differs. Policy exclusions 49M If there are any exclusions in the firm’s PII
policy, the business type(s) to which they relate should be entered here. FSA066 – Capital Adequacy (for collective portfolio management firms and internally managed AIFs) validations Internal validations Data elements are referenced by row, then column. Validation Data number element 1 6B = Σ(1B:5B) 2 12B = Σ(7A:11A) 3 13B = 6B – 12B 4 19B = Σ(13B:18B) 5 20B = 19B 6 25B = (higher of 21B and 22B) + 23B + 24B 7 26B = 20B – 25B 8 27B = 19B 9 31B = 27B – (28B + 29B + 30B) 10 46B = 35B - Σ(36A:45A) External validations Validation Data number element 1 35B = FSA030.22A
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Consultation Paper CP12/32 Financia
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The Financial Services Authority in
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CP12/32 Implementation of the Alter
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Annex 2 List of consultation questi
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Annex 2 November 2012 CP12/32 Imple
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ALTERNATIVE INVESTMENT FUND MANAGER
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Annex A Making the Investment Funds
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Page 5 of 91 Appendix 1 (2) a descr
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3.2.5 R An AIFM must, for each AIF
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Page 9 of 91 Appendix 1 (6) the agg
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Page 11 of 91 Appendix 1 (4) the id
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[Note: article 15(1) of AIFMD] this
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(1) a full scope UK AIFM of: (a) a
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Page 17 of 91 Appendix 1 (b) the re
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experienced; Page 19 of 91 Appendix
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Page 21 of 91 Appendix 1 by the fac
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Page 23 of 91 Appendix 1 3.11.5 G T
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(Own funds requirement). [Note: art
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supplements the meaning of financia
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instruments remain in its custody;
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supplementing this section] 4. Comm
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Annex B Amendments to the Glossary
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collective portfolio management fir
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Page 37 of 91 Appendix 1 non-listed
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BIPRU 730k firm Page 39 of 91 Appen
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… Page 41 of 91 Appendix 1 (e) (i
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esources only at excessive cost. Pa
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Single Market Directive … Page 45
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Page 198 and 199: initial capital (see item 5) if the
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Page 206 and 207: … Data item SUP 16.12.12R, unless
Page 208 and 209: indicated otherwise. Data item Firm
Page 210 and 211: client assets … Page 87 of 91 App
Page 212 and 213: … Data item SUP 16.12.23R, unless
Page 214 and 215: FSA066 and FSA06 are added - see fo
Page 216 and 217: Liquid assets test 32 Liquid assets
Page 218 and 219: Professional negligence capital req
Page 222 and 223: FSA067 Capital adequacy - supplemen
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