Count the time to give the quarterly activity report and Appendix 4C
Key facts
- Human involvement
- YellowClose supervision
- How AI is used
- From the quarter end and the basis on which the entity was admitted or later asked, calculate one month after the end of the quarter and list whether an activity report goes at the same time. Do not write the activity report.
- What the lawyer must review
- The lawyer decides whether rule 4.7B applies, reads the definitions the rule uses, and authorises the appendix and the activity report.
- Written for / version
- US
Open a jurisdiction version of this task to see which instruments apply: US
Who does what
| Role | What they do |
|---|---|
| Assistance | From the quarter end and the basis on which the entity was admitted or later asked, calculate one month after the end of the quarter and list whether an activity report goes at the same time. Do not write the activity report. |
| Lawyer | Set the scope, supervise the work closely, verify every part relied on, resolve omissions and exceptions, and approve the exact output. |
Checklist
- Rule 4.7B applies only to the entities it describes, or where the market operator has asked. The definitions and rules 1.3.2(b) and 11.1.3 were not opened.
- The appendix goes immediately the information is available, and in any event within one month after the quarter ends.
- The activity report is given at the same time, for release to the market.
- Where rule 4.7B(a) or (b) applies, the duty runs for the first eight quarters, or longer if required. The lawyer writes the activity report.