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the investment, specified in article 86(1) of the Regulated Activities Order, which is the underwriting capacity of a syndicate.
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(in ELM) (in relation to an ELMI) the same thing as the ELMI's EEA group large exposure except that references to its EEA consolidated group are replaced with references to its UK consolidated group, as established in accordance with ELM 7 (Consolidated financial supervision).
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a person who is not an authorised person.
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a UK domestic firm which has Part IV permission to carry on insurance mediation activity but no other regulated activity.
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the FSA acting in its capacity as the competent authority for the purposes of Part VI of the Act (Official Listing).
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(in COLL and CIS), a collective investment scheme under which the contributions of the participants in the scheme and the profits or income out of which payments are to be made to them are pooled separately in relation to separate parts of the scheme property.
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a firm (other than an EEA UCITS management company) which:(a) for the time being is an operator, trustee or depositary of a scheme which is a recognised scheme under section 264 of the Act; and(b) is an authorised person as a result of paragraph 1(1) of Schedule 5 to the Act (Persons Concerned in Collective Investment Schemes);a reference to a firm as a UCITS qualifier applies in relation to the carrying on by the firm of activities for which it has permission in that capacity.
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(in ELM) (in relation to an ELMI) the consolidated sub-group of:(b) (if the ELMI has no UK financial parent undertaking and the ELMI is a UK domestic firm) the ELMI;as established in accordance with ELM 7 (Consolidated financial supervision).
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(in relation to an insurer) a parent undertaking of the insurer that is not itself the subsidiary undertaking of another undertaking.
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a bank which is a body corporate or partnership formed under the law of any part of the United Kingdom.
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(in ELM) (in relation to an ELMI) the same thing as EEA financial parent undertaking except that references to another EEA State are replaced with ones to the United Kingdom.
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an ECA recipient who is present in the United Kingdom.
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(in accordance with article 8 of the Financial Promotion Order) (as more fully described in COB 3.10.1 R (Meaning of "solicited" and "unsolicited" real time financial promotion) and AUTH App 1.10 (Types of financial promotion))) a real time financial promotion which is not a solicited real time financial promotion.
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the Unfair Terms in Consumer Contracts Regulations 1999 (SI 1999/2083), as amended by SI 2001/1186 and SI 2001/3649.
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an activity which is not a regulated activity.
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(in ELM) the upper tier two capital of an ELMI calculated in accordance with ELM 2.4 (Calculation of initial capital and own funds).