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(A) In the PRA Handbook:GENPRU 2.1.40 R (Variable capital requirement for BIPRU firms), GENPRU 2.1.41 R (Base capital resources requirement for BIPRU firms), GENPRU 2.1.48 R (Table: Base capital resources requirement for a BIPRU firm).(B) In the FCA Handbook:GENPRU 2.1.40 R (Variable capital requirement for BIPRU firms), GENPRU 2.1.41 R (Base capital resources requirement for BIPRU firms), GENPRU 2.1.48 R (Table: Base capital resources requirement for a BIPRU firm).
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(A) In the PRA Handbook:(in summary) a firm to which MiFID applies including, for some purposes only, a credit institution and collective portfolio management investment firm.(in full) a firm which is:(1) an investment firm with its head office in the EEA (or, if it has a registered office, that office);(2) a CRD credit institution (only when providing an investment service or activity in relation to the rules implementing the Articles referred to in Article 1(2) of MiFID);(3) a collective portfolio management investment firm (only when providing the services referred to in article 6(4) AIFMD or Article 6(3) of the UCITS Directive in relation to the rules implementing the articles of MiFID referred to in article 6(6) of AIFMD or Article20 6(4) of the UCITS Directive and for a full-scope UK AIFM the rules implementing article 12(2)(b) of AIFMD);(B) In the FCA Handbook:(in summary) a firm to which MiFID applies including, for some purposes only, a credit institution and collective portfolio management investment firm.(in full) a firm which is:(1) an investment firm with its head office in the EEA (or, if it has a registered office, that office);(2) a CRD credit institution (only when providing an investment service or activity in relation to the rules implementing the Articles referred to in Article 1(2) of MiFID);(3) a collective portfolio management investment firm (only when providing the services referred to in article 6(4) AIFMD or Article 6(3) of the UCITS Directive in relation to the rules implementing the articles of MiFID referred to in article 6(6) of AIFMD or Article20 6(4) of the UCITS Directive and for a full-scope UK AIFM the rules implementing article 12(2)(b) of AIFMD);
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a firm whose only permitted activities are advising on investments and agreeing to carry on that regulated activity, and whose Part 4A permission includes requirements to the effect that the firm must advise:(a) only through the media; and(b) without conveying the impression that the advice is particularly suitable for any person , except when it is given in response to a specific request for advice from that person;in this definition, "media" means:(i) newspapers, journals, magazines or other periodical publications;(ii) services comprising regularly updated news or information;(iii) services consisting of the broadcast or transmission of television or radio programmes.