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the regulated activity, specified in article 25C(2) of the Regulated Activities Order, which is in summary: making arrangements with a view to a person who participates in the arrangements entering into a home purchase plan as home purchaser.
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the regulated activity, specified in article 25(2) of the Regulated Activities Order (Arranging deals in investments), which is in summary: making arrangements with a view to a person who participates in the arrangements buying, selling, subscribing for or underwriting any of the following investments (whether as principal or agent):(a) a designated investment; or(b) a funeral plan contract; or(c) the underwriting capacity of a Lloyd's syndicate; or(e) rights to or interests in investments in (b), (c) or (d); or(f) a pure protection contract; or(g) a general insurance contract.
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the regulated activity, specified in article 25B(2) of the Regulated Activities Order, which is in summary: making arrangements with a view to a person who participates in the arrangements entering into a home reversion plan as reversion occupier or as plan provider.
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the regulated activity, specified in article 25E(2) of the Regulated Activities Order, which is in summary making arrangements with a view to a person who participates in the arrangements entering into a regulated sale and rent back agreement as agreement seller or agreement provider.
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the regulated activity, specified in article 25A(2) of the Regulated Activities Order, which is in summary: making arrangements with a view to a person who participates in the arrangements entering into a regulated mortgage contract as borrower.(see also arranging (in relation to regulated mortgage contracts) and arranging (bringing about) regulated mortgage contracts.)
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(in BIPRU 7.10 (Use of a value at risk model)) a multiplication factor applied to a VaR measure for the purpose of calculating the model PRR made up of the minimum multiplication factor as increased by the plus factor, all as more fully defined in BIPRU 7.10.118 R (Capital calculations: Multiplication factors).
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(in accordance with Part 1 of Annex III of the Banking Consolidation Directive (Definitions) and for the purpose of BIPRU 13 (The calculation of counterparty risk exposure values for financial derivatives, securities financing transactions and long settlement transactions)) transactions in which a person extends credit in connection with the purchase, sale, carrying or trading of securities; the definition does not include other loans that happen to be secured by securities collateral.
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a person who manages and/or operates the business of a regulated market. The market operator may be the regulated market itself.[Note: article 4(1)(13) of MiFID]
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general insurance business of class 10, other than:(a) carrier's liability;(b) pure reinsurance of that class.
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a person who carries on money service business other than a firm , a BCD credit institution or a financial institution.
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the information centre appointed to meet the United Kingdom's obligations under article 5 of the Fourth Motor Insurance Directive (Information Centres).
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a financial promotion is made to a person if it is addressed, whether orally or in legible form, to a particular person or persons (for example where it is contained in a telephone call or letter).
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the behaviour described in section 118(5) of the Act, which is behaviour effecting transactions or orders to trade (otherwise than for legitimate reasons and in conformity with accepted market practices on the relevant market) which:(a) give, or are likely to give a false or misleading impression as to the supply of, or demand for, or as to the price, one or more qualifying investments; or(b) secure the price of one or more such investments at an abnormal or artificial level.
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(in BIPRU 7.10 (Use of a value at risk model)) has the meaning in BIPRU 7.10.119 R (Capital calculations: Multiplication factors), which is in summary the number three or any higher amount the VaR model permission defines it as.
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(in relation to a financial sector in a consolidation group or a financial conglomerate and in accordance with GENPRU 3.1 (Cross sector groups)) the financial sector with the largest average referred to in the box titled Threshold Test 2 in the financial conglomerate definition decision tree (10% ratio of balance sheet size and solvency requirements); and so thatthe investment services sector and the banking sector are treated as one for the purpose of the definition of financial conglomerate and for any other purpose that GENPRU 3.1 (Cross sector groups) says they are.
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(b) any person carrying on the regulated activity of managing the underwriting capacity of a Lloyd's syndicate in respect of members whose insurance business at Lloyd's includes motor vehicle liability insurance business.
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(in LR) an auditor's report:(a) in which the auditor's opinion is qualified; or(b) which sets out:(i) a problem relating to the business as a going concern; or(ii) a significant uncertainty, the resolution of which is dependent upon future events.
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the behaviour described in section 118(8) of the Act which satisfies the condition in section 118(8)(b) and is behaviour (not falling within sections 118(5), (6) or (7)) which:(a) would be, or would be likely to be, regarded by a regular user of the market as behaviour that would distort, or would be likely to distort, the market in a qualifying investment; and(b) is likely to be regarded by a regular user of the market as a failure on the part of the person concerned to observe the standard of behaviour reasonably expected of a person in his position in relation to the market.
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(in relation to a class of contract of insurance) the class of contract of insurance, specified in paragraph 10 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insurance), against damage arising out of or in connection with the use of motor vehicles on land, including third-party risks and carrier's liability.