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(1) (in relation to a UK RIE) any of the requirements applicable to that body under the MiFID Regulation.(2) (in relation to a body applying for recognition as a UK RIE) any of the requirements under the MiFID Regulation which, if its application were successful, would apply to it.
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Commission Directive No. 2006/73/EC implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive.
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the part of the capital resources requirement of a BIPRU firm in respect of market risk, calculated in accordance with GENPRU 2.1.52R (Calculation of the market risk capital requirement).
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Commission Regulation (EC) 1287/2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment firms and defined terms for the purposes of that Directive.
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investment services and activities and, where relevant, ancillary services carried on by a MiFID investment firm.
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(in summary) a firm to which MiFID applies including, for some purposes only, a credit institution and UCITS 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 BCD 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 UCITS investment firm (only when providing the services referred to in Article 5(3) of the UCITS Directive in relation to the rules implementing the articles of MiFID referred to in Article 5(4) of that Directive);unless, and to the extent that, MiFID does not apply to it as a result of Article 2 (Exemptions) or Article 3 (Optional exemptions) of MiFID.
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The European Parliament and Council Directive on markets in financial instruments (No. 2004/39/EC).See also MiFID Regulation and MiFID implementing Directive.
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an amount of capital resources that a firm must hold as set out in GENPRU 2.1.24 R and GENPRU 2.1.25 R.
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