-
carrying on by way of business the activity of:(a) operating a bureau de change; or(b) transmitting money, or any representation of monetary value, by any means; or(c) cashing cheques which are made payable to customers.
-
a person who carries on money service business other than a firm , a BCD credit institution or a financial institution.
-
any of the following investments:(a) a debenture which is issued on terms requiring repayment not later than five years from the date of issue;(b) any government and public security which is issued on terms requiring repayment not later than one year or, if issued by a local authority in the United Kingdom , five years from the date of issue;(d) a certificate representing certain securities or rights to or interests in investments relating, in either case, to an investment within (a) or (b);(e) an option relating to:(i) an instrument in (a) or (b); or(ii) currency of the United Kingdom or of any other country or territory; or(iii) gold or silver;(f) a future for the sale of:(i) an instrument in (a) or (b); or(ii) currency of the United Kingdom or of any other country or territory; or(iii) gold or silver;(g) a contract for differences by reference to fluctuations in:(i) the value or price of any instrument within any of (a) to (f); or(ii) currency of the United Kingdom or of any other country or territory; or(iii) the rate of interest on loans in any such currency or any index of such rates;(h) an option to acquire or dispose of an instrument within (e), (f) or (g).
-
the Money Laundering Regulations 2003 (SI 2003/3075) (see ML).
-
(for the purpose of PRU 8 (Group Risk) and in relation to a financial conglomerate):(b) (if there is more than one investment firm in that financial conglomerate) the member of the financial conglomerate identified in the same way as the main firm for the purposes of rule 14.4.2 of Chapter 14 of IPRU(INV) (Group Financial Resources), but so that the comparison required by that rule must be carried out with respect to all investment firms in the financial conglomerate.
-
general insurance business of class 10, other than:(a) carrier's liability;(b) pure reinsurance of that class.
-
any act which:(a) constitutes an offence under section 18 (Money laundering) of the Terrorism Act 2000; or(b) constitutes an offence under section 327 (Concealing etc), section 328 (Arrangements) or section 329 (Acquisition, use and possession) of the Proceeds of Crime Act 2002; or(c) constitutes an attempt, conspiracy or incitement to commit an offence specified in paragraph (b); or(d) constitutes aiding, abetting, counselling or procuring the commission of an offence specified in paragraph (b); or(e) would constitute an offence specified in paragraph (b), (c), or (d) if done in the United Kingdom.
-
any form of money, including cheques and other payable orders.
-
the individual appointed by a relevant firm in accordance with ML 7.1 .
-
controlled function CF11 in the table of controlled functions, described more fully in SUP 10.7.13 R.
-
-
an authorised fund dedicated to:(a) deposits; andwhether with or without securities which are transferable securities.
-
the Council Directive of 10 June 1991 on the prevention of the use of the financial system for the purpose of money laundering (91/308/EEC) as amended by the Council Directive of 4 December 2001 (2001/97/EEC).
-