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means the regulated activity, specified in article 51ZC of the Regulated Activities Order (Managing an AIF).
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the regulated activity, specified in article 51ZC of the Regulated Activities Order, which is, in summary, performing at least risk management or portfolio management for an AIF.
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has the meaning given in article 3(1) of the Regulated Activities Order.
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means the regulated activity, specified in article 37 of the Regulated Activities Order (Managing investments).
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means the regulated activity, specified in article 51ZA of the Regulated Activities Order (Managing a UCITS).
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the regulated activity, specified in article 57 of the Regulated Activities Order (Managing the underwriting capacity of a Lloyd's syndicate), of managing the underwriting capacity of a Lloyd's syndicate as a managing agent at Lloyd's.
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the regulated activity, specified in article 51ZA of the Regulated Activities Order of carrying on collective portfolio management within the meaning of the UCITS Directive, in relation to a UCITS.
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the regulated activity, specified in article 63N(1)(b) of the Regulated Activities Order, which is the acceptance of a transfer by a bank or building society of the balance of a dormant account, or a proportion of such a balance, and the management of those funds (including the investment of such funds) in such a way as to enable the dormant account fund operator to meet whatever repayment claims it is prudent to anticipate.
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an agreement in the form prescribed by the Society, between a managing agent and a member, under which the managing agent manages the insurance business of that member.
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(A) In the PRA Handbook:the regulated activity, specified in article 37 of the Regulated Activities Order (Managing investments), which is in summary: managing assets belonging to another person in circumstances which involve the exercise of discretion, if:(a) the assets consist of or include any security or contractually based investment (that is, any designated investment, funeral plan contract or right to or interest in a funeral plan contract); or(b) the arrangements for their management are such that the assets may consist of or include such investments, and either the assets have at any time since 29 April 1988 done so, or the arrangements have at any time (whether before or after that date) been held out as arrangements under which the assets would do so.(B) In the FCA Handbook:the regulated activity, specified in article 37 of the Regulated Activities Order (Managing investments), which is in summary: managing assets belonging to another person in circumstances which involve the exercise of discretion, if:(a) the assets consist of or include any security or contractually based investment (that is, any designated investment (other than a P2P agreement), funeral plan contract or right to or interest in a funeral plan contract); or(b) the arrangements for their management are such that the assets may consist of or include such investments, and either the assets have at any time since 29 April 1988 done so, or the arrangements have at any time (whether before or after that date) been held out as arrangements under which the assets would do so.
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(as defined in article 3(1) of the Regulated Activities Order) a person who is permitted by the Council in the conduct of his business as an underwriting agent to perform for a member one or more of the following functions:(a) underwriting contracts of insurance at Lloyd's;(b) reinsuring such contracts in whole or in part;(c) paying claims on such contracts.
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means the regulated activity, specified in article 25(2) of the Regulated Activities Order (Arranging deals in investments).
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(in accordance with Article 2(15) of the Financial Groups Directive (Definitions)) a parent undertaking, other than a regulated entity, which meets the following conditions:(a) it, together with its subsidiary undertakings, at least one of which is an EEA regulated entity, and other entities, constitutes a financial conglomerate;(b) it has been notified by its coordinator that its group is a financial conglomerate in accordance with Article 4(2) of the Financial Groups Directive; and(c) it has not been notified that its coordinator and other relevant competent authorities have agreed not to treat the group as a financial conglomerate in accordance with Article 3(3) or Article 3(3a) of the Financial Groups Directive.
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a firm with permission (or which ought to have permission) for arranging (see also arranging (bringing about) regulated mortgage contracts and making arrangements with a view to regulated mortgage contracts).
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(1) (in accordance with section 118(6) of the Act (Market abuse)) the behaviour described in section 118(6) of the Act, which is effecting transactions or orders to trade which employ fictitious devices or any other form of deception or contrivance.(2) (in accordance with section 118(6) of the Act (Market abuse) as modified by the RAP Regulations)) the behaviour described in section 118(6) of the Act, which is effecting transactions, bids or orders to trade which employ fictitious devices or any other form of deception or contrivance.
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(in relation to a UK recognised body) accounts showing the actual and budgeted income and expenditure of that body over any period.
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(A) (In the PRA Handbook):(in accordance with article 3(7) of CRD) the governing body and senior personnel of a CRR firm who are empowered to set the firm's strategy, objectives and overall direction, and which oversee and monitor management decision-making.(B) (In the FCA Handbook):(in accordance with article 3(7) of CRD) the governing body and senior personnel of a CRR firm who are empowered to set the firm's strategy, objectives and overall direction, and which oversee and monitor management decision-making.