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(in PR) (as defined in Article 2.1(p) of the prospectus directive) securities issued by a collective investment undertaking as representing the rights of the participants in such an undertaking over its assets.
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(in PR) (as defined in the PD Regulation) a collective investment undertaking invested in one or more collective investment undertakings, the asset of which is composed of separate class(es) or designation(s) of securities.
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the investment, specified in article 86(1) of the Regulated Activities Order, which is the underwriting capacity of a syndicate.
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(as defined in section 237(1) of the Act (Other definitions)) a collective investment scheme under which the property in question is held on trust for the participants.
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(in ELM) (in relation to an ELMI) the same thing as the ELMI's EEA group large exposure except that references to its EEA consolidated group are replaced with references to its UK consolidated group, as established in accordance with ELM 7 (Consolidated financial supervision).
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a person who is not an authorised person.
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a UK domestic firm which has Part IV permission to carry on insurance mediation activity but no other regulated activity.
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the FSA acting in its capacity as the competent authority for the purposes of Part VI of the Act (Official Listing).
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an authorised fund whose instrument constituting the scheme contains the statement in COLL 3.2.6 R 1(2) (Table: contents of the instrument constituting the scheme) or, if it complies with the CIS, the statement required by CIS 2.2.6R(2)(a)(i) (Matters that must be included in the trust deed) or paragraph 4 (1) (b) of Schedule 2 to the OEIC Regulations, that it is a UCITS scheme; unless:(a) the scheme raises capital without promoting the sale of its units to the public within the EEA or any part of it; or(b) the scheme's units under its trust deed or its instrument constituting the scheme, may be sold only to the public in non-EEA States.
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part of the initial fund of a mutual which the mutual is prevented from including in its tier one capital resources as permanent share capital by reason of PRU 2.2.29R because it is not fully paid.
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(in COLL and CIS), a collective investment scheme under which the contributions of the participants in the scheme and the profits or income out of which payments are to be made to them are pooled separately in relation to separate parts of the scheme property.
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a firm which:(a) is the operator of a UCITS scheme including where in addition the firm is also the operator of a collective investment scheme which is not a UCITS scheme; and(b) has a Part IV permission to manage investments where the investments managed include one or more of the instruments listed in Section B of the Annex to the ISD.
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an EEA insurance parent undertaking that is not itself the subsidiary undertaking of another EEA insurance parent undertaking.
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the sum calculated at stage G of the calculation in PRU 2.2.14 R .
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a firm (other than an EEA UCITS management company) which:(a) for the time being is an operator, trustee or depositary of a scheme which is a recognised scheme under section 264 of the Act; and(b) is an authorised person as a result of paragraph 1(1) of Schedule 5 to the Act (Persons Concerned in Collective Investment Schemes);a reference to a firm as a UCITS qualifier applies in relation to the carrying on by the firm of activities for which it has permission in that capacity.
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(in ELM) (in relation to an ELMI) the consolidated sub-group of:(b) (if the ELMI has no UK financial parent undertaking and the ELMI is a UK domestic firm) the ELMI;as established in accordance with ELM 7 (Consolidated financial supervision).
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(in relation to an insurer) a parent undertaking of the insurer that is not itself the subsidiary undertaking of another undertaking.