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(1) (except in REC) (as defined in paragraph 10 of Schedule 3 to the Act (EEA Passport Rights)) a person whose head office is in the United Kingdom and who has an EEA right to carry on activity in an EEA State other than the United Kingdom.(2) (in REC) means an investment firm or credit institution which has a Part IV permission to carry on one or more regulated activities.
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a firm that has its registered office (or, if it has no registered office, its head office) in the United Kingdom.
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a MiFID investment firm whose Home State is the United Kingdom (this may include a natural person provided the conditions set out in Article 4(1)(1) of MiFID are satisfied).
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(in ELM) the same thing as EEA group risk own funds requirement, subject to the adjustments required by ELM 7.5.5R (UK group risk own funds and UK group risk own funds requirement).
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has the meaning in BIPRU 8.2.4 R (Definition of UK consolidation group), which is in summary the group that is identified as a UK consolidation group in accordance with the decision tree in BIPRU 8 Annex 1 R (Decision tree identifying a UK consolidation group); in each case only persons included under BIPRU 8.5 (Basis of consolidation) are included in the UK consolidation group.
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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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(in ELM) the same thing as EEA group risk own funds, subject to the adjustments required by ELM 7.5.5 R (UK group risk own funds and UK group risk own funds requirement).
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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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the MCR calculated in accordance with INSPRU 1.5.44R by a non-EEA direct insurer (except a UK-deposit insurer, an EEA-deposit insurer or a Swiss general insurer) in relation to business carried on by the firm in the United Kingdom.
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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) does not have a Part IV permission to carry on any regulated activities other than those which are in connection with, or for the purpose of, such schemes.
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a firm which:(1) is the operator of a UCITS scheme (whether or not it is also the operator of other schemes); and(2) has a Part IV permission to manage investments where:(a) the investments managed include one or more of the instruments listed in Section C of Annex 1 to MiFID; and(b)the permission extends to activities permitted by article 5(3) of the UCITS Directive as well as those permitted by article 5(2).
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a non-EEA insurer that has made a deposit in the United Kingdom under article 23 of the First Non-Life Directive in accordance with article 26 of that Directive or under article 51 of the Consolidated Life Directive in accordance with article 56 of that Directive.
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a parent financial holding company in a Member State where the EEA State in question is the United Kingdom.
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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).