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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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(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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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 accordance with article 8 of the Financial Promotion Order) (as more fully described in COB 3.10.1 R (Meaning of "solicited" and "unsolicited" real time financial promotion) and AUTH App 1.10 (Types of financial promotion))) a real time financial promotion which is not a solicited real time financial promotion.
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the Unfair Terms in Consumer Contracts Regulations 1999 (SI 1999/2083), as amended by SI 2001/1186 and SI 2001/3649.
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arrangements for a newly formed dual-priced AUT under which:(a) the whole or part of the property of a body corporate (or a collective investment scheme) becomes the first property to be held on the trusts of the AUT; and(b) the holders of shares (or units) in the body corporate (or collective investment scheme) being wound up or property of which is being transferred become the first participants in the AUT.
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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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(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) 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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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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(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.