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a person in relation to whom the FSA has given its approval under section 59 of the Act (Approval for particular arrangements) for the performance of a controlled function.
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any form of security for the discharge of any liability arising from a contingent liability investment (other than a guarantee) which:(a) (in relation to an on-exchange transaction) is acceptable under the rules of the relevant exchange or clearing house; and(b) (in relation to an OTC transaction) would be acceptable for a similar transaction to the relevant exchange or clearing house.
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any depositary:(a) which is subject to regulation by a national regulatory body in connection with its custody services;(b) which is required to prepare audited accounts;(c) whose latest annual audit report is not materially qualified; and(d) which(i) has minimum net assets of £5 million (or its equivalent in any other currency at the relevant time) and has surplus revenue over expenditure for the last two financial years; or(ii) if not, nevertheless has adequate financial resources for its business.
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an interest in any land or building which satisfies the conditions in CIS 5A.8.5 R (Approved immovables).
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(1) (in COLL and CIS) a transferable security that is admitted to official listing in an EEA State or is traded on or under the rules of an eligible securities market (otherwise than by the specific permission of the market authority).(2) (in) any of the following:(a) any security issued or guaranteed by, or the repayment of the principal of which, or the interest on which, is guaranteed by, and any loans to or deposits with, any government, public or local authority or nationalised industry or undertaking, which belongs to a Zone A country;(b) any loan to, or deposit with, an approved financial institution;(c) any debenture issued before 31 December 1994 by the Agricultural Mortgage Corporation Limited or the Scottish Agricultural Securities Corporation Limited.
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(except in COLL and CIS) (in relation to a bank account opened by a firm):(a) if the account is opened at a branch in the United Kingdom:(i) the Bank of England; or(ii) the central bank of a member state of the OECD; or(iii) a bank; or(iv) a building society which offers, unrestrictedly, banking services; or(v) a bank which is supervised by the central bank or other banking regulator of a member state of the OECD; or(b) if the account is opened elsewhere:(i) a bank in (a); or(ii) a credit institution established in an EEA State other than the United Kingdom and duly authorised by the relevant Home State regulator; or(iii) a bank which is regulated in the Isle of Man or the Channel Islands; or(c) a bank supervised by the South African Reserve Bank; or(d) any other bank that:(in COLL and CIS) any person falling within (a-c).(i) is subject to regulation by a national banking regulator;(ii) is required to provide audited accounts;(iii) has minimum net assets of £5 million (or its equivalent in any other currency at the relevant time) and has a surplus revenue over expenditure for the last two financial years; and(iv) has an annual audit report which is not materially qualified.
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(in accordance with section 31 of the Act (Authorised persons)) one of the following:(b) an incoming EEA firm;(c) an incoming Treaty firm;(d) a UCITS qualifier;(e) an ICVC;(f) the Society of Lloyd's.(see also GEN 2.2.18 R for the position of an authorisedpartnership or unincorporated association which is dissolved.)
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an approved credit institution as defined in IPRU(INS).
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a personal pension policy or a personal pension contract under which contributions are made to a personal pension schemewhich is an appropriate scheme under section 1(8) of the Social Security Act 1986 or article 3(8) of the Social Security (Northern Ireland) Order 1986.
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(in COLL and CIS) a mortgage:(a) which the trustee reasonably believes can be discharged on demand or within 28 days by repayment of all the money secured by the mortgage (including, where appropriate, any additional sum provided for under the mortgage); and(b) on which there is not secured any property, whether immediately or contingently, other than the approved immovable in question.
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an approved financial institution as defined in IPRU(INS).
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an approved counterparty as defined in IPRU(INS).