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controlled function CF25 in the table of controlled functions, described more fully in SUP 10.10.15 R.
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the regulated activity, specified in article 56 of the Regulated Activities Order (Advice on syndicate participation at Lloyd's), of advising a person to become, or continue or cease to be, a member of a particular Lloyd's syndicate.
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the regulated activity, specified in article 58 of the Regulated Activities Order (Arranging deals in contracts of insurance written at Lloyd's), carried on by the Society of Lloyd's of arranging deals in contracts of insurance written at Lloyd's.
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(a) (in relation to managing investments):(i) arranging settlement;(ii) monitoring and processing corporate actions;(iii) client account administration, liaison and reporting, including valuation and performance measurement;(v) investment trust savings scheme administration;(b) (in relation to effecting or carrying out life policies):(i) new business administration;(iii) preparing projections;(iv) processing claims including pension payments;(v) fund switching;(c) (in relation to the operation of a stakeholder pension scheme):(i) new business administration;(ii) receipt of or alteration to contributions;(iii) preparing projections and annual statements;(iv) administration of transfers;(v) handling claims, including pension payments;(vi) fund allocation and switching.
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the Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001 (SI 2001/1217).
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a right to acquire a particular amount of the relevant security or of any associated security at a future date at a particular price.
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the regulated activity, specified in article 53A of the Regulated Activities Order, which is in summary: advising a person if the advice:(a) is given to the person in his capacity as a borrower or potential borrower; and(b) is advice on the merits of his:(i) entering into a particular regulated mortgage contract; or(ii) varying the terms of a regulated mortgage contract entered into by him on or after 31 October 2004 in such a way as to vary his obligations under that contract.
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an investigation to which IPRU-INS rule 9.4 applies.
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(in accordance with Article 134 of the Banking Consolidation Directive) a relationship of one of the following kinds:(a) where a person exercises a significant influence over one or more persons, but without holding a participation or other capital ties in these persons and without being a parent undertaking of these persons; or(b) where two or more persons are placed under single management other than pursuant to a contract or clauses of their memoranda or articles of association.
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(as defined in subsection 142(2) of the Act (Insurance business: regulations supplementing Authority's rules)) rules made by the FSA which require an authorised person who has permission to effecting or carry out contracts of insurance to identify assets which belong to him and which are maintained in respect of a particular aspect of his business.
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(in relation to any prescribed market) an approved channel of communication by which information concerning investments traded on the market is formally disseminated to other market users on a structured and equitable basis.
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(in respect of a financial sector and in accordance with paragraph 6.9 of GENPRU 3 Annex 1 (Applicable sectoral consolidation rules)) the FSA's sectoral rules about capital adequacy and solvency on a consolidated basis applicable to that financial sector under the table in paragraph 6.10 of GENPRU 3 Annex 1.
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the regulated activity, specified in article 25A(1) of the Regulated Activities Order, which is in summary: making arrangements for another person to:(a) enter into a regulated mortgage contract as borrower; or(b) vary the terms of a regulated mortgage contract entered into by him as borrower on or after 31 October 2004.(see also arranging (in relation to regulated mortgage contracts) and making arrangements with a view to regulated mortgage contracts.)
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one of the following:(a) an IRB permission; or(b) an AMA permission; or(c) a VaR model permission; or(d) a CAD 1 model waiver; or
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a share in respect of which income is credited periodically to capital under CIS 9.2.4 R (Annual allocation to accumulation shares or accumulation units) or CIS 9.2.6 R (Interim allocations of income).
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an order made by the FSA :as a result of which the AUT becomes authorised or the body becomes incorporated as an ICVC under regulation 3 of the OEIC Regulations (Open-ended investment company).
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that part of safeguarding and administering investments which consists solely of arranging for one or more other persons to carry on both:(a) the safeguarding of assets belonging to another; and(b) the administration of those assets.
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the regulated activity, specified in article 39A of the Regulated Activities Order (Assisting in the administration and performance of a contract of insurance) of assisting in the administration and performance of a contract of insurance.
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controlled function CF8 in the table of controlled functions, described more fully in SUP 10.7.1 R .