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(a) a reinsurance to close effected before 1 January 2005; or(b) an agreement under which members of a syndicate in one syndicate year ("the reinsured members") agree with the members of that syndicate in a later syndicate year or the members of another syndicate ("the reinsuring members") that the reinsuring members will discharge, or procure the discharge of, or indemnify the reinsured members against, all known and unknown insurance business liabilities of the reinsured members arising out of the insurance business carried on by the reinsured members in that syndicate year that is:(i) effected after 1 January 2005; and(ii) not a balance transfer between two syndicate years where the syndicate has only one member and the member is the same in each of those years.
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a stock lending transaction in respect of which the conditions in PRU 4.3.36 Rhave been met.
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the director of an ICVC who is the authorised corporate director of the ICVC in accordance with COLL 6.5.3 R (Appointment of an ACD) or, as the case may be, CIS 7.2.1 R (The directors) including, if relevant, an EEA UCITS management company.
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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 LLD and PRU ) 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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(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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any of the following:(a) an approved credit institution; or(b) a firm whose permission includes dealing in investments as principal with respect to derivatives which are not listed; or(c) an ISD investment firm whose authorisation (as referred to in article 3 of the ISD) authorises it to carry on activities of the kind referred to in (b); or(d) in respect of a transaction involving a new issue of securities which are to be listed, the issuer or an ISD investment firm acting on behalf of the issuer.
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the regulated activity, specified in article 64 of the Regulated Activities Order (Agreeing to carry on specified kinds of activity), of agreeing to carry on an activity specified in Part II of that Order other than:(a) accepting deposits;(aa) issuing electronic money;
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a firm that operates an ATS or that has accepted responsibility for the operation of an ATS by an appointed representative.
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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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an institution recognised or permitted under the law of an EEA State to carry on any of the activities set out in Annex 1 to the Banking Consolidation Directive.
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the regulated activity, specified in article 51(1)(c) of the Regulated Activities Order (Establishing etc a collective investment scheme), of acting as the depositary or sole director of an open-ended investment company.