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(in relation to a firm) a person resident in the United Kingdom who is authorised to act generally, and to accept service of any document, on behalf of the firm.
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(as defined in section 237(3) of the Act (Other definitions)) a unit trust scheme which is authorised for the purposes of the Act by an authorisation order.
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the Financial Services and Markets Act 2000 (Appointed Representatives) Regulations 2001 (SI 2001/1217).
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a professional firm which is an authorised person.
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(in accordance with regulation 2(1) of the Payment Services Regulations) a person included by the FCA in the Financial Services Register as an authorised payment institution pursuant to regulation 4(1)(a), or a person deemed to have been granted authorisation by virtue of regulation 121 of the Payment Services Regulations.
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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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(1) in relation to an EEA firm (in accordance with Schedule 3 paragraph 13(4) and 14(4) to the Act), whichever of the FCA or PRA is the competent authority for the purposes of the relevant Single Market Directive; (2) in relation to a UK firm (in accordance with Schedule 3 paragraph 18A to the Act),(a) the PRA, where the firm is a PRA-authorised person; and(b) in any other case, the FCA.(3) in relation to a Treaty firm (in accordance with section 35(2A) of the Act),(a) in the case of a PRA-authorised person, the PRA; and(b) in any other case, the FCA.
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an AIF which is an authorised fund.
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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) including, if relevant, an EEA UCITS management companyor incoming EEA AIFM.
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an exemption from articles 7, 13 and 14 of the short selling regulation for the activities of an authorised primary dealer pursuant to article 17 of the short selling regulation.
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(as defined in article 2(1)(n) of the short selling regulation) a natural or legal person who has signed an agreement with a sovereign issuer or who has been formally recognised as a primary dealer by or on behalf of a sovereign issuer and who, in accordance with that agreement or recognition, has committed to dealing as principal in connection with primary and secondary market operations relating to debt issued by that sovereign issuer.
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(A) In the PRA Handbook:(1) (in relation to cases apart from in (2)(in accordance with section 39 of the Act (other than an authorised person) a person who:(a) is a party to a contract with an authorised person (his principal) which:(i) permits or requires him to carry on business of a description prescribed in the Appointed Representatives Regulations; and(ii) complies with such requirements as are prescribed in those Regulations; and(b) is someone for whose activities in carrying on the whole or part of that business his principal has accepted responsibility in writing;and who is therefore an exempt person in relation to any regulated activity comprised in the carrying on of that business for which his principal has accepted responsibility.(2) (in relation to a firm with a permission only to carry on one or more regulated activities prescribed for the purposes of section 39(1E)(a) of the Act) in accordance with section 39 of the Act, a person ("A") who:(a) is a party to a contract with another authorised person (A's principal) which:(i) permits or requires A to carry on business of a description prescribed in the Appointed Representatives Regulations ("the relevant business"); and(ii) complies with such requirements as are prescribed in those Regulations; and(b) is someone for whose activities in carrying on the whole or part of the relevant business A's principal has accepted responsibility in writing;and, therefore, to whom sections 20(1) and (1A) and 23(1A) of the Act do not apply in relation to the carrying on by A of a regulated activity which is not one to which A's permission relates, and is comprised in the carrying on of the business for which A's principal has accepted responsibility.(B) In the FCA Handbook:(1) (in relation to cases apart from in (2) (in accordance with section 39 of the Act (other than an authorised person) a person who:(a) is a party to a contract with an authorised person (his principal) which:(i) permits or requires him to carry on business of a description prescribed in the Appointed Representatives Regulations; and(ii) complies with such requirements as are prescribed in those Regulations; and(b) is someone for whose activities in carrying on the whole or part of that business his principal has accepted responsibility in writing;and who is therefore an exempt person in relation to any regulated activity comprised in the carrying on of that business for which his principal has accepted responsibility.(2) (in relation to a firm with a permission only to carry on one or more regulated activities prescribed for the purposes of section 39(1E)(a) of the Act) in accordance with section 39 of the Act, a person ("A") who:(a) is a party to a contract with another authorised person (A's principal) which:(i) permits or requires A to carry on business of a description prescribed in the Appointed Representatives Regulations ("the relevant business"); and(ii) complies with such requirements as are prescribed in those Regulations; and(b) is someone for whose activities in carrying on the whole or part of the relevant business A's principal has accepted responsibility in writing;and, therefore, to whom sections 20(1) and (1A) and 23(1A) of the Act do not apply in relation to the carrying on by A of a regulated activity which is not one to which A's permission relates, and is comprised in the carrying on of the business for which A's principal has accepted responsibility.
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(A) In the PRA Handbook:the Alternative Investment Fund Managers Regulations 2013 (SI 2013/....)(B) In the FCA Handbook:the Alternative Investment Fund Managers Regulations 2013 (SI 2013/1773)