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FCA controlled function CF8 in Parts 1 and Part 2 of the table of FCA controlled functions, described more fully in SUP 10A.7.1 R .
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(in the PRA Handbook) PRA controlled function CF12 in the table of PRA controlled functions, described more fully in SUP 4.3.13 R and SUP 10B.8.1 R .
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(in accordance with regulation 2(1) of the Electronic Money Regulations) the average total amount of financial liabilities related to electronic money in issue at the end of each calendar day over the preceding six calendar months, calculated on the first calendar day of each calendar month and applied for that calendar month.
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(1) (in the FCA Handbook and in relation to an approved person) the functions described in APER 1.1A.2 P, which are in summary:(b) PRA controlled functions; and(c) any other functions in relation to the carrying on of a regulated activity;in relation to the authorised persons in relation to which that person is an approved person.(2) (in the PRA Handbook and in relation to an approved person) the functions described in APER 1.1B.2 P, which are in summary:(c) any other significant-influence functions;in relation to the PRA-authorised persons in relation to which that person is an approved person.
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one of the following:(a) a version of the standardised approach to operational risk under which a firm uses different indicators for certain business lines as referred to in BIPRU 6.4.19 R (The alternative standardised approach);(b) (where the approach in (a) is being applied on a consolidated basis) the method in (a) as applied on a consolidated basis in accordance with BIPRU 8 (Group risk - consolidation); or(c) when the reference is to the rules of or administered by a regulatory body other than the appropriate regulator, whatever corresponds to the approach in (a) or (b), as the case may be, under those rules.
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the regulated activity, specified in article 63J(2) of the Regulated Activities Order, which is in summary any of the following:(a) notifying the agreement seller of changes in payment due under a regulated sale and rent back agreement or of other matters of which that agreement requires him to be notified;(b) taking any necessary steps for the purpose of making payments to the agreement seller under that agreement; and(c) taking any necessary steps for the purposes of collecting or recovering payments due under that agreement from the agreement seller;but a person is not to be treated as administering a regulated sale and rent back agreement because he has, or exercises, a right to take action for the purposes of enforcing that agreement (or to require that such action is or is not taken);and in relation to a person who acquires obligations or rights under a regulated sale and rent back agreement, an activity is a specified kind of activity for the purposes of this definition only if the agreement was entered into by the agreement provider (rather than the obligations or rights acquired) on or after 1 July 2009.
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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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the regulated activity, specified in article 53D of the Regulated Activities Order, which is in summary advising a person if the advice:(a) is given to a person in his capacity as:(i) an agreement seller or potential agreement seller; or(ii) an agreement provider or potential agreement provider; and(b) is advice on the merits of his doing either of the following:(i) entering into a particular regulated sale and rent back agreement; or(ii) varying the terms of a regulated sale and rent back agreement entered into on or after 1 July 2009 by him as agreement seller or agreement provider, in such a way as to vary his obligations under that agreement and in relation to a person who acquires obligations or rights under a regulated sale and rent back agreement, an activity is a specified kind of activity for the purposes of this part of the definition only if the agreement was entered into by the agreement provider (rather than the obligations or rights acquired) on or after 1 July 2009.
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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 regulated activity, specified in article 25E(1) of the Regulated Activities Order, which is in summary making arrangements:(a) for another person to enter into a regulated sale and rent back agreement as an agreement seller or as an agreement provider; or(b) for another person to vary the terms of a regulated sale and rent back agreement, entered into on or after 1 July 2009 by him as agreement seller or agreement provider, in such a way so as to vary his obligations under that agreement and in relation to a person who acquires obligations or rights under a regulated sale and rent back agreement, an activity is a specified kind of activity for the purposes of this part of the definition only if the agreement was entered into by the agreement provider (rather than the obligations or rights acquired) on or after 1 July 2009;including making arrangements with a view to a person who participates in the arrangements entering into a regulated sale and rent back agreement as agreement seller or agreement provider.
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(a) (in relation to a company incorporated in the United Kingdom) an annual report and annual accounts as those terms are defined in:(i) section 262(1) of the Companies Act 1985, together with an auditor's report prepared in relation to those accounts under section 235 of the same Act where these provisions are applicable; or(ii) section 471 of the Companies Act 2006 together with an auditor's report prepared in relation to those accounts under sections 495 to 497 of the same Act;(b) (in relation to any other body) any similar or analogous documents which it is required to prepare whether by its constitution or by the law under which it is established.