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(3) (elsewhere in the Handbook)(in relation to an investment and an exchange) the process by which the exchange permits members of the exchange to enter into transactions in that investment under and subject to the rules of the exchange.
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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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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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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.
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(in respect of a financial sector) applicable sectoral consolidation rules for that financial sector and the FSA's sectoral rules about capital adequacy and solvency applicable to that financial sector under the table in paragraph 6.8 of PRU 8 Ann 1R Gwhich of those sets of rules apply for the purpose of a particular calculation depends on the nature of that calculation.
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(in respect of a financial sector and in accordance with paragraph 6.10 of PRU 8 Ann 1R G (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 6.11 of PRU 8 Ann 1R G.
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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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the regulated activity, specified in article 61(2) of the Regulated Activities Order, which is in summary: administering a regulated mortgage contract (which is a lifetime mortgage) where the contract was entered into on or after 31 October 2004.
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the regulated activity, specified in article 51(1)(b) of the Regulated Activities Order (Establishing etc a collective investment scheme), of acting as a trustee of an authorised unit trust scheme.
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