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(in accordance with COLL 5.2.7F R) a money-market instrument which is normally dealt in on the money market, is liquid and has a value which can be accurately determined at any time.
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(as defined in Article 2 of the Buy-back and Stabilisation Regulation) any of the following financial instruments (including those which are not admitted to trading on a regulated market, or for which a request for admission to trading on such a market has not been made, provided that the relevant competent authorities have agreed to standards of transparency for transactions in such financial instruments):(a) contracts or rights to subscribe for, acquire or dispose of relevant securities;(b) financial derivatives on relevant securities;(c) where the relevant securities are convertible or exchangeable debt instruments, the securities into which such convertible or exchangeable debt instruments may be converted or exchanged;(d) instruments which are issued or guaranteed by the issuer or guarantor of the relevant securities and whose market price is likely to materially influence the price of the relevant securities, or vice versa; and(e) where the relevant securities are securities equivalent to shares, the shares represented by those securities (and any other securities equivalent to those shares).
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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 INSPRU ) 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.(3) (in COBS ) 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 loan to or deposit with, any government, public or local authority or nationalised industry or undertaking that belongs to Zone A as defined in the Banking Consolidation Directive; or(b) any loan to, or deposit with, an approved financial institution; or(c) debentures issued before 31 December 1994 by the Agricultural Mortgage Corporation Ltd or the Scottish Agricultural Securities Corporation Ltd.
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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) a MiFID investment firm whose authorisation (as referred to in article 5 of MiFID) 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 a MiFID investment firm acting on behalf of the issuer.
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a stock lending transaction in respect of which the conditions in INSPRU 3.2.36 R have been met.
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(as defined in section 130A(3) of the Act) practices that are reasonably expected in the financial market or markets in question and are accepted by the FSA or, in the case of a market situated in another EEA State, the competent authority of that EEA State within the meaning of the Market Abuse Directive.
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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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a credit 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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in relation to permitted links:(a) an index that is:(i) calculated independently;(ii) published at least once every week;(iii) based on constituents that are permitted links; and(iv) calculated on a basis that is made available to the public, and that includes both the rules for including and excluding constituents and the rules for valuation which must use an arithmetic average of the value of the constituents; or(b) a national index of retail prices published by or under the authority of a government of a State belonging to Zone A as defined in the Banking Consolidation Directive; or(c) an index that is:(i) based on constituents that are permitted links; and(d) the average earnings index when used for the purposes of orders made under section 148 of the Social Security Administration Act 1992 by the Department for Work and Pensions.