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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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a management company within the meaning of Article 2(1)(b) of the UCITS Directive, as well as an undertaking the registered office of which is outside the EEA and which would require authorisation in accordance with Article 6(1) of the UCITS Directive if it had its registered office within the EEA.
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a firm which:(a) is:(i) a full-scope UK AIFM; or(ii) an incoming EEA AIFM branch; and(b) has a Part 4A permission (or an equivalent permission from its Home State regulator) for managing investments where:
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Handbook rules transposing articles 12 and 14 of AIFMD and which fall under the responsibility of the Host State to supervise where an AIFM manages or markets an AIF through a branch in that EEA State, namely:(a) FUND 3.8;(b) SYSC 4.1.2C R;(d) COBS 2.1.4 R.
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Commission delegated regulation (EU) No 231/2013 supplementing Directive 2011/16/EU of the European Parliament and of the Council with regard to exemptions, general operating conditions, depositaries, leverage, transparency and supervision (http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:083:0001:0095:en:PDF) .
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Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 (http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2011:174:0001:0073:EN:PDF) .
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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 Alternative Investment Fund Managers Regulations 2013 (SI 2013/....)