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the regulated activity, specified in article 64 of the Regulated Activities Order (Agreeing to carry on specified kinds of activity), of agreeing to carry on an activity specified in Part II of that Order other than:(a) accepting deposits;(aa) issuing electronic money;
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the regulated activity, specified in article 53A of the Regulated Activities Order, which is in summary: advising a person if the advice:(a) is given to the person in his capacity as a borrower or potential borrower; and(b) is advice on the merits of his:(i) entering into a particular regulated mortgage contract; or(ii) varying the terms of a regulated mortgage contract entered into by him on or after 31 October 2004 in such a way as to vary his obligations under that contract.
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(in respect of a financial sector and in accordance with paragraph 6.9 of GENPRU 3 Annex 1 (Applicable sectoral consolidation rules)) the appropriate regulator's sectoral rules about capital adequacy and solvency on a consolidated basis applicable to that financial sector under the table in paragraph 6.10 of GENPRU 3 Annex 1.
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a person appointed under regulation 17A of the RCB Regulations.
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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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a stock lending transaction in respect of which the conditions in INSPRU 3.2.36 R have been met.
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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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the regulated activity, specified in article 61(2) of the Regulated Activities Order, which is in summary: administering a regulated mortgage contract where the contract was entered into on or after 31 October 2004.
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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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(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 date in any year stated in the most recently published prospectus as the date on or before which, in respect of each annual accounting period, an allocation of income is to be made.
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the regulated activity, specified in article 56 of the Regulated Activities Order (Advice on syndicate participation at Lloyd's), of advising a person to become, or continue or cease to be, a member of a particular Lloyd's syndicate.
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a permission of the type referred to in Article 129(2) of the Banking Consolidation Directive (permission to apply the IRB approach, the AMA approach or the CCR internal model method on a consolidated basis) or Article 37(2) of the Capital Adequacy Directive (permission to apply the VaR model approach on a consolidated basis) excluding an Article 129 implementing measure.
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the Host State rules with which:(a) an incoming EEA firm is required to comply when carrying on a permitted activity through a branch or by providing services (as applicable) in the United Kingdom, as defined in paragraphs 13(4) and 14(4) of Part II of Schedule 3 to the Act (Exercise of passport rights by EEA firms); or
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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.