CP13/6 - CRD IV for Investment Firms - Financial Conduct Authority

FCA 2013/xx
3.2.6R
enter into a
connected
transaction
each connected transaction
sufficient to allow evaluation
into a connected
transaction
month prior to
entry into the
relevant
transaction
IFPRU
3.2.8R
Additional tier
1 instrument or
tier 2
instrument
governed by
the law of third
country are
capable of
being written
down or
converted into
common equity
tier 1
instrument
Information sufficient to
demonstrate that any
additional tier 1 instrument or
tier 2 instrument issued by ot
that are governed by the law
of third country are capable of
being written down or
converted into common equity
tier 1 instrument to the same
extent as an equivalent own
funds instrument, including a
properly reasoned legal
opinion from an individual
appropriately qualified in the
relevant third country
Intention to issue
Not specified
IFPRU
3.2.10R
Intention by
firm or
member of its
group to issue
a capital
instrument,
other than
common equity
tier 1 capital,
for inclusion in
capital
resources
Fact of intention and
information in IFPRU
3.2.12R, eg. details of
intended amount, issue date,
type of investor, stage of
capital, features of instrument
and confirmation of
compliance with the
conditions for qualification as
own funds
Intention to issue
One month
prior to issue
IFPRU
3.2.13R
Intention by
firm or
member of its
group to issue
ordinary
shares or debt
instrument
issued under a
debt securities
programme
previously
issued
Confirmation that terms of the
capital instrument have not
changed since the previous
issue of that type of capital
instrument and information
in IFPRU 3.2.12R(1) and
(3), eg. details of intended
amount, issue date, type of
investor, stage of capital,
features of instrument and
confirmation of compliance
with the conditions for
qualification as own funds
Intention to issue
No later than
the date of
issue
IFPRU
3.2.15R
Proposed
changes to
details of the
issue of a
capital
instrument
Proposed change to
intended date of issue,
amount of issue, type of
investors, type of own funds
or other feature
Intention to
change any
details of the
issue previously
notified to the
As soon as
changes are
proposed
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