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

FCA 2013/xx
(d)
(e)
a repayment of amounts paid in connection with capital
instruments referred to in article 26(1)(a) of the EU CRR
(Common equity tier 1 items);
a distribution of items referred to in article 26(1)(b) to (e) of
the EU CRR (Common equity tier 1 items).
EEA countercyclical
buffer authority
eligible capital
EU CRR
exempt IFPRU
commodities firm
FCA consolidation
group
financial sector entity
full CRD credit
institution
full-scope IFPRU
investment firm
IFPRU
IFPRU investment firm
the authority of a EEA State, other than the UK, designated for the
purpose of article 136 of CRD with responsibility for setting the
countercyclical buffer rate for that EEA State.
has the meaning in article 4(1)(71) of the EU CRR.
the Regulation of the European Parliament and the Council on
prudential requirements for credit institutions and investment firms
(Regulation (EU) No 575/2013) and amending Regulation (EU) No
648/2012.
an IFPRU investment firm which falls within the meaning in
articles 493(1) and 498(1) of the EU CRR.
the undertakings included in the scope of prudential consolidation
to the extent and in the manner prescribed in Part One, Title II,
Chapter 2, Sections 2 and 3 of the EU CRR and IFPRU 8.1.3R to
IFPRU 8.1.4R (Prudential consolidation) for which the FCA is the
consolidating supervisor under [Art. 111 of the CRD].
has the meaning in article 4(1)(27) of the CRR.
an undertaking whose business is to receive deposits or other
repayable funds from the public and to grant credits for its own
account and that has its registered office (or, if it has no registered
office, its head office) in an EEA state, excluding an institution to
which CRD does not apply under article 2 of CRD.
a CRD full-scope firm that is an IFPRU investment firm.
the Prudential sourcebook for Investment Firms
an investment firm, as defined in article 4(1)(2) of the CRR
(including a collective portfolio management investment firm), that
satisfies the following conditions:
(a)
(b)
(c)
it is a firm;
its head office is in the UK and it is not otherwise excluded
under IFPRU 1.1.5R; and
it is not a designated investment firm;
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