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

FCA 2013/xx
basis under Article 73(2) of the Banking Consolidation
Directive by a competent authority in that EEA State.
(2) (in IFPRU) a group of undertakings identified in article 22
of the EU CRR (Sub-consolidation in cases of entities in
third countries).
operational risk
…
(3) (in IFPRU) has the meaning in article 4(1)(52) of the EU
CRR.
originator (1) (in GENPRU and BIPRU) (in accordance with Article 4(41)
of the Banking Consolidation Directive (Definitions) and in
relation to a securitisation within the meaning of paragraph
(2) of the definition of securitisation) either of the
following:
…
(2) (in IFPRU) has the meaning in article 4(1)(13) of the EU
CRR.
overall financial
adequacy rule
(1) (in GENPRU, BIPRU and INSPRU) GENPRU 1.2.26R
(Requirement for certain firms to have adequate financial
resources).
(2) (in IFPRU) IFPRU 2.2.1R (Adequacy of financial
resources).
overall Pillar 2 rule (1) (in GENPRU, BIPRU and INSPRU) GENPRU 1.2.30R
(Systems, strategies, processes and review for certain
firms).
(2) (in IFPRU) IFPRU 2.2.7R (Strategy processes and
systems).
own funds (1) (in GENPRU (except GENPRU 3 (Cross sector groups) and
BIPRU (except BIPRU 12 (Liquidity standards)) own funds
described in articles 56 to 57 of the Banking Consolidation
Directive.
…
(5) (in IFPRU) has the meaning in article 4(1)(118) of the EU
CRR.
parent financial
holding company in a
Member State
(1) (in GENPRU and BIPRU (except in (2)) (in accordance
with Article 4(15) of the Banking Consolidation Directive
(Definitions) and Article 3 of the Capital Adequacy
Directive (Definitions)) a financial holding company which
is not itself a subsidiary undertaking of an institution
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