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Application provision

1.1 Unless otherwise stated, this Part applies to a CRR firm

  1. (1) with respect to the carrying on of the following from an establishment in the UK:
    1. (a) regulated activities;
    2. (b)  activities that constitute dealing in investments as principal, disregarding the exclusion in article 15 of Regulated Activities Order;
    3. (c) ancillary activities;
    4. (d)  in relation to MiFID business, ancillary services; and
    5. (e)  unregulated activities in a prudential context;
  2. (2) with respect to the carrying on of passported activities by it from a branch in another EEA state;
  3. (3in a prudential context with respect to activities wherever they are carried on; and
  4. (4taking into account any activity of other members of a group of which the firm is a member.

1.1

03/01/2018

Unless otherwise stated, this Part applies to a CRR firm

  1. (1) with respect to the carrying on of the following from an establishment in the UK:
    1. (a) regulated activities;
    2. (b)  activities that constitute dealing in investments as principal, disregarding the exclusion in article 15 of Regulated Activities Order;
    3. (c) ancillary activities;
    4. (d)  in relation to MiFID business, ancillary services; and
    5. (e)  unregulated activities in a prudential context;
  2. (2) with respect to the carrying on of passported activities by it from a branch in another EEA state;
  3. (3in a prudential context with respect to activities wherever they are carried on; and
  4. (4taking into account any activity of other members of a group of which the firm is a member.

1.1A

29/06/2018

2.1A to 2.2B do not apply to a firm with respect to the carrying on of benchmarking activities except to the extent that they transpose an EU instrument.

1.2

03/01/2018

In this Part, the following definitions shall apply:

Article 23 Risk Control Requirements

means requirements and obligations as set out in Article 23 (Risk Management) of the MODR

other matters

means, in relation to a requirement under the MODR, matters within the scope of 1.1 that are not within the scope of that requirement.