Related provisions for PERG 6.7.8

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1 Deductions and Ratios (Items 10, 11 and 15)(a)Notwithstanding IPRU-INV 5.8.1R and 5.8.2R for an exempt CAD firm, in calculating own funds, all of Item 8 must be deducted after the total of Tier 1 and Tier 2 capital and the following restrictions apply:(i)the total of fixed term cumulative preference shares (item 10) and long-term qualifying subordinated loans (item 11) that may be included in Tier 2 capital is limited to 50 per cent of Tier 1 capital;(ii)Tier 2 capital must
PR App 1.1.1RP
1Note: The following definitions relevant to the prospectus rules are extracted from the Glossary.Actthe Financial Services and Markets Act 2000.admission to tradingadmission to trading on a regulated market.advertisement(as defined in the PD Regulation) announcements:(1)relating to a specific offer to the public of securities or to an admission to trading on a regulated market; and(2)aiming to specifically promote the potential subscription or acquisition of securities.4applicantan
PERG 5.15.4GRP
Types of activity – are they regulated activities and, if so, why?Type of activityIs it a regulated activity?RationaleMARKETING AND EFFECTING INTRODUCTIONSPassive display of information -for example, medical insurance brochures in doctor’s surgery (whether or not remuneration is received for this activity)No.Merely displaying information does not constitute making arrangements under article 25(2) (see PERG 5.6.4 G).Recommending a broker/insurance undertaking and providing customer