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Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Notices 2 Capital Requirements Regulations 2013 means the UK Capital Requirements Regulations 2013, as amended from time to time.
3 Companies Act means the UK
Companies Act 2006, as amended from time to time.
4 FCA means the UKs Financial Conduct Authority.
5 FCA BIPRU means the Prudential Sourcebook for Banks, Building Societies and Investment Firms of the FCA Handbook, as amended from time to time.
6 FCA CASS means the Client Asset Sourcebook of the FCA Handbook, as amended from time to time.
7 FCA COBS means the Conduct of Business Sourcebook of the FCA
Handbook, as amended from time to time.
8 FCA COND means the Threshold Conditions of the FCA
Handbook, as amended from time to time.
9 FCA Enforcement Guide means the Enforcement Guide of the FCA
Handbook, as amended from time to time.
10 FCA FCG means the Financial Crime Guide of the FCA Handbook, as amended from time to time.
11 FCA FIT means the Fit and Proper Test for Employees and Senior Personnel Sourcebook of the FCA
Handbook, as amended from time to time.
12 FCA Handbook means the FCAs Handbook of rules and guidance, as amended from time to time.
13 FCA Handbook Glossary means the Glossary part of the FCAs Handbook of rules and guidance, as amended from time to time.
14 FCA IFPRU means the Prudential Sourcebook for Investment Firms of the FCA Handbook, as amended from time to time.
15 FCA PRIN means the Principles for Businesses Sourcebook of the FCA Handbook, as amended from time to time.
16 FCA PROD means the Product Intervention and Product Governance Sourcebook of the FCA Handbook, as amended from time to time.
17 FCA SUP means the Supervision Sourcebook of the FCA
Handbook, as amended from time to time.
18 FCA SYSC means the Senior Management Arrangements, Systems and Controls Sourcebook of the FCA
Handbook, as amended from time to time.
19 FSMA means the UKs Financial Services and Markets Act 2000, as amended from time to time.

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20 ICVC means investment company with variable capital as defined in the FCA Handbook Glossary.
21 MLR 2017 means the UKs Money Laundering, Terrorist Financing and Transfer of Funds Information on the Payer Regulations 2017, as amended from time to time.
22 PRA means the UKs Prudential Regulation Authority.
23 PRA Capital Buffer Rules means the Capital Buffer Part of the PRA
Rulebook for CRR Firms, as amended from time to time.
24 PRA Certification Rules means the Certification Part of the PRA
Rulebook for CRR Firms, as amended from time to time.
25 PRA Definition of Capital Rules means the Definition of Capital Part of the PRA Rulebook for CRR
Firms, as amended from time to time.
26 PRA Fitness and Proprietary Rules means the Fitness and Propriety Part of the PRA Rulebook for CRR
Firms, as amended from time to time.
27 PRA Fundamental Rules means the Fundamental Rules Part of the PRA
Rulebook for CRR Firms, as amended from time to time.
28 PRA General Organisational Requirements means the General Organisational Requirements Part of the PRA Rulebook for CRR Firms, as amended from time to time.
29 PRA Internal Capital Adequacy Assessment Rules means the Internal Capital Adequacy Assessment Part of the PRA Rulebook for CRR Firms, as amended from time to time.
30 PRA Internal Liquidity Adequacy Assessment Rules means the Internal Liquidity Adequacy Assessment Part of the PRA Rulebook for CRR Firms, as amended from time to time.
31 PRA Liquidity Coverage RequirementUK Designated Investment Firms Rules means the PRA Liquidity Coverage Requirement UK Designated Investment Firms Part of the PRA Rulebook for CRR Firms, as amended from time to time.
32 PRA Notifications Rules means the Notifications Part of the PRA
Rulebook for CRR Firms, as amended from time to time.
33 PRA Outsourcing Rules means the Outsourcing Part of the PRA
Rulebook for CRR Firms, as amended from time to time.
34 PRA Recordkeeping Rules means the Recordkeeping Part of the PRA Rulebook for CRR Firms, as amended from time to time.
35 PRA Regulatory Reporting Rules means the Regulatory Reporting Part of the PRA Rulebook for CRR
Firms, as amended from time to time.

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36 PRA Remuneration Rules means the Remuneration Part of the PRA Rulebook for CRR Firms, as amended from time to time.
37 PRA Risk Control Rules means the Risk Control Part of the PRA
Rulebook for CRR Firms, as amended from time to time.
38 PRA Rulebook or PRA
Rulebook for CRR Firms means the PRAs Rulebook for Capital Requirement Regulation Firms, as amended from time to time.
39 PRA Rulebook Glossary means the Glossary part of the PRA Rulebook for CRR Firms, as amended from time to time.
40 PRA Senior Management Functions Rules means the Senior Management Functions Part of the PRA
Rulebook for CRR Firms, as amended from time to time.
41 Prudentially regulated means a Covered Entity that has a prudential regulator as that term is defined in Exchange Act section 3a74.
42 SMR means the Senior Managers Regime that forms part of the Senior Managers and Certification Regime, as amended from time to time.
43 UK means the United Kingdom.
44 UK CRR means the UK version of Regulation EU No 575/2013, as amended from time to time.
45 UK CRR Reporting ITS means the UK version of Commission Implementing Regulation EU 680/
2014.
46 UK EMIR means the UK
version of the European Market Infrastructure Regulation, Regulation EU No 648/2012, as amended from time to time.
47 UK EMIR Margin RTS means the UK version of Commission Delegated Regulation EU 2016/2251, as amended from time to time.
48 UK EMIR RTS means UK
version of Commission Delegated Regulation EU No 149/2013, as amended from time to time.
49 UK MAR means the UK
version of Market Abuse Regulation EU 596/2014, as amended from time to time.
50 UK MAR Investment Recommendations Regulation means the UK version of Commission Delegated Regulation EU 2016/958, as amended from time to time.
51 UK MiFID Org Reg means the UK version of Commission Delegated Regulation EU 2017/565, as amended from time to time.
52 UK MiFIR means the UK
version of the Markets in Financial Instruments Regulation, Regulation EU 600/2014, as amended from time to time.

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