Template:COBS Section 3.6.2: Difference between revisions
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COBS {{cobsprov|3.6.2}} - {{cobsprov|Per se eligible counterparties}} | COBS {{cobsprov|3.6.2}} - {{cobsprov|Per se eligible counterparties}} <br> | ||
Each of the following is a {{gmslaprov|per se eligible counterparty}} (including an entity that is not from an [[EEA]] state that is equivalent to any of the following) unless and to the extent it is given a different categorisation under this chapter: | Each of the following is a {{gmslaprov|per se eligible counterparty}} (including an entity that is not from an [[EEA]] state that is equivalent to any of the following) unless and to the extent it is given a different categorisation under this chapter: <br> | ||
:(1) an investment firm; <br> | :(1) an investment firm; <br> | ||
:(2) a credit institution; <br> | :(2) a credit institution; <br> | ||
:(3) an insurance company; <br> | :(3) an insurance company; <br> | ||
:(4) a [[collective investment scheme]] authorised under the {{tag|UCITS}} Directive or its management company; | :(4) a [[collective investment scheme]] authorised under the {{tag|UCITS}} Directive or its management company; <br> | ||
:(5) a [[pension fund]] or its management company; | :(5) a [[pension fund]] or its management company; <br> | ||
:(6) another financial institution authorised or regulated under [[EU]] legislation or the national law of an [[EEA]] State; | :(6) another financial institution authorised or regulated under [[EU]] legislation or the national law of an [[EEA]] State; <br> | ||
:(7) an undertaking exempted from the application of {{tag|MiFID}} under either Article 2(1)(k) (certain own account dealers in commodities or commodity derivatives) or Article 2(1)(l) (locals) of that directive; | :(7) an undertaking exempted from the application of {{tag|MiFID}} under either Article 2(1)(k) (certain own account dealers in commodities or commodity derivatives) or Article 2(1)(l) (locals) of that directive; <br> | ||
:(8) a national government or its corresponding office, including a public body that deals with the public debt; | :(8) a national government or its corresponding office, including a public body that deals with the public debt; <br> | ||
:(9) a [[central bank]]; | :(9) a [[central bank]]; <br> | ||
:(10) a [[supranational organisation]]. | :(10) a [[supranational organisation]]. <br> | ||
Revision as of 14:54, 13 March 2015
COBS 3.6.2 - Per se eligible counterparties
Each of the following is a per se eligible counterparty (including an entity that is not from an EEA state that is equivalent to any of the following) unless and to the extent it is given a different categorisation under this chapter:
- (1) an investment firm;
- (2) a credit institution;
- (3) an insurance company;
- (4) a collective investment scheme authorised under the UCITS Directive or its management company;
- (5) a pension fund or its management company;
- (6) another financial institution authorised or regulated under EU legislation or the national law of an EEA State;
- (7) an undertaking exempted from the application of MiFID under either Article 2(1)(k) (certain own account dealers in commodities or commodity derivatives) or Article 2(1)(l) (locals) of that directive;
- (8) a national government or its corresponding office, including a public body that deals with the public debt;
- (9) a central bank;
- (10) a supranational organisation.