SCHEDULES

SCHEDULE 1Exclusion of certain investment firms from the Capital Requirements Regulation: consequential amendments

PART 1Amendments of the Capital Requirements Regulation

I112

1

Article 82(a) (Qualifying Additional Tier 1, Tier 1, Tier 2 capital and qualifying own funds) is amended as follows.

2

After point (ii) insert—

iia

an intermediate financial holding company or intermediate mixed financial holding company that is subject to the requirements of this Regulation on a sub-consolidated basis;

iib

an intermediate investment holding company that is subject to the requirements of Part 9C rules on a consolidated basis;

iic

an FCA investment firm;

3

In point (iii)—

a

after “subject to prudential requirements” insert “ which are ”,

b

for “where” substitute “ which ”, and

c

omit “that those prudential requirements”.