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The Risk Transformation Regulations 2017

Draft Legislation:

This is a draft item of legislation. This draft has since been made as a UK Statutory Instrument: The Risk Transformation Regulations 2017 No. 1212

Meaning of “affected parties”

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172.—(1) In this Chapter, “affected parties” means—

(a)in a Case 1 transfer scheme—

(i)the FCA;

(ii)the PRA;

(iii)an undertaking from whom the transferor has assumed a risk on behalf of a relevant cell;

(iv)all investors holding investments issued by the transferor on behalf of a relevant cell;

(v)any other person to whom the transferor has incurred a liability on behalf of a relevant cell; and

(vi)so far as the transferor is aware, any other person to whom the transferor has incurred a liability which is attributable to a relevant cell;

(b)in a Case 2 transfer scheme—

(i)the FCA;

(ii)the PRA;

(iii)an undertaking from whom the transferor has assumed a risk on behalf of a relevant cell;

(iv)all investors holding investments issued by the transferor on behalf of a relevant cell;

(v)any other person to whom the transferor has incurred a liability on behalf of a relevant cell;

(vi)so far as the transferor is aware, any other person to whom the transferor has incurred a liability which is attributable to a relevant cell; and

(vii)any person to whom the transferee has a liability or to whom the transferee has issued an investment;

(c)in a Case 3 transfer scheme—

(i)the FCA;

(ii)the PRA;

(iii)any person to whom the transferor has a liability, or to whom the transferor has issued an investment, which is to be transferred to the transferee as a result of the transfer scheme;

(iv)any undertaking from whom the transferee has assumed a risk on behalf of a relevant cell;

(v)all investors holding investments issued by the transferee on behalf of a relevant cell;

(vi)any other person to whom the transferee has incurred a liability on behalf of a relevant cell; and

(vii)so far as the transferee is aware, any other person to whom the transferee has incurred a liability which is attributable to a relevant cell.

(2) In this regulation, a “relevant cell” is the cell to which the transfer scheme relates and any other cell which has entered into enforceable arrangements with that cell.

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