SCHEDULES

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

PART 1Amendments of the Capital Requirements Regulation

I146

1

Annex 3 (items subject to supplementary reporting of liquid assets) is amended as follows.

2

In point 3(b), for “of an institution or any of its affiliated entities” substitute “ of, or of an affiliated entity of, an institution or an investment firm ”.

3

In point 5(b), for “of an institution or any of its affiliated entities” substitute “ of, or of an affiliated entity of, an institution or an investment firm ”.

4

In point 6(a), for “on an SSPE, an institution or any of its affiliated entities” substitute “ on, or on an affiliated entity of, an SSPE, an institution or an investment firm ”.

5

In point 7, for “on an SSPE, an institution or any of its affiliated entities” substitute “ on, or on an affiliated entity of, an SSPE, an institution or an investment firm ”.

6

In point 11, for “by an institution or any of its affiliates” substitute “ by, or by an affiliate of, an institution or an investment firm ”.