Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  5. Point in time
    2024-11-23

qualifying holding

10 (1) (in MIFIDPRU) a direct or indirect holding in an undertaking which:37

  1. (a) represents 10% or more of the capital of that undertaking;37
  2. (b) represents 10% or more of the voting rights of that undertaking; or37
  3. (c) makes it possible to exercise a significant influence over the management of that undertaking.37

(2) (otherwise) a28 direct or indirect holding in an investment firm which represents 10% or more of the capital or of the voting rights, as set out in articles 9 and 1028 of the Transparency Directive, taking into account the conditions regarding aggregation in article 12(4) and (5) of that Directive,28 or which makes it possible to exercise a significant influence over the management of the investment firm in which that holding subsists.11[Note: article 4(1)(31)28 of MiFID]