Search Result
retirement date
As Published: 2022
retirement date
218 (in COBS 19.11 ) means: (a) the age (according to the most recent recorded information available to the firm ) when a relevant pension scheme member intends to retire, or to access their pension s…
settlement price
As Published: 2005
settlement price
(in LR ) (in relation to securitised derivatives ), the reference price or prices of the underlying instrument or instruments stipulated by the issuer for the purposes of calculating its obligations t…
BIPRU 8 Annex 1 Decision tree identifying a UK consolidation group
As Published: 2019
BIPRU 8 Annex 1 Decision tree identifying a UK consolidation group
…
notional principal
As Published: 2001
notional principal
(a) (in relation to a contract for differences which is an index derivative ): (i) the current mark to market valuation of a contract for differences which resembles a futures contract; or (ii) the ex…
conduct rules staff
As Published: 2015
conduct rules staff
(1) any persons who are subject to COCON , as set out in COCON 1 (Application); and 265 (2) a person is a “member” of the conduct rules staff of a firm in the circumstances described in COCON 1.1.7AR(…
inside information
As Published: 2005
inside information
as described in article 7 of the Market Abuse Regulation . 145…
appropriate UK regulator
As Published: 2019
appropriate UK regulator
(1) [deleted] 154 (2) in relation to a UK firm 154 , (a) the PRA , where the firm is a PRA-authorised person ; and (b) in any other case, the FCA . (3) [deleted] 154…
threshold requirement
As Published: 2001
threshold requirement
103 either of the following in relation to a MIFIDPRU investment firm : (1) the liquid assets threshold requirement ; or (2) the own funds threshold requirement .
regulatory surplus
As Published: 2005
regulatory surplus
32 (in relation to a long-term business fund, or sub-fund) the excess, if any, of the regulatory value of assets for the with-profits fund over the regulatory value of liabilities for that fund.
firm's equity balance
As Published: 2014
firm's equity balance
76 the sum of money described in CASS 7.16.29 R .
MCOB 6 Annex 3 - Cooling-Off Document of a regulated sale and rent back agreement.
As Published: 2010
MCOB 6 Annex 3 - Cooling-Off Document of a regulated sale and rent back agreement.
…
Capital Requirements Regulations 2013
As Published: 2019
Capital Requirements Regulations 2013
230 the Capital Requirements Regulations 2013 (SI 2013/3115).
partner
As Published: 2001
partner
(in relation to a firm which is a partnership ) any person appointed to direct its affairs, including: (a) a person occupying the position of a partner (by whatever name called); and (b) a person in a…
General data protection regulation
As Published: 2019
General data protection regulation
68 the UK version of the Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and…
REC
As Published: 2001
REC
the Recognised Investment Exchange and Recognised Clearing House sourcebook. 5…
acquiring payment transactions
As Published: 2018
acquiring payment transactions
141 (in accordance with regulation 2(1) of the Payment Services Regulations ) a payment service provided by a payment service provider contracting with a payee to accept and process payment transactio…
chief executive
As Published: 2001
chief executive
(1) (in relation to an undertaking whose principal place of business is within the United Kingdom ) the person who, alone or jointly with one or more others, is responsible under the immediate authori…
total group tier two capital
As Published: 2004
total group tier two capital
14 the sum calculated at stage B of the calculation in INSPRU 6.1.43R 26 .
cash
As Published: 2013
cash
149 in accordance with section 189(1) of the CCA , includes money in any form.