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medical condition exclusion
As Published: 2020
medical condition exclusion
140 an exclusion in respect of one or more medical conditions, unless the firm is satisfied, on reasonable grounds, that the exclusion is not relevant to any person covered under the policy 138 .
accumulating with-profits policy
As Published: 2004
accumulating with-profits policy
21 a with-profits insurance contract which has a readily identifiable current benefit, whether or not this benefit is currently realisable, which is adjusted by an amount explicitly related to the amo…
self-invested personal pension scheme
As Published: 2006
self-invested personal pension scheme
40 an arrangement which forms all or part of a personal pension scheme , which gives the member the power to direct how some or all of the member's contributions are invested.
recognition requirement
As Published: 2001
recognition requirement
(1) (in relation to a UK RIE 229 ) any of the requirements applicable to that body under the Recognition Requirements Regulations. (2) (in relation to a body applying for recognition as a UK RIE 229 )…
successor
As Published: 2016
successor
151 (in COMP ) a person who has assumed responsibility for liabilities arising from acts or omissions of a relevant person .
approved quasi-derivative
As Published: 2004
approved quasi-derivative
21 a quasi-derivative in respect of which the conditions in 37 INSPRU 3.2.5 R 37 are met.
underlying asset data
As Published: 2021
underlying asset data
94 basic data on asset holdings underlying a TCFD product , including unique security ID such as ISIN, name, holding size, and current price or valuation, as reasonably required by the relevant person…
reportable financial instrument
As Published: 2017
reportable financial instrument
172 in SUP 17A , those financial instruments in article 26(2) of MiFIR , namely: (a) financial instruments which are admitted to trading or are traded on a trading venue for which a request for admiss…
MCD mortgage administrator
As Published: 2015
MCD mortgage administrator
99 (in MCOB 7A MCOB 7A and MCOB 14) a mortgage administrator who administers MCD regulated mortgage contracts .
PRA-authorised person
As Published: 2013
PRA-authorised person
225 as defined in section 2B(5) of the Act , an authorised person who has permission: (a) given under Part 4A of the Act ; or (b) resulting from any other provision of the Act ; to carry on regulated…
CON own funds requirement
As Published: 2001
CON own funds requirement
256 the own funds requirement calculated in accordance with MIFIDPRU 5.7.2R which relates to a concentrated exposure to a client or group of connected clients .
MAR 7 Annex 1 Deferred publication thresholds and delays [deleted]
As Published: 2017
MAR 7 Annex 1 Deferred publication thresholds and delays [deleted]
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non-segregated account
As Published: 2001
non-segregated account
89 (in MIFIDPRU ) an account that is not a segregated account .
minimum levy
As Published: 2001
minimum levy
(in FEES 31 ) the fixed minimum general levy payable by a firm . 3…
operator acting as a PSR fee payer
As Published: 2018
operator acting as a PSR fee payer
94 an operator of a card payment system or an IFR card payment system acting as an acquirer , as a card issuer or as both an acquirer and card issuer in that payment system .
EU Exit Passport Regulations
As Published: 2019
EU Exit Passport Regulations
137 the EEA Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018, SI 2018/1149.