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UK parent financial holding company in a Member State
As Published: 2006
UK parent financial holding company in a Member State
19 a parent financial holding company in a Member State where the EEA State in question is the United Kingdom .
business offer document
As Published: 2003
business offer document
9 an offer document for a regulated mortgage contract that is for a business purpose.
reporting accountant
As Published: 2001
reporting accountant
an accountant appointed: (a) by the FSA ; or (b) by a firm , having been nominated or approved by the FSA under section 166 of the Act (Reports by skilled persons); or (c) by an applicant for Part IV…
FX exposure limit
As Published: 2002
FX exposure limit
(in ELM ) (in relation to an ELMI ) the amount by which the ELMI's own funds exceed 3% of its e-money outstandings , calculated in accordance with ELM 3.4 (Foreign exchange risk). 4…
standing independent valuer
As Published: 2001
standing independent valuer
the person appointed as such under COLL 5.6.20 R (Standing independent valuer and valuation) and COLL 8.4.13R (1) (Standing independent valuer and valuation) or, as the case may be, CIS 12.3.1 R ( Sta…
complaints scheme
As Published: 2001
complaints scheme
the arrangements made by the FSA under paragraphs 7 and 8 of Schedule 1 to the Act (The Financial Services Authority) for the investigation of complaints against the FSA arising in connection with the…
intended retirement date
As Published: 2002
intended retirement date
8 (a) according to the most recent recorded information available to the provider, the date when the scheme member or policyholder intends to retire, or to bring the benefits in the scheme or policy i…
units in existence
As Published: 2001
units in existence
(in CIS ) (in relation to an AUT ) all units which are in issue and any units which the trustee is obliged to issue , less any units which the trustee is obliged to cancel. 2…
CTF bank account
As Published: 2004
CTF bank account
24 a bank account which fulfils the requirements of Regulation 11(5) of the CTF Regulations .
authorised unit trust manager
As Published: 2001
authorised unit trust manager
4 a manager of an AUT .
commodity simplified approach
As Published: 2006
commodity simplified approach
48 the method of calculating the commodity PRR in BIPRU 7.4.24 R (Simplified approach).
permitted activity
As Published: 2001
permitted activity
(1) (except in 33 SUP 13A 33 and SUP 14 ) a regulated activity which a firm has permission to carry on. (2) (in 33 SUP 13A 33 and SUP 14 ) an activity identified in a consent notice, a regulator's not…
mortgage administrator
As Published: 2003
mortgage administrator
11 12 a firm with permission (or which ought to have permission ) for administering a regulated mortgage contract .
linked liabilities
As Published: 2007
linked liabilities
29 property-linked liabilities or index-linked liabilities .
banking and investment services conglomerate
As Published: 2006
banking and investment services conglomerate
23 a financial conglomerate that is identified in paragraph 4.3 of GENPRU 3 Annex 1 (Types of financial conglomerate) as a banking and investment services conglomerate .
vendor consideration placing
As Published: 2005
vendor consideration placing
(in LR ) a marketing, by or on behalf of vendors, of securities that have been allotted as consideration for an acquisition. 6…
equity release transaction
As Published: 2006
equity release transaction
31 a lifetime mortgage or a home reversion plan .
excess spread
As Published: 2006
excess spread
34 (for the purposes of BIPRU 9 (Securitisation), in relation to a securitisation (within the meaning of paragraph (2) of the definition of securitisation) and in accordance with Part 1 of Annex IX of…
significant influence function
As Published: 2001
significant influence function
any of the controlled functions 1 to 20in the table of controlled functions . 5…