Search Result
regular user
As Published: 2001
regular user
(as defined in section 130A(3) 30 of the Act (Market abuse)) a person who is, in relation to a particular market, a reasonable person who regularly deals on that market in investments of the kind in q…
Investment Ombudsman
As Published: 2001
Investment Ombudsman
the former Ombudsman under the IMRO scheme . 1…
registered friendly society
As Published: 2001
registered friendly society
a friendly society registered under section 7(1)(a) of the Friendly Societies Act 1974 or any enactment which it replaced, including any registered branches. 5…
with-profits insurance business
As Published: 2004
with-profits insurance business
7 the business of effecting or carrying out with-profits insurance contracts .
group capital resources requirement
As Published: 2004
group capital resources requirement
12 in relation to an undertaking in INSPRU 6.1.17R 20 , that undertaking's group capital resources requirement as calculated in accordance with INSPRU 6.1.33R 20 .
acting as trustee of an authorised unit trust scheme
As Published: 2001
acting as trustee of an authorised unit trust scheme
4 the regulated activity , specified in article 51(1)(b) of the Regulated Activities Order (Establishing etc a collective investment scheme), of acting as a trustee of an authorised unit trust scheme…
callable contribution
As Published: 2004
callable contribution
18 amounts that members are liable to pay to the Society (or may by resolution of the Society be liable to pay) as contributions to the Central Fund .
scope of basic advice
As Published: 2007
scope of basic advice
57 the basis on which a firm gives basic advice on stakeholder products , that is, with reference to the stakeholder products of one, or more than one, stakeholder product provider.
statutory auditor
As Published: 2008
statutory auditor
67 a statutory auditor as that term is defined in section 1210 of the Companies Act 2006.
establishing, operating or winding up an unregulated collective investment scheme
As Published: 2001
establishing, operating or winding up an unregulated collective investment scheme
establishing, operating or winding up a collective investment scheme if the scheme is an unregulated collective investment scheme . 4…
scheme property
As Published: 2001
scheme property
(a) (in relation to an ICVC ) the property subject to the collective investment scheme constituted by it; (b) (in relation to an AUT ) the capital property and the income property . 5…
CAD bank
As Published: 2001
CAD bank
a bank which uses the Capital Adequacy Directive to measure the capital requirement on its trading book. 3…
pension transfer specialist
As Published: 2001
pension transfer specialist
an individual appointed by a firm to check the suitability of a pension transfer or pension opt-out who has passed the required examinations as 57 specified in TC 57 . 5…
regulatory current liabilities
As Published: 2004
regulatory current liabilities
29 (in relation to a with-profits fund ) the regulatory current liabilities of the with-profits fund calculated in accordance with 46 INSPRU 1.1.30R 46 .
synthetic future
As Published: 2001
synthetic future
(a) a synthetic bought future, that is, a bought call option coupled with a written put option ; or (b) a synthetic sold future, that is, a bought put option coupled with a written call option ;provid…
tier three capital
As Published: 2006
tier three capital
26 an item of capital that is upper tier three capital or lower tier three capital .
Zone A credit institution
As Published: 2002
Zone A credit institution
(in ELM ) a full BCD credit institution or a full credit institution that has its registered office (or, if it has no registered office, its head office) in a Zone A country that is not an EEA State .