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electricity
As Published: 2001
electricity
(a) electricity in any form, including electricity as deliverable through the Balancing and Settlement Code ; (b) any right that relates to electricity, for example the right under a contract or other…
banking sector
As Published: 2004
banking sector
13 a sector composed of one or more of the following entities: (a) a credit institution ; (b) a financial institution ; and (c) an 23 ancillary services undertaking that is not an ancillary insurance…
FSA scheme
As Published: 2001
FSA scheme
the former scheme operated by the FSA under paragraph 4 of Schedule 7 to the Financial Services Act 1986 for the investigation of complaints arising out of the conduct of investment business. 1…
EMPS 2.1 These provisions have been moved to the Supervision Manual (SUP 21)
As Published: 2001
EMPS 2.1 These provisions have been moved to the Supervision Manual (SUP 21)
…
unauthorised person
As Published: 2001
unauthorised person
a person who is not an authorised person . 2…
assessable mutual
As Published: 2004
assessable mutual
21 (for the purposes of 37 INSPRU 1.4 37 ) a mutual where the insurance business carried on by the mutual is limited to the provision of insurance business to its members and whose articles of associa…
directed at
As Published: 2007
directed at
40 a financial promotion is directed at persons if it is addressed to persons generally (for example where it is contained in a television broadcast or web site).
third-country financial conglomerate
As Published: 2004
third-country financial conglomerate
13 a financial conglomerate that is of a type that falls under Article 5(3) of the Financial Groups Directive , which in summary is a financial conglomerate headed by a regulated entity or a mixed fin…
transaction-specific advice
As Published: 2001
transaction-specific advice
advice on investments : (a) given in connection with 35 : 35 (i) dealing in investments as principal ; or 35 (ii) dealing in investments as agent ; or 35 (iii) acting as an arranger; or 35 (b) with a…
individual CNCOM
As Published: 2006
individual CNCOM
52 the amount calculated with respect to an individual exposure under BIPRU 10.5.20 R (How to calculate the concentration risk capital component).
Company Announcements Office
As Published: 2001
Company Announcements Office
the Company Announcements Office of the London Stock Exchange, the information dissemination provider approved by the UKLA . 3…
risk weight
As Published: 2006
risk weight
46 (in relation to an exposure ) a degree of risk expressed as a percentage assigned to that exposure in accordance with whichever is applicable of the standardised approach to credit risk and the IRB…
advertisement
As Published: 2005
advertisement
(in PR and LR 4 ) (as defined in the PD Regulation ) announcements: (a) relating to a specific offer to the public of securities or to an admission to trading on a regulated market; and (b) aiming to…
issue price
As Published: 2001
issue price
5 (in relation to the issue of units of a dual-priced authorised fund ) the price 46 for each unit payable by the authorised fund manager to the depositary 46 on that issue .
joint enterprise
As Published: 2001
joint enterprise
(as defined in article 3(1) of the Regulated Activities Order (Interpretation)) an enterprise into which two or more persons ("the participators") enter for commercial purposes related to a business o…
relevant general insurance contract
As Published: 2001
relevant general insurance contract
(in COMP ) any general insurance contract other than: (a) [deleted] (b) [deleted] (c) a contract falling within any of the following classes: (i) aircraft ; (ii) ships ; (iii) goods in transit ; (iv)…
VaR specific risk minimum requirements
As Published: 2006
VaR specific risk minimum requirements
8 BIPRU 7.10.46R to BIPRU 7.10.52R (Model standards: Risk factors: Specific risk) and BIPRU 7.10.107R (Backtesting: Specific risk backtesting).
interest-only mortgage
As Published: 2003
interest-only mortgage
20 a regulated mortgage contract other than a repayment mortgage .