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notice of discontinuance
As Published: 2001
notice of discontinuance
a notice given by the FSA in accordance with section 389 of the Act (Notices of discontinuance) which states that the FSA has decided not to take the action proposed in a warning notice or the action…
realistic value of assets
As Published: 2004
realistic value of assets
29 (in relation to a with-profits fund ) has the meaning set out in 46 INSPRU 1.3.33R 46 .
SUP 8 Annex 1 SUP 8: Waiver and modification of rules
As Published: 2001
SUP 8 Annex 1 SUP 8: Waiver and modification of rules
…
asset identification rules
As Published: 2001
asset identification rules
4 (as defined in subsection 142(2) of the Act (Insurance business: regulations supplementing Authority's rules)) rules made by the FSA which require an authorised person who has permission to effectin…
category B1 firm
As Published: 2009
category B1 firm
94 a category B firm whose permission includes dealing in investments as principal .
linked long-term
As Published: 2001
linked long-term
(in relation to a contract of insurance ) a long-term insurance contract 24 where the benefits are wholly or partly to be determined by reference to the value of, or the income from, property of any d…
insurance-related capital requirement
As Published: 2004
insurance-related capital requirement
32 a component of the calculation of the ECR for a firm carrying on general insurance business as set out in INSPRU 1.1.76 R to INSPRU 1.1.79 R 52 .
financial sector
As Published: 2004
financial sector
(1) (subject to (2)) one of the banking sector , the insurance sector or the investment services sector . 23 (2) (for the purposes of the definition of financial conglomerate and for any other provisi…
per se professional client
As Published: 2007
per se professional client
46 a client categorised as a per se professional client in accordance with COBS 3.5 .
retail SME
As Published: 2006
retail SME
46 (1) (in relation to the IRB approach ) a small or medium sized entity, an exposure to which may be treated as a retail exposure under BIPRU 4.6.2 R (Definition of retail exposures). (2) (in relatio…
aircraft
As Published: 2001
aircraft
4 (in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 5 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insur…
DISP 1 Annex 1B Complaints publication report
As Published: 2010
DISP 1 Annex 1B Complaints publication report
…
investment manager
As Published: 2007
investment manager
(1) (except in LR ) 64 a person who, acting only on behalf of a client : (a) manages designated investments in an account or portfolio on a discretionary basis under the terms of a discretionary manag…
DTR
As Published: 2005
DTR
45 38 25 the Disclosure Rules and Transparency Rules 55 sourcebook containing the disclosure rules , transparency rules and corporate governance rules . 55…
early amortisation provision
As Published: 2006
early amortisation provision
34 (in accordance with Article 100 of the Banking Consolidation Directive (Securitisation of revolving exposures) and in relation to a securitisation within the meaning of paragraph (2) of the definit…
connected counterparty
As Published: 2006
connected counterparty
48 (for the purpose of BIPRU 10 (Large exposures 108 requirements) and in relation to a firm ) has the meaning set out in BIPRU 10.3.8 R (Connected counterparties), which is in summary a person to who…