Search Result
e-money float exposure
As Published: 2002
e-money float exposure
(in ELM ) the risks of loss set out in ELM 3.5.3 R (Large exposure risk). 5…
stock lending
As Published: 2001
stock lending
the disposal of a designated investment subject to an obligation or right to reacquire the same or a similar designated investment from the same counterparty. 5…
asset pool
As Published: 2008
asset pool
61 (in RCB ) (as defined in Regulation 1(2) of the RCB Regulations ) an asset pool within the meaning of Regulation 3 of the RCB Regulations .
venture capital firm
As Published: 2001
venture capital firm
a firm whose permission includes a requirement that it must not conduct designated investment business other than venture capital business . 1…
EEA registered tied agent
As Published: 2007
EEA registered tied agent
39 a tied agent of a UK MiFID investment firm that is not an appointed representative and would have been an FSA registered tied agent but for the fact that it does business in an EEA State that permi…
Insurance Intermediaries Order
As Published: 2004
Insurance Intermediaries Order
22 the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No. 2) (Insurance Intermediaries) Order 2003 (SI 2003/1476).
qualifying debt security
As Published: 2002
qualifying debt security
(1) (for the purposes of ELM ) a security falling into ELM 3.3.9R (Liquid assets). 10 (2) (for the purposes of BIPRU ) a debt security that satisfies the conditions in BIPRU 7.2.49 R (Definition of a…
UCITS firm
As Published: 2003
UCITS firm
a firm which: (a) is the operator of a UCITS scheme including where in addition the firm is also the operator of a collective investment scheme which is not a UCITS scheme ; and (b) does not have a Pa…
net leverage
As Published: 2004
net leverage
13 the ratio of total assets, less those bought under reverse repo arrangements, to total equity.
limited licence firm
As Published: 2006
limited licence firm
22 has the meaning set out BIPRU 1.1.12 R (Types of investment firm: Limited licence firms).
INSPRU Sch 3 Fees and other requirement payments
As Published: 2006
INSPRU Sch 3 Fees and other requirement payments
…
Transparency Directive
As Published: 2006
Transparency Directive
28 29 the European Parliament and Council Directive on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated m…
statutory money purchase illustration
As Published: 2007
statutory money purchase illustration
61 an annual illustration of the contributions made for the benefit of, and the potential benefits due to, a member of a personal pension scheme , which is prepared in accordance with the Personal Pen…
systems and controls function
As Published: 2001
systems and controls function
5 controlled functions CF28 62 in the table of controlled functions , described more fully in SUP 10.8.1 R 62 .
home purchase administrator
As Published: 2006
home purchase administrator
8 a firm with permission (or which ought to have permission ) for administering a home purchase plan .
financial collateral simple method
As Published: 2006
financial collateral simple method
23 the method for calculating the effects of credit risk mitigation described in those parts of BIPRU 5.4 (Financial collateral) that are expressed to apply to that method.
individual savings account
As Published: 2001
individual savings account
an account which is a scheme of investment satisfying the conditions prescribed in the ISA Regulations . 5…
life and annuity
As Published: 2001
life and annuity
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph I of Part II of Schedule 1 to the Regulated Activities Order (Contracts of long-term insu…