Search Result
standard market risk PRR rules
As Published: 2006
standard market risk PRR rules
45 the rules relating to the calculation of the market risk capital requirement excluding the VaR model approach and any rules modified so as to provide for the CAD 1 model approach .
CIS trustee
As Published: 2004
CIS trustee
19 (in relation to firm type in SUP 16.10 (Confirmation of standing data )) a person holding the property of a collective investment scheme on trust for the participants in the collective investment s…
long-term insurance liabilities
As Published: 2004
long-term insurance liabilities
13 liabilities arising from long-term insurance business .
reversion adviser
As Published: 2006
reversion adviser
42 a firm with permission (or which ought to have permission ) for advising on a home reversion plan .
marketing
As Published: 2006
marketing
(in COLL ) (in relation to marketing units in a regulated collective investment scheme in a particular country or territory): (a) communicating to a person in that country or territory an invitation o…
general market risk PRA
As Published: 2006
general market risk PRA
20 a PRA with respect to general market risk…
Electronic Money Regulations
As Published: 2011
Electronic Money Regulations
71 171 the Electronic Money Regulations 2011 (SI 2011/99).
regulatory high risk category
As Published: 2006
regulatory high risk category
46 (for the purposes of the standardised approach to credit risk) an item that falls into BIPRU 3.4.104 R (Items belonging to regulatory high risk categories under the standardised approach to credit…
schedule
As Published: 2005
schedule
(in Part 6 rules ) (as defined in the PD Regulation ) a list of minimum information requirements adapted to the particular nature of the different types of issuers and/or the different securities invo…
non-UCITS retail scheme
As Published: 2004
non-UCITS retail scheme
an authorised fund which is neither a UCITS scheme or a qualified investor scheme . 9…
non-ILAS BIPRU firm
As Published: 2009
non-ILAS BIPRU firm
34 a firm falling into BIPRU 12.1.1R which is not an ILAS BIPRU firm .
half-yearly accounting period
As Published: 2001
half-yearly accounting period
(in COLL ) a period determined in accordance with COLL 6.8.2 R (2) (Accounting periods). 1 6…
segregated client
As Published: 2001
segregated client
a client whose money must be segregated by the firm under CASS 4.3.3 R (Segregation). 5…
operational risk
As Published: 2006
operational risk
29 (in accordance with Article 4(22) of the Banking Consolidation Directive ) the risk of loss resulting from inadequate or failed internal processes, people and systems or from external events, inclu…
IPRU(INV)
As Published: 2001
IPRU(INV)
the Interim Prudential sourcebook for Investment Businesses. 5…
Third Life Directive
As Published: 2001
Third Life Directive
the Council Directive of 10 November 1992 on the coordination of laws, etc, and amending Directives 79/267/EEC and 90/619/EEC (No 92/96/EEC). 3…
Part IV permission
As Published: 2001
Part IV permission
(as defined in section 40(4) of the Act (Application for permission )) a permission given by the FSA under Part IV of the Act (Permission to carry on regulated activities), or having effect as if so g…
affiliated company
As Published: 2001
affiliated company
4 (in relation to a person ) an undertaking in the same group as that person .
railway rolling stock
As Published: 2001
railway rolling stock
(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 insuran…