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ABCP internal assessment approach
As Published: 2006
ABCP internal assessment approach
37 the method for calculating the risk weighted exposure amount for a securitisation position in relation to an asset backed commercial paper programme as set out in BIPRU 9.12.20 R .
pension term assurance policy
As Published: 2006
pension term assurance policy
37 a personal pension policy which is a pure protection contract and in connection with which tax relief is available under Chapter 4 of Part 4 of the Finance Act 2004.
sub-fund
As Published: 2001
sub-fund
(a) (in relation to an authorised fund that is an umbrella 51 51 ) a separate part of the scheme property of that scheme that is pooled separately; (b) (in relation to a collective investment scheme t…
custody
As Published: 2001
custody
3 (in relation to clients ' assets) safeguarding and administering investments .
mineral company
As Published: 2005
mineral company
(in LR ) a company or group , whose principal activity is, or is planned to be, the extraction of mineral resources (which may or may not include exploration for mineral resources ). 28…
Prescribed Markets and Qualifying Investments Order
As Published: 2001
Prescribed Markets and Qualifying Investments Order
5 the Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) Order 2001 (SI 2001/996).
monthly financial return
As Published: 2006
monthly financial return
36 (in UPRU ) means the return referred to in SUP .
e-money firm
As Published: 2002
e-money firm
a firm whose permitted activities include issuing e-money . 5…
Capital Adequacy Directive
As Published: 2001
Capital Adequacy Directive
the Directive of the European Parliament and the Council of 14 June 2006 48 on capital adequacy of investment firms and credit institutions (No 2006/49/ 48 EC).
deferred bonus
As Published: 2007
deferred bonus
41 (in LR ) any arrangement pursuant to the terms of which an employee or director may receive a bonus (including cash or any security) in respect of service and/or performance in a period not exceedi…
general insurance business
As Published: 2001
general insurance business
the business of effecting or carrying out general insurance contracts . 4…
information centre
As Published: 2002
information centre
a centre established by an EEA State to meet its obligations under article 23 of the Consolidated Motor Insurance Directive (Information Centres). 95…
intermediaries offer
As Published: 2001
intermediaries offer
(1) (in LR ) a marketing of securities already or not yet in issue, by means of an offer by, or on behalf of, the issuer to intermediaries for them to allocate to their own clients. 36 (2) (for the pu…
certificate representing shares
As Published: 2005
certificate representing shares
(in LR ) a certificate representing certain securities where the certificate or other instrument confers rights in respect of equity shares . 31…
Ombudsman
As Published: 2001
Ombudsman
a person appointed to the panel of persons maintained by the FOS Ltd to determine complaints, including the Chief Ombudsman. 4…
registered contact
As Published: 2004
registered contact
25 (as defined in regulation 8(1)(d) of the CTF Regulations ) the person who is capable of giving instructions to the CTF provider with respect to the management of the CTF .
independent expert
As Published: 2004
independent expert
(in SUP 18 ) the person approved or nominated by the FSA to make the scheme report for an insurance business transfer scheme .
mutual
As Published: 2004
mutual
24 an insurer which: (a) if it is a body corporate has no share capital (except a wholly owned subsidiary with no share capital but limited by guarantee); or (b) is a registered friendly society or in…
PRIN Sch 3 Fees and other required payments
As Published: 2004
PRIN Sch 3 Fees and other required payments
…