Search Result
entering into a regulated mortgage contract
As Published: 2003
entering into a regulated mortgage contract
14 16 the regulated activity , specified in article 61(1) of the Regulated Activities Order , which is in summary: entering into a regulated mortgage contract as lender. 17…
e-money issuer
As Published: 2002
e-money issuer
(in accordance with the definition of an "electronic money institution" in article 1.3 of the E-Money Directive ) an undertaking or any other legal person , other than a full credit institution , whic…
CFEB
As Published: 2010
CFEB
the consumer financial education body established by the FSA under section 6A(1) of the Act (Enhancing public understanding of financial matters etc) and having the name Money Advice Service. 116…
RPPD
As Published: 2007
RPPD
55 the Regulatory Guide which contains a statement of the responsibilities of providers and distributors for the fair treatment of customers .
base costs
As Published: 2001
base costs
3 management expenses , other than establishment costs , which are not dependent on the level of claims made on the FSCS .
stocks and shares component
As Published: 2001
stocks and shares component
a qualifying investment as prescribed in paragraph 7 of the ISA Regulations . 5…
intermediate broker
As Published: 2001
intermediate broker
(in relation to a transaction in a contingent liability investment ) any person acting in the capacity of an intermediary through whom the firm undertakes that transaction. 5…
owner
As Published: 2008
owner
37 (in RCB ) (as defined in Regulation 4 of the RCB Regulations ) an owner which owns an asset pool and issues a guarantee to pay from that asset pool claims attaching to a regulated covered bond in t…
EEA simplified prospectus scheme
As Published: 2007
EEA simplified prospectus scheme
39 a UCITS scheme which is a recognised scheme under section 264 of the Act (Schemes constituted in other EEA States).
Insurance Mediation Directive
As Published: 2004
Insurance Mediation Directive
22 the European Parliament and Council Directive of 9 December 2002 on insurance mediation (No 2002/92/EC).
netting
As Published: 2004
netting
13 a process by which the claims and obligations between two counterparties are offset against each other to leave a single net sum.
permitted unlisted securities
As Published: 2007
permitted unlisted securities
59 in relation to permitted links , means any investment (including a share , debt security , Treasury Bill, Tax Reserve Certificate or Certificate of Tax Deposit) that is not a listed security , but…
UK MiFID investment firm
As Published: 2007
UK MiFID investment firm
20 a MiFID investment firm whose Home State is the United Kingdom (this may include a natural person provided the conditions set out in Article 4(1)(1) of MiFID are satisfied).
specific risk PRA
As Published: 2006
specific risk PRA
45 a PRA for specific risk including any such PRA as applied under BIPRU 7.6.8 R (Table: Appropriate PRA).
excepted contract
As Published: 2009
excepted contract
57 (in BCOBS ) has the same meaning as in the Consumer Protection (Distance Selling) Regulations 2000 (SI 2000/2334).
home purchase arranger
As Published: 2006
home purchase arranger
8 a firm with permission (or which ought to have permission ) for arranging a home purchase plan .
fixed overheads requirement
As Published: 2006
fixed overheads requirement
23 the part of the capital resources requirement calculated in accordance with GENPRU 2.1.53 R (Calculation of the fixed overheads requirement).