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directed at
As Published: 2007
directed at
40 a financial promotion is directed at persons if it is addressed to persons generally (for example where it is contained in a television broadcast or web site).
third-country financial conglomerate
As Published: 2004
third-country financial conglomerate
13 a financial conglomerate that is of a type that falls under Article 5(3) of the Financial Groups Directive , which in summary is a financial conglomerate headed by a regulated entity or a mixed fin…
transaction-specific advice
As Published: 2001
transaction-specific advice
advice on investments : (a) given in connection with 35 : 35 (i) dealing in investments as principal ; or 35 (ii) dealing in investments as agent ; or 35 (iii) acting as an arranger; or 35 (b) with a…
Company Announcements Office
As Published: 2001
Company Announcements Office
the Company Announcements Office of the London Stock Exchange, the information dissemination provider approved by the UKLA . 3…
risk weight
As Published: 2006
risk weight
46 (in relation to an exposure ) a degree of risk expressed as a percentage assigned to that exposure in accordance with whichever is applicable of the standardised approach to credit risk and the IRB…
advertisement
As Published: 2005
advertisement
(in PR and LR 4 ) (as defined in the PD Regulation ) announcements: (a) relating to a specific offer to the public of securities or to an admission to trading on a regulated market; and (b) aiming to…
issue price
As Published: 2001
issue price
5 (in relation to the issue of units of a dual-priced authorised fund ) the price 46 for each unit payable by the authorised fund manager to the depositary 46 on that issue .
settlement discount scheme
As Published: 2005
settlement discount scheme
36 (in DEPP and EG 58 ) the scheme described in DEPP 6.7 58 by which the financial penalty that might otherwise be payable, or the length of the period of suspension or restriction that might otherwis…
joint enterprise
As Published: 2001
joint enterprise
(as defined in article 3(1) of the Regulated Activities Order (Interpretation)) an enterprise into which two or more persons ("the participators") enter for commercial purposes related to a business o…
relevant general insurance contract
As Published: 2001
relevant general insurance contract
(in COMP ) any general insurance contract other than: (a) [deleted] (b) [deleted] (c) a contract falling within any of the following classes: (i) aircraft ; (ii) ships ; (iii) goods in transit ; (iv)…
VaR specific risk minimum requirements
As Published: 2006
VaR specific risk minimum requirements
8 BIPRU 7.10.46R to BIPRU 7.10.52R (Model standards: Risk factors: Specific risk) and BIPRU 7.10.107R (Backtesting: Specific risk backtesting).
interest-only mortgage
As Published: 2003
interest-only mortgage
20 a regulated mortgage contract other than a repayment mortgage .
SUP App 1.7 Prudential categories and sub-categories
As Published: 2001
SUP App 1.7 Prudential categories and sub-categories
…
communicate
As Published: 2001
communicate
(in relation to a financial promotion ) to communicate in any way, including causing a communication to be made or directed. [Note: section 21(13) of the Act (Restrictions on financial promotion) and…
pension annuity
As Published: 2001
pension annuity
an investment purchased with the sums derived from the vesting (partial or full) of a pension policy or pension contract , for the purposes of securing the beneficiary's entitlement to immediate or fu…
recognised overseas investment exchange
As Published: 2001
recognised overseas investment exchange
an overseas investment exchange which is declared by a recognition order for the time being in force to be a recognised investment exchange . 5…
administering a home reversion plan
As Published: 2006
administering a home reversion plan
32 the regulated activity , specified in article 63B(2) of the Regulated Activities Order , which is in summary: administering a home reversion plan where the plan was entered into on or after 6 April…