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excess spread
As Published: 2006
excess spread
34 (for the purposes of BIPRU 9 (Securitisation), in relation to a securitisation (within the meaning of paragraph (2) of the definition of securitisation) and in accordance with Part 1 of Annex IX of…
bearer certificate
As Published: 2001
bearer certificate
4 12 (in COLL ) a certificate or other documentary evidence of title, for which provision is made in the instrument constituting the scheme , which indicates that: (a) the holder of the document is en…
regulated sale and rent back mediation activity
As Published: 2009
regulated sale and rent back mediation activity
76 any of the following regulated activities : (a) arranging (bringing about) regulated sale and rent back agreements (article 25E(1)); (b) making arrangements with a view to regulated sale and rent b…
redemption right
As Published: 2002
redemption right
(in relation to an e-money firm ) the right of a holder of e-money to require the e-money firm to redeem that e-money that corresponds to the duty of the e-money firm in ELM 6.3.1 R (Duty to redeem) t…
home finance providing activity
As Published: 2006
home finance providing activity
8 any of the regulated activities of: (a) entering into a regulated mortgage contract ; (aa) entering into a regulated sale and rent back agreement ; 19 (b) entering into a home purchase plan ; (c) en…
SRB intermediary
As Published: 2010
SRB intermediary
89 a firm with permission (or which ought to have permission ) to carry on a regulated sale and rent back mediation activity .
over the counter
As Published: 2001
over the counter
(in relation to a transaction in an investment ) not on-exchange . 4…
MiFID Regulation
As Published: 2006
MiFID Regulation
39 Commission Regulation (EC) 1287/2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards organisational requirements and operating conditions for investment f…
FSA's SCV requirements
As Published: 2009
FSA's SCV requirements
(in COMP ) the FSA's requirements with respect to single customer view . 43…
governing function
As Published: 2001
governing function
any of the controlled functions 1 to 6 26 in the table of controlled functions . 4…
exercise time
As Published: 2005
exercise time
(in LR ) (in relation to securitised derivatives ), the time stipulated by the issuer by which the holder must exercise their rights. 26…
data item
As Published: 2006
data item
One or more related data elements that are grouped together into a prescribed format and required to be submitted by a firm or other regulated entity under SUP 16 or provisions referred to in SUP 16 .
EIS subscription
As Published: 2001
EIS subscription
any money which is subscribed: (a) in the case of an EIS managed portfolio , by the client of the EIS manager whose portfolio it is; (b) in the case of an EIS fund , by the participants in the EIS . 4…
own account trading firm
As Published: 2004
own account trading firm
12 (in relation to firm type in SUP 16.10 (Confirmation of standing data )) a firm that only deals or arranges deals in securities or contractually based investments for its own benefit, or for the be…
RCB 3 Annex 3 Series issuance notification form
As Published: 2008
RCB 3 Annex 3 Series issuance notification form
…
CCR mark to market method
As Published: 2006
CCR mark to market method
48 the method of calculating the amount of an exposure set out in BIPRU 13.4 (CCR mark to market method).
reattribution expert
As Published: 2005
reattribution expert
35 the expert appointed by a firm to satisfy its obligations under COBS 20.2.47 R (Reattribution expert). 54…
instrument constituting the scheme
As Published: 2001
instrument constituting the scheme
(a) (in relation to an ICVC ) the instrument of incorporation ; (b) (in relation to an AUT ) the trust deed ; (c) (in relation to a collective investment scheme other than an authorised fund ) any ins…
state monopoly
As Published: 2005
state monopoly
30 a company or other legal person which is a national of an EEA state and which: (a) in carrying on its business benefits from a monopoly right granted by an EEA state ; and (b) is set up by or pursu…