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common platform requirements on financial crime
As Published: 2006
common platform requirements on financial crime
the requirements on financial crime applicable to common platform firms set out in 56 47 SYSC 6.3 .
margined contract
As Published: 2001
margined contract
3 16 (in COLL , 44 CASS 4 and CASS 7 44 ) any contract in derivatives .
EEA authorised electronic money institution
As Published: 2011
EEA authorised electronic money institution
71 173 (in accordance with regulation 2(1) of the Electronic Money Regulations ) a person authorised in an EEA State other than the United Kingdom to issue electronic money and provide payment service…
COMP 16.2 Informing depositors of limitations to coverage
As Published: 2009
COMP 16.2 Informing depositors of limitations to coverage
…
syndicate ICA
As Published: 2004
syndicate ICA
19 the capital assessment performed by a managing agent under the overall Pillar 2 rule , GENPRU 1.5.1R(1), INSPRU 7.1 and INSPRU 1.1.57R(1) 45 in respect of each syndicate managed by it.
stakeholder pension scheme
As Published: 2001
stakeholder pension scheme
a scheme that meets the conditions in section 1 of the Welfare Reform and Pensions Act 1999 or article 3 of the Welfare Reform and Pensions (Northern Ireland) Order 1999. 54…
ex-section 43 lead regulated firm
As Published: 2001
ex-section 43 lead regulated firm
an ex-section 43 firm for which the FSA (in its capacity as the regulatory body under section 43 of the Financial Services Act 1986) was lead regulator for financial supervision purposes, and that was…
regulatory basis only life firm
As Published: 2004
regulatory basis only life firm
29 a firm carrying on long-term insurance business which is not a realistic basis life firm .
non-trading book
As Published: 2006
non-trading book
19 positions, exposures, assets and liabilities that are not in the trading book .
tax exempt policy
As Published: 2001
tax exempt policy
any contract of assurance, offered or issued by a friendly society , which is tax exempt life or endowment business as defined in section 466 (2) of the Income and Corporation Taxes Act 1988. 3…
BIPRU 8 Annex 3 Examples of how to identify a non-EEA sub-group
As Published: 2007
BIPRU 8 Annex 3 Examples of how to identify a non-EEA sub-group
…
repo
As Published: 2001
repo
(a) an agreement between a seller and buyer for the sale of securities , under which the seller agrees to repurchase the securities , or equivalent securities , at an agreed date and, usually, at a st…
current market value
As Published: 2006
current market value
48 (in accordance with Part 1 of Annex III of the Banking Consolidation Directive (Definitions) and for the purpose of BIPRU 13.5 (CCR standardised method)) the net market value of the portfolio of tr…
United Kingdom
As Published: 2001
United Kingdom
England and Wales, Scotland and Northern Ireland (but not the Channel Islands or the Isle of Man). 2…
home finance adviser
As Published: 2006
home finance adviser
8 a firm with permission (or which ought to have permission ) for advising on a home finance transaction .
Consolidated Motor Insurance Directive
As Published: 2010
Consolidated Motor Insurance Directive
113 the European Parliament and Council Directive of 16 September 2009 relating to insurance against civil liability in respect of the use of motor vehicles, and the enforcement of the obligation to i…
Business Order
As Published: 2004
Business Order
10 the Financial Services and Markets Act 2000 (Carrying on Regulated Activities by Way of Business Order) 2001 (SI 2001/1177).