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parental responsibility
As Published: 2004
parental responsibility
22 (as defined in section 3(9) of the Child Trust Fund Act 2004): (a) parental responsibility within the meaning of the Children Act 1989 or the Children (Northern Ireland) Order 1995 (SI 1995/755 (N.
Balancing and Settlement Code
As Published: 2001
Balancing and Settlement Code
2 the document designated by the Secretary of State and adopted by the National Grid Company plc as the Balancing and Settlement Code as modified from time to time in accordance with the terms of the…
potential tier one instrument
As Published: 2004
potential tier one instrument
25 an item of capital that falls into GENPRU 2.2.62R (Tier one capital: General) 43 .
regulatory function
As Published: 2001
regulatory function
(as defined in section 291 of the Act (Liability in relation to recognised body 's regulatory functions)) any function of a recognised body so far as relating to, or to matters arising out of, the obl…
larger denomination share
As Published: 2001
larger denomination share
any share that is not a smaller denomination share . 2…
former member
As Published: 2001
former member
a person who has ceased to be a member , whether by resignation or otherwise, in accordance with Lloyd's Act 1982 and any byelaw made under it. 2…
Insurance Groups Directive
As Published: 2004
Insurance Groups Directive
27 Directive of the European Parliament and of the Council of 27 October 1998 on the supplementary supervision of insurance undertakings in an insurance group (1998/78/EC).
projection period
As Published: 2007
projection period
61 (in COBS ) the period covered by a standardised deterministic projection , which begins on the date the investment is reasonably expected to be made and ends on the projection date described in par…
volatility risk
As Published: 2004
volatility risk
5 the potential loss due to fluctuations in implied option volatilities.
CASS resolution pack
As Published: 2012
CASS resolution pack
those documents and records which are specified in CASS 10.2 and CASS 10.3 . 128…
PRR charge
As Published: 2006
PRR charge
43 one of the following: (a) the interest rate PRR ; (b) the equity PRR ; (c) the commodity PRR ; (d) the foreign currency PRR ; (e) the option PRR ; (f) the collective investment undertaking PRR ; an…
retail investment activity
As Published: 2004
retail investment activity
19 (a) advising on investments ; 19 (b) arranging (bringing about) deals in investments ; or 19 (c) making arrangements with a view to transactions in investments , 19 in relation to retail investment…
capital resources requirement
As Published: 2004
capital resources requirement
27 an amount of capital resources that: 48 (1) a BIPRU firm must hold as set out in the main BIPRU firm Pillar 1 rules ; or 48 (2) an insurer must hold as set out in GENPRU 2.1.17 R to GENPRU 2.1.23 R…
rule on use of dealing commission
As Published: 2007
rule on use of dealing commission
57 COBS 11.6.3 R .
regulated activity group
As Published: 2006
regulated activity group
49 A set of one or more regulated activities (with associated investment types and customer types) referred to in SUP 16 to determine a firm's or other regulated person's data item submission requirem…
ISA manager
As Published: 2001
ISA manager
a person who is approved by HM Revenue and Customs 35 for the purposes of the ISA Regulations as an account manager. 5…
establishing, operating or winding up a regulated collective investment scheme
As Published: 2001
establishing, operating or winding up a regulated collective investment scheme
establishing, operating or winding up a collective investment scheme if the scheme is a regulated collective investment scheme . 4…